Statement of Work (SOW).pdf

STATEMENT OF WORK

Title: Service and Maintenance Agreement for AMETEK Laboratory Equipment

D.1 Background:

1. The Division of Laboratory Sciences (DLS), National Center for Environmental Health (NCEH), Centers for Disease Control and Prevention (CDC), uses a variety of equipment from AMETEK to accomplish its public health mission. AMETEK laboratory instrumentation is used in analyses performed for radiological terrorism and emergency response, and in research and development to establish new analytic methods. Therefore, these instruments must be operational at all times to provide emergency response capabilities.

2. These instruments are highly complex with integrated computer operations and dedicated software, and their proper maintenance and repair requires a high degree of technical skills and long-term familiarity with the instruments. Because of CDC’s emergency response role in environmental studies and response to radiological terrorism events, it is critical that the downtime due to repairs is minimal.

3. From 2006 to present, AMETEK has efficiently provided optimal service and maintenance of new and existing instrumentation procured and utilized by the Inorganic and Radiation Analytical Toxicology

(IRAT) laboratories within the Division of Laboratory Sciences. Furthermore, there is a need for a service agreement to continue these services for the laboratory’s AMETEK instrumentation.

D.2 Purpose:

This contract is for preventative and remedial maintenance of the Spark Holland Symbiosis SPE systems and autosamplers to keep all instruments running optimally while eliminating costly repairs due to damaged or malfunctioning equipment.

D.3 Scope of Work:

The Contractor shall provide telephone support, on-site repairs by qualified engineers, on-site preventative maintenance visits, priority response times, and coverage of all parts and travel to

CDC. This agreement will cover all instruments and instrument components specific to the HPGe

Gamma Ray Spectrometry and Alpha Spectrometry Systems and the NaI systems as detailed on the spreadsheet provided as part of the requisition. Equipment that is currently under warranty is not included and may be added via contract negotiation/adjustment after warranties expire. The

Contractor shall furnish all material, labor, tools, parts and shipment of parts, supplies, and equipment necessary to provide these services at no additional cost to the Government.

D.4 Task to be Perfromed:

1. The Contractor shall, as an independent organization and not as an agent of the government, perform the following tasks to optimize performance and ensure timely repairs of the AMETEK laboratory instrumentation:

a. For the Platinum Service Plan-

(1) Provide 2 on-site service visits per year. During these visits, service engineers provide preventative maintenance as well as troubleshooting, repair, installation, as needed. The option to purchase additional on-site service visits will be provided.

(2) Repair Services – 24-hour response by service engineer; 5 workday’s time-frame to repair equipment. Routine repair services include replacement or restoration of parts and all contractor services required to return installed CDC laboratory equipment to the operational and design specifications in accordance with OEM recommendations and requirements or exceeding them.

(a) Initial confirmation of request shall be within four hours of the formal service call placement.

(b) The contractor shall respond within 24 hours to service call requests for instruments covered in the contract. Response (depending on the nature of the problem and as requested by CDC personnel) will be in one of the following forms:

▪ a telephone call or email troubleshooting the problem and resulting in repair of the equipment by CDC personnel.

▪ dispatch of part(s) for problem resolution with instructions for replacement or repair by CDC personnel; and/or

▪ an on-site visit by service representative.

▪ Other method that will resolve the issue and is acceptable to the CDC end user.

(c) If the contractor service representative is unable to complete required service and return equipment to good working condition during the initial service call and within 5 working days the contractor shall provide a written timeline for repair agreed upon by both the end user, service technician and senior service representative by no later than 48 hours thereafter.

(d) During situations where the CDC laboratory is responding to a national emergency, the

Contractor will provide repair services required as needed 24 hours per day, 7 days per week at no additional cost to the Government. The Contractor will provide a point of contact available to receive service requests in after-hour times. The Contractor shall respond within four (4) hours to notification of problems or equipment failure and shall perform repairs as necessary to put the system back into service.

(e) Contractor workmanship shall be at or above industry quality standards; and, any government notice of non-acceptability shall be rectified by the contractor within 48 hours of notice, at no additional cost to the government.

(f) Necessary replacement parts shall be “new” not “used” or “reconditioned”. The cost of labor, travel, replacement materials, parts or supplies required to complete routine repair of CDC laboratory equipment and restore to OEM operational specifications shall be the sole responsibility of the contractor; and, shall be provided at no additional cost to the government.

(g) For any loaner or mail-in repair service, the Contractor shall pay for all shipping charges for return, repair, loaner or replacement of equipment.

(h) In the event that covered equipment is to be relocated to an alternate site, the Contractor shall provide appropriate service to ensure the safe transport, installation, and ensure the full operational condition of the equipment in the new location at no additional cost to the government.

(i) The Contractor shall ensure hardware and software installation, operation, maintenance, update, and patching will not alter the configuration settings or requirements specified above.

(j) The contractor shall guarantee that the service performed and the products and parts supplied to repair or replace the equipment conforms to standards of workmanship prevailing in the trade.

(3) Vendor must provide free software upgrades on covered software as required.

2. Further, the vendor shall perform the same level of work, providing the same deliverables for each year of service.

D.5 Government Furnished Property: None

D.6 Deliverables:

D.7 Performance Requirements Summary:

Item Description

Description

Quantit y or No.

of

Copies

Delivery Date

Deliver To

On-site service visits 2 (per year of service) 1 Due within 3 business days of service notice

DLS/IRAT

Preventive maintenance visit 2 per year per instrument 1 Due within 3 business days of service notice

DLS/IRAT

Telephone support As needed Due within 8 hours of service request

DLS/IRAT

Successful repair broken and/or malfunctioning instruments covered by the agreement.

1 per service request Due throughout award period based on need.

DLS/IRAT

Software upgrades As needed (covered software)

Due throughout the award period as needed and upon availability

DLS/IRAT

Maintenance and repair reports 1 per service request/visit

1 Due within 2 business days of completion of service

DLS/IRAT

Monthly service invoices 2 copies 2 Due monthly in arrears beginning 30 days after award date

OAS, Project Officer and COR

Performance Objective Performance Standard (& AQL) Method of Performance

Assessment

1. Preventive maintenance of instruments Performed for each qualifying instrument on or ahead of schedule at least 80% of time allowing flexibility if needed by end user.

Review contractor reports/COR survey/End user feedback

2. Preventative Maintenance

Instrument Schedule

Delivered within 2 months of contract award.

Review by COR/Technical

Monitor

3. Prompt confirmation of formal service request.

Within 4 hours of initial service request at least 95% of the time.

Review contractor reports/COR survey/End user feedback

4. Prompt response to formal call for service through telephone assistance, shipment of parts, and/or on-site repairs provided as necessary for remediation.

Within 24 hours of initial service request at least 95% of the time.

Review contractor reports/COR survey/End user feedback

5. Successful repair of instruments covered by the agreement.

Within 5 days as a general rule, if the repair requires additional time a written plan must be agreed upon.

Review contractor reports/COR survey/End user feedback

6. No cost software and firmware upgrades and support.

As needed/required by instruments. Review contractor reports/COR survey/End user feedback

7. Service invoice/record (field service reports) provided following all remedial and preventative maintenance for inclusion in instrument logs.

1 per service call or PM included

100% of the time

Review contractor reports/COR survey/End user feedback

8. Monthly report 1 per month, on time at least 98% of time.

Review by COR/Technical

Monitor

9. Quarterly Conference Call with account service manager to discuss service and any issues.

1 per quarter, on time at least 98% of time.

Review by COR/Technical

Monitor

10. On-site visit by contractor to discuss service issues including account service manager, field service engineers, and

CDC users in the meeting.

1 per year, must demonstrate a commitment to continuous improvement of service delivery.

Review by COR/Technical

Monitor

D.7 Payment Terms:

Costs should be billed monthly in arrears. Payment terms and instructions are clearly defined in the contract award.

D.8 Special Considerations:

1. Installation and Servicing of Equipment:

a. Contractor shall scan all media (CDs, DVDs, portable hard drives, thumb drives, etc.) used for upgrading and installing the vendor’s software/firmware with antivirus software that has the latest virus signatures. The scans shall occur before using the media in a CDC computer/device and when moving the media between CDC computers/devices.

b. If in the performance of this contract, the contractor must replace an information storage device

(hard drive, non-volatile flash memory module, etc.) or service equipment offsite, the contractor must remove the information storage device(s) from the equipment and provide it to CDC to be either destroyed or erased. The contractor shall not bring off-site any part of the equipment they are servicing that contains CDC data.

D.9 IT Security and Privacy Requirements

1. Information Security and/or Physical Access Security

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:

(1) 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;

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

(3) 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: [ ] Low [X] Moderate [ [ ] High

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

Overall Risk Level: [ ] Low [X] 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:

[ ] Low [ ] Moderate [ ] High [X] N/A

Complete this section using the information obtained from the Security and Privacy

Checklist in Appendix A, parts A and B.

mailto:fisma@hhs.gov http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf http://csrc.nist.gov/publications/nistpubs/800-60-rev1/SP800-60_Vol2-Rev1.pdf

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. 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;

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 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

d. returned 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) –

a. 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.

See Appendix D for baseline deliverables.

See Appendix C for the Contractor Non-Disclosure Agreement.

http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf

(1) 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.

14. Training

a. 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.

b. 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.

(1) All HHS employees and contractors with SSR who have not completed the required training within the mandated timeframes shall have their user accounts disabled until they have met their RBT requirement.

c. 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.

15. Rules of Behavior

a. 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.

b. 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.

16. Incident Response

a. 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.

b. 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.

c. OMB Memorandum M-17-12, “Preparing for and Responding to a Breach of Personally

Identifiable Information” (03 January 2017) states:

(1) Definition of an Incident:

(a) 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

(2) Definition of a Breach:

(b) 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.

d. It further adds:

(1) 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 an other than authorized purpose.

e. 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.

17. 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).

18. Homeland Security Presidential Directive (HSPD)-12

a. 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.

The requiring activity representative, in conjunction with Personnel Security, shall use the OPM Position Sensitivity Designation automated tool

(https://www.opm.gov/investigations/) to determine the sensitivity designation for background investigations. After making those determinations, include all applicable position sensitivity designations.

For additional information, see HSPD-12 policy at: https://www.dhs.gov/homeland-security-presidential-directive-12) mailto:csirt@cdc.gov https://www.opm.gov/investigations/ https://www.dhs.gov/homeland-security-presidential-directive-12 https://www.dhs.gov/homeland-security-presidential-directive-12

19. Roster.

a. 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.

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

20. Contract Initiation and Expiration

a. 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).

b. 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.

c. 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.

d. 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.

e. 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.

d. 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

HHS EA requirements may be located here:

https://www.hhs.gov/ocio/ea/documents/proplans.html

CDC EPC Requirements: https://www2a.CDC.gov/CDCup/library/other/eplc.htm http://intranet.cdc.gov/od/hcrmo/pdfs/hr/Out_Processing_Checklist.pdf https://www.hhs.gov/ocio/ea/documents/proplans.html https://www2a.cdc.gov/CDCup/library/other/eplc.htm work under this contract. All documentation shall be made available to the CO and/or COR upon request.

20. Records Management and Retention

a. 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.

b. 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.

Deliverables

Deliverable Title/Deliverable Type Description Due Date

Roster Roster Within 30 days of the effective date of this contract

Contractor Employee Non- Disclosure

Agreement (NDA)

Contractor Employee Non-

Disclosure Agreement (NDA)

Prior to performing any work on behalf of

HHS

Privacy Threshold Analysis (PTA)/

Privacy Impact Assessment (PIA)

Assist in the completion of a

PTA/PIA form

Within 60-90 days after contract award

Training Records Copy of training records for all mandatory training

In conjunction with contract award and annually thereafter or upon request

Rules of Behavior Signed ROB for all employees Initiation of contract and at least annually thereafter

Incident Response Incident Report (as incidents or breaches occur)

As soon as possible and without reasonable delay and no later than 1 hour of discovery

Personnel Security Responsibilities List of Personnel with defined roles and responsibilities

Within 7 days; that is before an employee begins working on this contract.

Personnel Security Responsibilities Off-boarding documentation, equipment and badge when leaving contract

Within 5 days or less after the

Government’s final acceptance of the work under this contract, or in the event of a termination of the contract.

Background Investigation Onboarding documentation when beginning contract.

Prior to performing any work on behalf of

HHS

Certification of Sanitization of

Government and Government Activity-

Related Files, Information, and Devices.

Form or deliverables required by

OpDiv.

At contract expiration.

Contract Initiation and Expiration If the procurement involves a system or cloud service, additional documentation will be required, such as

At contract expiration.

Disposition/Decommission Plan

21. Installation and Servicing of Equipment

a. Contractor shall scan all media (CDs, DVDs, portable hard drives, thumb drives, etc.) used for upgrading and installing the vendor’s software/firmware with antivirus software that has the latest virus signatures. The scans shall occur before using the media in a CDC computer/device and when moving the media between CDC computers/devices.

b. If in the performance of this contract, the contractor must replace an information storage device

(hard drive, non-volatile flash memory module, etc.) or service equipment offsite, the contractor must remove the information storage device(s) from the equipment and provide it to CDC to be either destroyed or erased. The contractor shall not bring off-site any part of the equipment they are servicing that contains CDC data.