Statement of Requirements VAST.pdf

STATEMENT OF REQUIREMENTS

VAST Data Storage Server Solution

1.0 Purpose:

The purpose of this Statement of Requirements (SOR) is to procure a VAST Data Storage Server Solution for the United States Secret Service (USSS) Criminal Investigative Division (CID) Data Center.

2.0 Scope:

2.1 Statement of Requirements:

The data storage server equipment will be used to store data within the USSS CID Data Center in support of the USSS Investigative and Protective Missions.

The CID is seeking a data storage server solution that can support providing high speed storage capacity with 2 petabyte effective memory space. Any system that utilizes a tiered memory format where a combination of NVMe-oF and traditional spinner hard drives will not be considered as those systems are significantly slower due to design of the spinner hard drives and their interfaces.

The entire storage server system must support the use of the latest generation of NVMe over Fabrics (NVMe-oF) which includes an extension of the NVMe network protocol to Ethernet and Fibre Channel delivering faster and more efficient connectivity between storage and servers, as well as a reduction in Central Processing Unit (CPU) utilization of application host servers.

The storage server system must support multiple data communication protocols including Server Message Block (SMB), Network File System (NFS) communication protocol, and Amazon Simple Storage Service interface known as “S3” for shorthand which allows uses like storage for Internet applications, backups, disaster recovery, data archives, data lakes for analytics, and hybrid cloud storage. Any system that does not support all three protocols SMB, NFS and S3 will not be considered. Any system that uses a proprietary data communication system which mimics SMB, NFS or S3 but does not natively support these protocols will not be considered due to processing overhead and compatibility issues that can result from the use of proprietary systems.

The storage server system components must be capable of inclusion into the existing VAST storage clusters for replication and future use of the VAST DataSpace. This storage system must also support the VAST Database like functionality without the use of a 3rd party application.

The Government will only consider purchasing a data storage server which can fully reside on-premises. Systems that require the use of external cloud providers will not be considered.

USSS engineers have identified the following storage server system requirements needed to support existing and future operations. The engineering team has determined that the VAST Data Storage Server solution meets all their requirements. The USSS will only accept responses from VAST authorized resellers.

CLINs Model Description Qty Unit Price Total Base Year

0001 QUAD-

4N-4IL-

256-2NIC

Quad Server Chassis inc 4 x Ice Lake Servers (Dual NIC)(Quad Port 100Gb's QSFP28 or Quad Port

HDR100 QSFP56) – Base Year

4 $ $

0002 DF-5630-

CX5X2

2U HA Lightspeed Enclosure (up to 40GB/s):

incl. 1350TB NVMe Flash, 18TB SCM, 4 x

100Gb (ETH or CX5 IB) – Base Year

1 $ $

0003 AOC-

CABLES

Fiber optic cables and SFPs – Base Year 1 $ $

0004 INSTALL VAST Data Installation Services to include Shipping and Insurance - Base Year

1 $ $

0005 DF-3015 Ceres Enclosure: 1U HA Enclosure (up to 50GB/s): incl. 338TB - NVMe Flash, 6.4TB SCM, 8 x 100Gb Bluefield 1 (ETH or IB) (For Delivery

2H 22) – Base Year

1 $ $

0006 QUAD-4N-

CL-2NIC

Quad Server Chassis inc 4 x Cascade Lake Servers (Dual NIC) (Quad Port 100Gb's QSFP28 or Quad

Port HDR100 QSFP56) – Base Year

1 $ $

0007 ETH-NVMEF-

2X16

2 - 16 Port 1U NVMe Fabric Ethernet Switch – Base Year

1 $ $

0008 CERES -

AOCCABLE-

KIT

Fiber optic cables and SFPs for CERES Dboxes and C-Boxes – Base Year

1 $ $

0009 CERES -

INSTALL

VAST Data Ceres Installation Services including Shipping and insurance - Base Year

1 $ $

SW-U-

300-KYS

300TB Useable 1-Month Gemini Services Term + Keep Your System Option - Base Year

60 $ $

Option Year 1

1001 QUAD-

4N-CL-

2NIC

Quad Server Chassis inc 4 x Cascade Lake Servers (Dual NIC)(Quad Port 100Gb's QSFP28 or Quad

Port HDR100 QSFP56) - Option Year 1

1 $ $

1002 DF-5630-

CX5X2

2U HA Lightspeed Enclosure (up to 40GB/s): incl.

1350TB NVMe Flash, 18TB SCM, 4 x 100Gb

(ETH or CX5 IB) - Option Year 1

1 $ $

1003 AOC-

CABLES

Fiber optic cables and SFPs for CERES Dboxes and C-Boxes – Option Year 1

1 $ $

1004 CERES -

INSTAL

L

VAST Data Ceres Installation Services including Shipping and insurance – Option Year 1

1 $ $

1005 SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term + Keep Your System -Cluster 1- Option Year 1

12 $ $

1006 SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term + Keep Your System -Cluster 2- Option Year 1

12 $ $

1007 SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term + Keep Your System -Cluster 3- Option Year 1

12 $ $

1008 SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term + Keep Your System -Cluster 4- Option Year 1

12 $ $

Option Year 2

2001 QUAD-4N-4IL-

256-2NIC

Quad Server Chassis inc 4 x Ice Lake Servers (Dual NIC)(Quad Port 100Gb's QSFP28 or Quad Port

HDR100 QSFP56) -Option Year 2

4 $ $

DF-5630-

CX5X2

2U HA Lightspeed Enclosure (up to 40GB/s): incl.

1350TB NVMe Flash, 18TB SCM, 4 x 100Gb (ETH or CX5 IB) - Option Year 2

AOC-CABLES Fiber optic cables and SFPs - Option Year 2

INSTALL VAST Data Installation Services to include Shipping and Insurance - Option Year 2 1

SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term +

Keep Your System -Cluster 1- Option Year 2 12

SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term +

Keep Your System -Cluster 2- Option Year 2 12

SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term +

Keep Your System -Cluster 3- Option Year 2 12

SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term +

Keep Your System -Cluster 4- Option Year 2 12

Option Year 3

QUAD-4N-

4IL-256-2NIC

Quad Server Chassis inc 4 x Ice Lake Servers (Dual

NIC)(Quad Port 100Gb's QSFP28 or Quad Port HDR100 QSFP56) -Option Year 3

DF-5630-

CX5X2

2U HA Lightspeed Enclosure (up to 40GB/s): incl.

1350TB NVMe Flash, 18TB SCM, 4 x 100Gb

(ETH or CX5 IB) - Option Year 3

3003 AOC-CABLES Fiber optic cables and SFPs - Option Year 3 1 $ $

3004 INSTALL VAST Data Installation Services to include Shipping and Insurance - Option Year 3

1 $ $

3005 SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term + Keep Your System -Cluster 1- Option Year 3

12 $ $

3006 SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term + Keep Your System -Cluster 2- Option Year 3

12 $ $

3007 SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term + Keep Your System -Cluster 3- Option Year 3

12 $ $

3008 SW-U-600-

KYS

600TB Useable 1-Month Gemini Services Term + Keep Your System -Cluster 4- Option Year 3

12 $ $

TOTAL

CONTRACT

VALUE

2.2 Technical Requirements:

The following technical requirements have been identified by USSS engineers as for the storage server solution requested in this procurement. The below parameters are required for the storage server solution. The storage solution requirements are also outlined in Section 2.1 - Statement of Requirements.

2.2.1 Storage and Support Requirements:

□ A minimum of 2PB of effective NVMe-oF storage capacity.

□ A minimum of (32) 100GbE QSFP28 or HDR100 QSFP56 ports for Client access.

□ One year of base support with 3 option years of 24x7x365 US based support with

Keep you System option.

□ Installation, configuration, and dedicated support team.

2.2.2 Data Reduction Requirements:

□ The system shall reduce data across its entire contents as a single reduction realm.

□ Data reduction on a per-volume, per-RAID set, per-node or other subdivision is not acceptable.

□ Data reduction shall be performed by the storage system inline before data is written to flash to minimize Flash wear.

□ Data reduction shall not require administrators to manage any jobs.

□ External data reduction appliances or client agents are not acceptable.

□ System must support data deduplication and compression.

□ System must support byte-range global compression.

2.2.3 Multi-protocol Support Requirements:

□ The system shall support object access via the Amazon S3 API and file access via NFS & SMB 3.x across a single system wide namespace.

□ Files created via NFS or SMB shall be accessible as S3 objects.

□ Objects created via S3 shall be accessible as NFS and/or SMB files.

□ The system shall support directory quotas that apply to both NFS and SMB.

2.2.4 NFS Support Requirements:

□ The system shall support byte-range advisory locking via the NLM protocol 2U HA Lightspeed Enclosure (up to 40GB/s): incl. 1350TB NVMe Flash, 18TB SCM, 4 x 100Gb (ETH or CX5 IB) - Option Year 1.

□ The system shall support a minimum of 1000 byte-range locks on a single file.

□ The system shall support POSIX and NFS v4.1 ACLs.

□ The system shall support NFS over RDMA.

□ The system shall support NFS v3 and V4.1.

□ The system shall support Kerberos for authentication.

2.2.5 SMB Support Requirements:

□ The system shall support SMB/NTFS style ACLs including Deny.

□ The system shall support SMB 3 or greater.

□ Mandatory file and byte range locking.

□ Server failover using SMB 3 resilient handles.

□ System must support SMB3 Multi channel.

2.2.6 S3 Features Requirements:

□ Support for all major official S3 SDK’s, such as aws-sdk-cpp, aws-sdk-java, boto3.

□ Multipart uploads.

□ 5TB or larger maximum object size.

□ Support for >100 buckets/namespace.

2.2.7 System Architecture Requirements:

□ The system shall not include, or rely upon, batteries or uninterruptible power supplies to ensure data persistence.

□ The system shall not use DRAM or other volatile memory as a write cache regardless of how such DRAM is protected including NVDIMMs.

□ All data shall be stored in non-volatile solid-state memory devices not magnetic media.

□ The system shall be based on a scale-out architecture.

□ The system shall allow for independent scaling of capacity and performance

(compute power for storage services).

□ The system shall support no less than 3 generations of hardware in a single pool of storage.

□ The system shall allow segregation of users/applications to specified compute/controller nodes.

□ The system shall provide transparent failover in the event of a node or network failure.

□ All storage servers must have direct access to all of the cluster’s state to eliminate internal CPU contention.

□ Namespace must be scalable to support over 100PB of capacity.

□ The system must store a minimum of 250TB of effective capacity per rack unit.

□ The system shall consume less than 7w/TB while operating.

□ The system must be capable of native InfiniBand and Ethernet connectivity.

2.2.8 Resilience Requirements:

□ The system must not have any single points of failure.

□ The system must support the ability to withstand the failure of any appliance/chassis or similar building block combining multiple system components without data loss or loss of availability.

□ The system shall survive a minimum of four SSD failures within a failure domain without data loss.

□ Data protection overhead shall not exceed 10%.

□ The system shall use checksums, hashes or CRCs stored independent from the data.

□ Data and parity shall be distributed across the system without dedicated spare or parity devices.

□ Data rebuilds should be fail-in-place and shall begin automatically without device replacement or operator action.

□ Data rebuilds will be performed many to many.

□ Device rebuilds must take less than 1 day under load.

□ All updates must be non-disruptive to all users including SMB connected users.

□ System must minimize the impact of rebuilds to under 1%.

□ The system must support N:1 & 1:N replication.

2.2.9 Management and Security Requirements:

□ System must be manageable via CLI, GUI (HTTPS) or RESTful API.

□ Contractor must provide centralized monitoring and analytics service.

□ Service shall securely collect log and analytics data.

□ Services shall allow issues to be proactively discovered.

□ System must support Role Based Access control for both data and administrative access.

□ The system shall encrypt all data before storing it to persistent media.

□ Encryption shall use AES-256.

□ The system must support asynchronous replication with a minimum frequency below 1 minute.

□ The system must support both fail over and fail back of a replication pair.

□ The system shall provide immutable snapshots for RansomWare protection.

□ System must support for Federal Information Processing Standards (FIPS) 140-2 today and FIPS 140-3 by the end of 2024.

2.2.10 Performance Requirements: NFS and SMB

□ 99% of I/O operations must complete under 3 milliseconds at 80% load (4KB random read).

□ System must be able to deliver advertised performance without client-side caching.

□ System must support over 100K random read operations per client.

□ Clients must be capable of listing 20,000 (or more) FS objects/second.

□ Storage performance must be scalable to 1TB/s+ (read).

NFS (including NFSoRDMA)

□ The system must provide over 8GB/s read throughput to a single client accessing a single NFS mount.

□ The system must support a file size up to 128TB per file.

S3

□ Single bucket: greater than 10K write IOPS @100ms latency, 20K IOPS

@1ms.

2.2.11 Cloud Integration Requirements:

□ The system will support replication of snapshot data to cloud and/or on-premises object stores using the S3 API.

□ Cloud snapshots shall be made available to users for self-service restore via a web interface or designated folders in the file system.

□ Cloud snapshots shall be compressed.

2.2.12 Software Licensing and Support Requirements:

□ Contractor must guarantee software licenses and support, including replacement of all parts regardless of flash wear, will be offered on the system for a minimum of 10 years.

□ Firm fixed-price (FFP) for the base year plus three option years.

□ Software licenses shall be transferable to replacement hardware including hardware of later generations.

3.0 Contract Type: The Government will award a FFP contract.

4.0 Delivery Date and Place of Delivery:

The period of performance is for one year (12 months) from the date of the award.

Each option year will be 12 months.

Delivery Date: 30 days after award

Delivery Address: 9200 Powder Mill Road, Laurel, MD 20708

5.0 Contractor Deliveries:

All deliveries are the contractor’s responsibility. The contractor shall coordinate the deliveries with the Contracting Officer’s Representative (COR) or Office Point of Contact (POC) prior to the delivery, specifying the date and time. The contractor shall be responsible for off and on loading equipment and materials.

6.0 United States Secret Service (USSS) Points of Contact:

Michael Velez Contract Specialist michael.velez@usss.dhs.gov 202-897-7253

Matthew Sutton Contracting Officer matthew.sutton@usss.dhs.gov 910-660-3492

7.0 Homeland Security Acquisition Regulation (HSAR) Information Technology Acquisition Review (ITAR) Language:

Section 508 Requirements

Section 508 Requirements

Section 508 of the Rehabilitation Act (classified to 29 U.S.C. § 794d) requires that when Federal agencies develop, procure, maintain, or use information and communications technology (ICT), it shall be accessible to people with disabilities. Federal employees and members of the public with disabilities must be afforded access to and use of information and data comparable to that of Federal employees and members of the public without disabilities.

All products, platforms and services delivered as part of this work statement that, by definition, are deemed ICT shall conform to the revised regulatory implementation of Section 508 Standards, which are located at 36 C.F.R. § 1194.1 & Appendixes A, C & D, and available at https://www.ecfr.gov/cgi-bin/text-idx?SID=e1c6735e25593339a9db63534259d8ec&mc=true&node=pt36.3.1194&rgn=div5.

In the revised regulation, ICT replaced the term electronic and information technology (EIT) used in the original 508 standards. ICT includes IT and other equipment.

Exceptions for this work statement have been determined by DHS and only the exceptions described herein may be applied. Any request for additional exceptions shall be sent to the Contracting Officer and a determination will be made according to DHS Directive 139-05, Office of Accessible Systems and Technology, dated November 12, 2018 and DHS Instruction 139-05-001, Managing the Accessible Systems and Technology Program, dated November 20, 2018, or any successor publication.

Section 508 Requirements for Technology Products

Applicable Exception: N/A Authorization #: N/A

Applicable Functional Performance Criteria: All functional performance criteria in Chapter 3 apply to when using an alternative design or technology that results substantially equivalent or greater accessibility and usability by individuals with disabilities than would be provided by conformance to one or more of the requirements in Chapters 4 and 5 of the mailto:michael.velez@usss.dhs.gov mailto:matthew.sutton@usss.dhs.gov https://uscode.house.gov/view.xhtml?req=(title:29%20section:794d%20edition:prelim)%20OR%20(granuleid:USC-prelim-title29-section794d)&f=treesort&edition=prelim&num=0&jumpTo=true

Revised 508 Standards, or when Chapters 4 or 5 do not address one or more functions of

ICT.

Applicable 508 requirements for electronic content features and components: Does not apply

Applicable 508 requirements for software features and components: Does not apply

Applicable 508 requirements for hardware features and components (including but not limited to Computers & laptops): All requirements in Chapter 4 apply

Applicable 508 requirements for support services and documentation: All requirements in Chapter 6 apply

Section 508 Deliverables

Section 508 Accessibility Conformance Reports: For each ICT item offered through this contract (including commercially available products, and solutions consisting of ICT that are developed or modified pursuant to this contract), the Offeror shall provide an Accessibility Conformance Report (ACR) to document conformance claims against the applicable Section 508 standards. The ACR shall be based on the Voluntary Product Accessibility Template Version 2.0 508 (or successor versions). The template can be found at https://www.itic.org/policy/accessibility/vpat. Each ACR shall be completed by following all of the instructions provided in the template, including an explanation of the validation method used as a basis for the conformance claims in the report.

DHS Enterprise Architecture Compliance

All solutions and services shall meet DHS Enterprise Architecture policies, standards, and procedures. Specifically, the contractor shall comply with the following HLS EA requirements:

• All developed solutions and requirements shall be compliant with the HLS EA.

• All IT hardware and software shall be compliant with the HLS EA Technical

Reference Model (TRM) Standards and Products Profile.

• Description information for all data assets, information exchanges and data standards, whether adopted or developed, shall be submitted to the Enterprise Architecture Division (EAD) for review, approval and insertion into the DHS Data Reference Model and Mobius.

• Development of data assets, information exchanges and data standards will comply with the DHS Data Management Policy MD 103-01 and all data-related artifacts will be developed and validated according to DHS data management architectural guidelines.

• Applicability of Internet Protocol Version 6 (IPv6) to DHS-related components (networks, infrastructure, and applications) specific to individual acquisitions shall be in accordance with the DHS Enterprise Architecture (per OMB Memorandum M-05-22, August 2, 2005) regardless of whether the acquisition is for modification, upgrade, or replacement. All EA-related component acquisitions shall be IPv6 compliant as defined in the U.S. Government Version 6 (USGv6) Profile (National Institute of Standards and Technology (NIST) Special Publication 500-267) and the corresponding declarations of conformance defined in the USGv6 Test Program.

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 4300A Information Technology System Security Program, Sensitive Systems (Version 13.3, February 13, 2023)

(3) DHS 4300B National Security Systems Policy Directive (Version 10.1, November 21, 2018)

(4) DHS 4300C Sensitive Compartmental Information Systems (Version 2.2, August 22, 2018)

(5) DHS Security Authorization Process Guide

(6) DHS Handbook for Safeguarding Sensitive Personally Identifiable Information

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

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

(9) DHS Privacy Incident Handling Guidance

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

(11) 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

(12) 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 4300A Policy Directive (Version 13.3, February 13, 2023) provides 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 4300A Policy Directive (Version 13.3, February 13, 2023), 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 the DHS 4300A Policy Directive (Version 13.3, February 13, 2023). 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 DHS 4300 Policy Directive (Version 13.3, February 13, 2023), 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 third-party firms to aid in incident response activities.

(h) Additional PII and/or SPII Notification Requirements.

(1) The Contractor shall have in place procedures and the capability to notify any individual whose PII resided in the Contractor IT system at the time of the sensitive information incident not later than 5 business days after being directed to notify individuals, unless otherwise approved by the Contracting Officer. The method and content of any notification by the Contractor shall be coordinated with, and subject to prior written approval by the Contracting Officer, in consultation with the Headquarters or Component Privacy Officer, utilizing the DHS Privacy Incident Handling Guidance. The Contractor shall not proceed with notification unless the Contracting Officer, in consultation with the Headquarters or Component Privacy Officer, has determined in writing that notification is appropriate.

(2) Subject to Government analysis of the incident and the terms of its instructions to the Contractor regarding any resulting notification, the notification method may consist of letters to affected individuals sent by first class mail, electronic means, or general public notice, as approved by the Government. Notification may require the Contractor’s use of address verification and/or address location services. At a minimum, the notification shall include:

(i) A brief description of the incident;

(ii) A description of the types of PII and SPII involved;

(iii) A statement as to whether the PII or SPII was encrypted or protected by other means;

(iv) Steps individuals may take to protect themselves;

(v) What the Contractor and/or the Government are doing to investigate the incident, to mitigate the incident, and to protect against any future incidents; and

(vi) Information identifying who individuals may contact for additional information.

(i) Credit Monitoring Requirements. In the event that a sensitive information incident involves PII or SPII, the Contractor may be required to, as directed by the Contracting Officer:

(1) Provide notification to affected individuals as described above; and/or

(2) Provide credit monitoring services to individuals whose data was under the control of the Contractor or resided in the Contractor IT system at the time of the sensitive information incident for a period beginning the date of the incident and extending not less than 18 months from the date the individual is notified. Credit monitoring services shall be provided from a company with which the Contractor has no affiliation. At a minimum, credit monitoring services shall include:

(i) Triple credit bureau monitoring;

(ii) Daily customer service;

(iii) Alerts provided to the individual for changes and fraud; and

(iv) Assistance to the individual with enrollment in the services and the use of fraud alerts; and/or

(3) Establish a dedicated call center. Call center services shall include:

(i) A dedicated telephone number to contact customer service within a fixed period;

(ii) Information necessary for registrants/enrollees to access credit reports and credit scores;

(iii) Weekly reports on call center volume, issue escalation (i.e., those calls that cannot be handled by call center staff and must be resolved by call center management or DHS, as appropriate), and other key metrics;

(iv) Escalation of calls that cannot be handled by call center staff to call center management or DHS, as appropriate;

(v) Customized FAQs, approved in writing by the Contracting Officer in coordination with the Headquarters or Component Chief Privacy Officer; and

(vi) Information for registrants to contact customer service representatives and fraud resolution representatives for credit monitoring assistance.

(j) Certification of Sanitization of Government and Government-Activity-Related Files and Information. As part of contract closeout, the Contractor shall submit the certification to the COR and the Contracting Officer following the template provided in NIST Special Publication 800-88 Guidelines for Media Sanitization.

(End of Clause)

INFORMATION TECHNOLOGY SECURITY AND PRIVACY TRAINING (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) Security Training Requirements.

(1) All users of Federal information systems are required by Title 5, Code of Federal Regulations, Part 930.301, Subpart C, as amended, to be exposed to security awareness materials annually or whenever system security changes occur, or when the user’s responsibilities change. The Department of Homeland Security (DHS) requires that Contractor employees take an annual Information Technology Security Awareness Training course before accessing sensitive information under the contract. Unless otherwise specified, the training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall complete the training before accessing sensitive information under the contract. The training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, initial training certificates for each Contractor and subcontractor employee shall be provided to the Contracting Officer’s Representative (COR) not later than thirty (30) days after contract award. Subsequent training certificates to satisfy the annual training requirement shall be submitted to the COR via e-mail notification not later than October 31st of each year. The e-mail notification shall state the required training has been completed for all Contractor and subcontractor employees.

(2) The DHS Rules of Behavior apply to every DHS employee, Contractor and subcontractor that will have access to DHS systems and sensitive information. The DHS Rules of Behavior shall be signed before accessing DHS systems and sensitive information.

The DHS Rules of Behavior is a document that informs users of their responsibilities when accessing DHS systems and holds users accountable for actions taken while accessing DHS systems and using DHS Information Technology resources capable of inputting, storing, processing, outputting, and/or transmitting sensitive information. The DHS Rules of Behavior is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. Unless otherwise specified, the DHS Rules of Behavior shall be signed within thirty (30) days of contract award. Any new Contractor employees assigned to the contract shall also sign the DHS Rules of Behavior before accessing DHS systems and sensitive information. The Contractor shall maintain signed copies of the DHS Rules of Behavior for all Contractor and subcontractor employees as a record of compliance. Unless otherwise specified, the Contractor shall e-mail copies of the signed DHS Rules of Behavior to the COR not later than thirty (30) days after contract award for each employee.

The DHS Rules of Behavior will be reviewed annually and the COR will provide notification when a review is required.

(c) Privacy Training Requirements. All Contractor and subcontractor employees that will have access to Personally Identifiable Information (PII) and/or Sensitive PII (SPII) are required to take Privacy at DHS: Protecting Personal Information before accessing PII and/or SPII. The training is accessible at http://www.dhs.gov/dhs-security-and-training-requirements-contractors. Training shall be completed within thirty (30) days of contract award and be completed on an annual basis thereafter not later than October 31st of each year. Any new Contractor employees assigned to the contract shall also complete the training before accessing PII and/or SPII. The Contractor shall maintain copies of training certificates for all Contractor and subcontractor employees as a record of compliance.

Initial training certificates for each Contractor and subcontractor employee shall be provided to the COR not later than thirty (30) days after contract award.