SV0231-26 Hay Solicitation.pdf

ORDER NUMBER:

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

1. REQUISITION NUMBER PAGE 1 OF

2. CONTRACT NO. 3. AWARD/EFFECTIVE

DATE

4. ORDER NUMBER 5. SOLICITATION NUMBER 6. SOLICITATION ISSUE

DATE

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls)

8. OFFER DUE DATE/

LOCAL TIME

9. ISSUED BY

13b. RATING

14. METHOD OF SOLICITATION

CODE

15. DELIVER TO 16. ADMINISTERED BY CODE

18a. PAYMENT WILL BE MADE BY CODE17a. CONTRACTOR/

OFFEROR

CODE

FACILITY

CODE

CODE

TELEPHONE NO.

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK

BELOW IS CHECKED

RFQ IFB RFP

SEE ADDENDUM

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED

29. AWARD OF CONTRACT: REF. OFFER

DATED . . YOUR OFFER ON SOLICITATION

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR

30b. NAME AND TITLE OF SIGNER (Type or print) 30c. DATE SIGNED

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

31b. NAME OF CONTRACTING OFFICER (Type or print) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA - FAR (48 CFR) 53.212

10. THIS ACQUISITION IS UNRESTRICTED OR

NAICS:

SIZE STANDARD:

13a. THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

SET ASIDE: % FOR:

11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

ARE ARE NOT ATTACHED

ARE ARE NOT ATTACHED

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

Coll. No.

8 (A)

EDWOSB

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SMALL BUSINESS

UEI

Document Number

SV023126

Chad Privett

LOX1 100

LOX1

391014499

UNDETERMINED SOURCE

NA BLANK

WASHINGTON DC 20534

UNICOR FPI CENTRAL ACCOUNTS PAYABLE

PO BOX 11849

LEXINGTON, KY 40578-1849

1620000391 See Section B

UNICOR FUNDS 15X4500 FUNDS SHALL BE OBLIGATED BY INDIVIDUAL DELIVERY ORDERS AND NOT BY THE CONTRACT ITSELF

Chad Privett

X

111940

08/17/2026

08/31/2026

2:00 PM

LOX1

LOMPOC FARM

3901 KLEIN BLVD

LOMPOC CA 93436-2706

LOMPOC FARM

3901 KLEIN BLVD

LOMPOC CA 93436-2706

08/17/2026

LOMPOC FARM

3901 KLEIN BLVD

LOMPOC CA 93436-2706

08/17/2026

6 M Ann Receipt

SOLICITATION: SV0231-26

GENERAL INTENTION:

It is the intent of this solicitation to result in a Firm Fixed Price, Indefinite Delivery Indefinite Quantity (IDIQ) type contract for a project located at: FCC Lompoc Farm as outlined in the below Statement of Work (SOW).

The North American Industrial Classification System (NAICS) Code applicable to this project is 424910 – Farm Supplies Merchant Wholesalers

The Product Service Code applicable to this project is: 8710 – Forage and Feed

Federal Prison Industries (FPI), operating under the trade name UNICOR, occupies multiple buildings at The Federal Bureau of Prisons - FCC Lompoc Farm to serve as a self-sustaining program providing work-based training to inmates.

The Scope of this project is Oat and Alfalfa Hay. The scope includes providing oat and alfalfa hay for the purpose of feeding cattle.

THIS SOLICITATION IS A FULL AND OPEN COMPETITION.

The date and time for the receipt of questions is Tuesday, August 25, 2026 at 2:00 PM EST. Submit all questions in writing to Chad Privett at chad.privett2@usdoj.gov.

Questions and Answers will be posted to the solicitation on SAM.gov.

The date and time for receipt of quotes is Tuesday, September 01, 2026 at 2:00 PM. Offer must include Solicitation No. SV0231-26, name, address and telephone number of offerors, technical description of the items being offered in sufficient detail to evaluate compliance with the requirements in the solicitation, terms of any expressed warranty, price and any discount terms. Offer must include acknowledgment of all amendments, if any.

THE FOLLOWING INFORMATION IS REQUIRED TO BE COMPLETED BY THE OFFEROR:

VENDOR'S UEI NUMBER: _________________

VENDOR'S TELEPHONE & FAX NUMBER: ___________________

VENDOR'S EMAIL ADDRESS: ________________

VENDOR'S BUSINESS SIZE (i.e. SMALL,LARGE,ETC.): ____________________

By submission of an offer, the offeror acknowledges the requirement that a prospective awardee shall be registered in the SAM database (System Award Management) prior to award, during performance and through final payment of any contract resulting from this solicitation.

mailto:chad.privett2@usdoj.gov

THE QUANTITIES IN SECTION B ARE ESTIMATES ONLY. THE 800,000 LBS TOTAL IS AN

ESTIMATED NEED AND IS NOT A GAURENTEED AMOUNT. THE MINIMUM AMOUNT

GAURENTEED IS 400,000 LBS.

EACH LINE ITEM IN SECTION B IS AN ESTIMATE OF THE TOTAL WEIGHT NEEDED OF EACH.

THE TOTAL 800,000 LBS WILL BE A COMBINATION OF DIFFERNET VALUES OF EACH LINE

ITEM IN SECTION B.

ORDER NUMBER:

SECTION B

SUPPLIES OR SERVICES AND PRICES/COSTS

Item No. SUPPLIES OR SERVICE Quantity U/M UNIT PRICE AMOUNT IN US$ Delivery Date

Terms: DST

00001 FARM1002 200,000 LB

ALFALFA-HAY-DRY-COW

Must be Equivalent to;

PURCHASED BY THE TON

00002 FARM1002B 200,000 LB

ALFALFA-HAY-BIG

00003 FARM1012RMS 200,000 LB

OAT-HAY-SMALL

00004 FARM1012RMB 200,000 LB

OAT-HAY-BIG

SECTION C – DESCRIPTION / SPECIFICATIONS / STATEMENT OF WORK

C.1: SCOPE

The Contractor shall furnish all materials, packaging, and transportation necessary to supply a maximum of 800,000 total pounds of a combination of Oat and Alfalfa Hay in accordance with the specifications contained herein. All products will be delivered FOB Destination to the Government-designated delivery location(s).

C.2 BACKGROUND:

The Government requires bulk procurement of Oat and Alfalfa Hay to support agricultural cattle operations. Hay will be used for feeding purposes of cattle.

C.3 REQUIREMENTS:

C.3.1 QUANTITY

The contractor shall provide up to a combination of 800,000 lbs of:

Alfalfa Hay (Large Bales) 3ft x 3ft x 8ft

Alfalfa Hay (Small Bales) 14in x 18in x 36in or 16in x 22in x 44in

Oat Hay (Large Bales) 3ft x 3ft x 8ft

Oat Hay (Small Bales) 14in x 18in x 36in or 16in x 22in x 44in

Material must be provided in square bales. NO ROUND BALES

C.4 TECHNICAL SPECIFICATIONS

C.4.1 Material Requirements

• ALFALFA HAY SQUARE BALES SMALL AND LARGE

As Received 100% Dry 90% Dry Moisture 16.5 0.0 10.0 Dry Matter 83.5 100.0 90.0 Crude Protein 15.9 19.0 17.1 Acid Det. Fiber 25.8 30.9 27.9

Neut. Det. Fiber 36.0 43.1 38.8 TDN Est. 49.4 59.1 53.2

NE/LACT, MCAL/LB 0.503 0.603 0.542

MCF 58.3 27.6 24.8

Phosphorus (P) 0.13 0.16 0.14 Calcium (Ca) 1.53 1.83 1.65 Potassium (K) 1.33 1.60 1.44 Magnesium (Mg) 0.40 0.48 0.43

TDN 90% DM Basis “GOOD” is 52.5 – 54.4 No Less than 52 percent T.D.N on 90 percent DM No Less than 28 percent A.D.F. on 90 percent DM No Less thank 17 percent Crude Protein on 90 percent DM Free of any Grasses/Weeds, No Noxious Weeds Free of any Foreign Matter, Well Cured.

• Oat Hay Specifications

Nutrient Metric Standard Range (Minimum) Standard Rage (Maximum) Moisture 90% Dry 100% Dry Crude Protein 30% 40%

TDN 50% 60%

ADF 30% 40%

NDF 50% 60%

Calcium 0.3 0.5 Phosphorus 0.2 0.4 Potassium 1.5 2.5 Magnesium 0.2

All offerors must provide Hay analysis to be approved by Farm Supervisor D. Gheno who will also run the analysis through a contract nutritionist before the bid is awarded. Please Forward the Hay analysis to Farm Supervisor, D.Gheno at Dgheno@central.unicor.gov and Contracting Officer Chad Privett at chad.privett2@usdoj.gov

Federal Prison Industries needs delivered as such- Tons in "Large or Small Bales".

Hay will be inspected upon delivery. If it does not meet the specs or has mold it will be returned at the vendors expense; (NO ROUND BALES) mailto:Dgheno@central.unicor.gov

SECTION D – PACKAGING AND MARKING

• All items shall be packaged to prevent damage during shipment.

• Packing Slip/Delivery o Vendor Name o Purchase order number (145XXXXXXX) o Quantity

SECTION E – INSPECTION AND ACCEPTANCE

• Inspection and Acceptance: Designated Government Official at delivery location

• Non-conforming supplies will be rejected and replaced at no cost. Any shipping fees for returned rejected supplies will be paid by the vendor and is not the responsibility of the Government.

SECTION F – DELIVERIES OR PERFORMANCE

• Delivery Terms: FOB Destination

• Delivery Location:

o UNICOR, Federal Prison Industries, Inc.

Lompoc Farm 3901 Klein Blvd.

Lompoc, CA 93436

• Delivery Schedule o Initial Delivery of 200,000 lbs of a combination of the items in Section B with 30 days o Each Delivery Order of a minimum of 100,000 lbs delivered within 30 days of placing the delivery oder.

o Deliveries can be in multiple loads on multiple days and will be unloaded by the agency.

o Deliveries must be coordinated with the Farm Manager or designee.

• Point of Contact (POC) for Deliveries o Primary POC:

David Gheno David.gheno2@usdoj.gov o Secondary POC:

Wyatt Caldera wyatt.caldera@usdoj.gov

SECTION G – CONTRACT ADMINISTRATION DATA

• Contracting Officer (CO):

o Chad Privett chad.privett2@usdoj.gov o Joshua Hassler Joshua.hassler2@usdoj.gov

• Invoicing Instructions:

o EMAIL TO ACCOUNTS.PAYABLE@USDOJ.GOV o All invoices are required to have the following information for payment:

o Valid/Current purchase order number (14500XXXX) o Line number from purchase order.

o Unit of measure matching PO.

SECTION H – SPECIAL CONTRACT REQUIREMENTS

Contractor must provide certification of the quality and type of each material.

Price Basis: Each Delivery Order issued under this contract will be priced at the fair market price in effect on the date the order is issued. The fair market price is defined as the contractor’s established catalog, market, or list price for the identical item of supply when sold in substantial quantities to the general public.

Price Verification: The contractor shall promptly notify the Contracting Officer of any decreases or increases in its established market price as they occur. Such adjustments shall apply only to orders placed on or after the effective date of the change.

Limitations:

a. Price increases will not exceed 10% of the price listed at the time of order placement.

mailto:David.gheno2@usdoj.gov mailto:Joshua.hassler2@usdoj.gov

b. Price decreases will be applied automatically without limit.

c. Orders placed before the effective date of any price change are not affected, unless delivery is delayed beyond the contractor’s control.

d. The Contractor shall provide documentation supporting any requested price adjustment, demonstrating that the increase reflects a corresponding change in prevailing industry pricing. Acceptable documentation may include published market indices, verified USDA price reports, supplier price lists, or other authoritative sources showing the industry-wide increase applicable at the time of the request. The Contracting Officer reserves the right to verify all submitted documentation and to request additional support as necessary to determine price reasonableness.

PART II – CONTRACT CLAUSES

SECTION I – CONTRACT CLAUSES

52.212-4 Terms and Conditions – Commercial – Commercial Products and Commercial Services: (April 2026) (Deviation)

(a) Definitions. The clause at Federal Acquisition Regulation (FAR) 52.202-1, Definitions, is incorporated by reference.

(b) Inspection/Acceptance. The Contractor shall only tender for acceptance those items that conform to the requirements of this contract. The Government reserves the right to inspect or test any supplies or services that have been tendered for acceptance. The Government may require repair or replacement of nonconforming supplies or reperformance of nonconforming services at no increase in contract price. If repair/replacement or reperformance will not correct the defects or is not possible, the Government may seek an equitable price reduction or adequate consideration for acceptance of nonconforming supplies or services. The

Government must exercise its post acceptance rights—

(1) Within a reasonable time after the defect was discovered or should have been discovered; and

(2) Before any substantial change occurs in the condition of the item, unless the change is due to the defect in the item.

(c) Assignment. The Contractor or its assignee may assign its rights to receive payment due as a result of performance of this contract to a bank, trust company, or other financing institution, including any Federal lending agency in accordance with the Assignment of Claims Act (31 U.S.C. 3727). However, when a third party makes payment (e.g., use of the Governmentwide commercial purchase card), the

Contractor may not assign its rights to receive payment under this contract.

(d) Changes. Changes in the terms and conditions of this contract may be made only by written agreement of the parties.

(e) Disputes. This contract is subject to 41 U.S.C. chapter 71, Contract Disputes.

Failure of the parties to this contract to reach agreement on any request for equitable adjustment, claim, appeal, or action arising under or relating to this contract shall be a dispute to be resolved in accordance with the clause FAR

52.202-1, Definitions

52.203-17, Contractor Employee Whistleblower (November 2025)(DEVIATION)

Rights

52.203-18, 52.204-9, Personal Identity Verification of Contractor Personnel

52.204-13, System for Award Management (SAM) – Maintenance

52.204-19, Incorporation by Reference of Representations and Certifications (November

2025) (DEVIATION)

52.209-6, Protecting the Government’s interest when subcontracting with contractors debarred, suspended, or proposed for debarment (April 2026)(DEVIATION)

52.209-10, Prohibition on Contracting with Inverted Domestic Corporations(April

2026)(DEVIATION)

52.216-18 – Ordering (Aug 2020)

As prescribed in 16.505(a), insert the following clause:

(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders or task orders by the individuals or activities designated in the Schedule. Such orders may be issued from the date of the award of the contract through one year.

(b) All delivery orders or task orders are subject to the terms and conditions of this contract. In the event of conflict between a delivery order or task order and this contract, the contract shall control.

(c) A delivery order or task order is considered "issued" when—

(1) If sent by mail (includes transmittal by U.S. mail or private delivery service), the Government deposits the order in the mail;

(2) If sent by fax, the Government transmits the order to the Contractor's fax number; or

(3) If sent electronically, the Government either—

(i) Posts a copy of the delivery order or task order to a Government document access system, and notice is sent to the Contractor; or

(ii) Distributes the delivery order or task order via email to the Contractor's email address.

(d) Orders may be issued by methods other than those enumerated in this clause only if authorized in the contract.

(End of clause)

52.216-19 – Order Limitations (Oct 1995)

As prescribed in 16.505(b), insert a clause substantially the same as follows:

(a) Minimum order. When the Government requires supplies or services covered by this contract in an amount of less than 100,000 pounds, the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those supplies or services under the contract.

(b) Maximum order. The Contractor is not obligated to honor-

(1) Any order for a single item in excess of 400,000 pounds;

(2) Any order for a combination of items in excess of 400,000; or

(3) A series of orders from the same ordering office within 30 days that together call for quantities exceeding the limitation in paragraph (b)(1) or (2) of this section.

(c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the Federal Acquisition Regulation (FAR)), the Government is not required to order a part of any one requirement from the Contractor if that requirement exceeds the maximum-order limitations in paragraph (b) of this section.

(d) Notwithstanding paragraphs (b) and (c) of this section, the Contractor shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order (or orders) is returned to the ordering office within 3 days after issuance, with written notice stating the Contractor’s intent not to ship the item (or items) called for and the reasons.

Upon receiving this notice, the Government may acquire the supplies or services from another source.

(End of clause)

52.216-22 – Indefinite Quantity (July 2026) (DEVIATION)

As prescribed in 16.505(e), insert the following clause:

(a) This is an indefinite-quantity contract for the supplies or services specified, and effective for the period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates only and are not purchased by this contract.

(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the "maximum." The Government shall order at least the quantity of supplies or services designated in the Schedule as the "minimum."

(c) Except for any limitations on quantities in the Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations.

(d) Any order issued during the ordering period of this contract and not completed within that period shall be completed by the Contractor within the time specified in the order, which may include order options to be exercised after the ordering period of this contract but before the end of the period of performance of the order. The contract shall govern the Contractor's and Government's rights and obligations with respect to that order, including options exercised, to the same extent as if the order were completed during the contract's ordering period; provided, that the Contractor shall not be required to make any deliveries under this contract after one year from the awarded date of the contract.

• 52.219-33, Nonmanufacturer Rule (December 08, 2025) (DEVIATION)

• 52.222-3, Convict Labor (July 2025) (DEVIATION)

• 52.222-19, Child Labor-Cooperation with Authorities and Remedies (July 2025)

(DEVIATION)

• 52.222-36, Equal Opportunity for Workers with Disabilities. (July 2025) (DEVIATION)

• 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (July

2025) ( DEVIATION)

• 52.222-50, Combating Trafficking in Persons (July 2025) (DEVIATION)

• 52.222-90, Addressing DEI Discrimination by Federal Contractors (July 2025)(DEVIATION)

• 52.223-23, Sustainable Products (December 2025) (DEVIATION)

• 52.226-8 Encouraging Contractor Policies to Ban Text Messaging While Driving (August

2025) (DEVIATION)

• 52.229-3, Federal, State, and Local Taxes (August 2025) (DEVIATION)

• 52.232-1 Payments (Apr 1984)

• 52.232.29, Terms for Financing of Purchases of Commercial Products and Commercial Services. (December 2025) (DEVIATION)

• 52.232-33, Payment by Electronic Funds Transfer-System for Award Management. (Oct 2018)

• 52.232-40, Providing Accelerated Payments to Small Business Subcontractors.

(December 2025) (DEVIATION)

• 52.233-1, Disputes (November 2025) (DEVIATION)

• 52.233-3, Protest after Award (November 2025) (DEVIATION)

• 52.233-4, Applicable Law for Breach of Contract Claim. (November 2025) (DEVIATION)

• 52.240-91, Security Prohibitions and Exclusions (Nov 2025) (DEVIATION)

• 52.244-6 Subcontracts for Commercial Products and Commercial Services. (November

2025) (DEVIATION)

• 52.247-34, F.O.B. Destination (November 2025) (DEVIATION)

UNICOR, Federal Prison Industries, Inc.

Lompoc Farm

3901 Klein Blvd.

Lompoc, CA 93436

• 52.252-2, Clauses Incorporated By Reference (Feb 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es):

acquisitions.gov

• 52.252-6, Authorized Deviation in Clauses (Nov 2020)

(a) The use in this solicitation or contract of any Federal Acquisition Regulation (48

CFR Chapter 1) clause with an authorized deviation is indicated by the addition of

“(DEVIATION)” after the date of the clause.

(b) The use in this solicitation or contract of any Local Level Economic Price

Adjustment clause (48 CFR Chapter 16) clause with an authorized deviation is indicated by the addition of “(DEVIATION)” after the name of the regulation

• DOJ-01 Whistleblower Information Distribution

Within 30 days of contract award, the contractor and its subcontractors must distribute the “Whistleblower Information for Employees of DOJ Contractors, Subcontractors, Grantees, or Sub-Grantees or Personal Services

Contractors” (“Whistleblower Information”) document to their employees performing work in support of the products and services delivered under this contract (https://oig.justice.gov/sites/default/files/2020-04/NDAAbrochure.

pdf). By agreeing to the terms and conditions of this contract, the prime contractor acknowledges receipt of this requirement, in accordance with 41 U.S.C. § 4712 and FAR 3.906 & 52.203-17, and commits to distribution. Within 45 days of award, the contractor must provide confirmation to the contracting officer verifying that it has distributed the whistleblower information as required.

• DOJ-02 Contractor Privacy Requirements

Limiting Access to Privacy Act and Other Sensitive Information

(1) Privacy Act Information

In accordance with FAR 52.224-1 Privacy Act Notification (APR 1984) and FAR

52.224-2 Privacy Act (APR 1984), if this contract requires Contractor personnel to have access to information protected by the Privacy Act of 1974, the contractor is advised that the relevant DOJ system of records notices (SORNs) applicable to this Privacy Act information may be found at https://www.justice.gov/opcl/dojsystems-records.1

Applicable SORNs published by other agencies may be accessed through those agencies’ websites or by searching the Federal Digital System (FDsys) available at http://www.gpo.gov/fdsys/. SORNs may be updated at any time.

(2) Prohibition on Performing Work Outside a Government Facility/Network/Equipment

Except where use of Contractor networks, IT, other equipment, or Workplace as a Service (WaaS) is specifically authorized within this contract, the Contractor shall perform all tasks on authorized Government networks, using Governmentfurnished

IT and other equipment and/or WaaS and Government information shall remain within the confines of authorized Government networks at all times.

Any handling of Government information on Contractor networks or IT must be approved by the Senior Component Official for Privacy of the component entering into this contract. Except where remote work is specifically authorized within this contract, the Contractor shall perform all tasks described in this document at authorized Government facilities; the Contractor is prohibited from performing these tasks at or removing Government-furnished information to any other facility; and Government information shall remain within the confines of authorized Government facilities at all times. Contractors may only access classified materials on government furnished equipment in authorized government owned facilities regardless of remote work authorizations.

(3) Prior Approval Required to Hire Subcontractors

The Contractor is required to obtain the Contracting Officer's approval prior to engaging in any contractual relationship (Subcontractor) in support of this contract requiring the disclosure of information, documentary material and/or records generated under or relating to this contract. The Contractor (and any

Subcontractor) is required to abide by Government and Agency guidance for protecting sensitive and proprietary information.

(4) Separation Checklist for Contractor Employees

The Contractor shall complete and submit an appropriate separation checklist to the Contracting Officer before any employee or Subcontractor employee terminates working on the contract. The Contractor must submit the separation checklist on or before the last day of employment or work on the contract. The separation checklist must verify: (1)

“[T]he term ‘record’ means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph.” 5 U.S.C. §

552a(a)(4). “[T]he term ‘system of records’ means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.” 5

U.S.C. § 552a(a)(5).

Return of any Government-furnished equipment; (2) return or proper disposition of personally identifiable information (PII)2, in paper or electronic form, in the custody of the employee or Subcontractor employee including the sanitization of data on any computer systems or media as appropriate; and (3) termination of any technological access to the Contractor’s facilities or systems that would permit the terminated employee’s access to PII or other sensitive information.

In the event of adverse job actions resulting in the dismissal of a Contractor or

Subcontractor employee before the separation checklist can be completed, the

Prime Contractor must notify the Contracting Officer within 24 hours and confirm receipt of the notification. In the case the Contractor is unable to notify the

Contracting Officer, then the Contractor should notify the Contract Officer’s

Representative (COR).

Contractors must complete the separation checklist with the Contracting Officer or COR by returning all Government-furnished property including, but not limited to, computer equipment, media, credentials and passports, smart cards, mobile devices, Personal Identity Verification (PIV) cards, calling cards, and keys and terminating access to all user accounts and systems. Unless the Contracting

Officer requests otherwise, the relevant Program Manager or other Key Personnel designated by the Contracting Officer or COR may facilitate the return of equipment.

B. Privacy Training, Safeguarding, and Remediation

(1) Required Security and Privacy Training for Contractors

The Contractor must ensure that all employees take appropriate privacy training, including Subcontractors who have access to PII as well as the creation, use, dissemination and/or destruction of PII at the outset of the employee’s work on the contract and every year thereafter. Training must include procedures on how to properly handle PII, including heightened security requirements for the transporting or transmission of sensitive PII, and reporting requirements for a suspected breach or loss of PII. These courses, along with more information about

DOJ security and training requirements for Contractors, are available at https://www.justice.gov/jmd/learndoj. The Federal Information Security

Modernization Act of 2014 (FISMA) requires all individuals accessing DOJ information to complete training on records management, cybersecurity awareness, and information system privacy awareness. Contractor employees are required to sign the “Privacy Rules of Behavior,” acknowledging and agreeing to abide by privacy law, policy, and certain privacy safeguards, prior to accessing DOJ information. These Rules of Behavior are made available to all new users of DOJ’s computer network and to trainees at the conclusion of DOJ-OPCL-CS-0005.

The Contractor should maintain copies of certificates as a record of compliance and must submit an email notification annually to the COR verifying that all employees working under this contract have completed the required privacy and cybersecurity training.

(2) Safeguarding PII Requirements

Contractor employees must comply with DOJ Order 0904 and other guidance published to the publicly-available Office of Privacy and Civil Liberties (OPCL)

Resources page3 relating to the safeguarding of PII, including the use of additional controls to safeguard sensitive PII (e.g., the encryption of sensitive PII). This requirement flows down from the Prime Contractor to all Subcontractors and lower tiered subcontracts.

(3) Non-Disclosure Agreement Requirement

Prior to commencing work, all Contractor personnel that may have access to PII or other sensitive information shall be required to sign a Non-Disclosure Agreement

(NDA) and the DOJ IT Rules of Behavior. The Non-Disclosure Agreement:

a) prohibits the Contractor from retaining or divulging any PII or other sensitive information, or derivatives therefrom, furnished by the

Government or to which they may otherwise come in contact as a result of their performance of work under the contract/task order that is otherwise not publicly available, whether or not such information has been reduced to writing; and

b) requires the Contractor to report any loss of control, compromise, unauthorized disclosure, or unauthorized acquisition of PII or other sensitive information to the component-level or headquarters Security

Operations Center within one (1) hour of discovery.

The Contractor should maintain signed copies of the NDA for all employees as a record of compliance. The Contractor should also provide copies of each employee’s signed NDA to the Contracting Officer before the employee may commence work under the contract/task order.

(4) Prohibition on Use of PII in Vendor Billing and Administrative Records

The Contractor’s invoicing, billing, and other financial or administrative records or databases is not authorized to regularly store or include any sensitive PII or other confidential government information that is created, obtained, or provided during the performance of the contract without the written permission of the Senior

Component Official for Privacy (SCOP). It is acceptable to list the names, titles and contact information for the Contracting Officer, COR, or other personnel associated with the administration of the contract in the invoices as needed.

(5) Reporting Actual or Suspected Data Breach

Contractors must report any actual or suspected breach of PII within one hour of discovery.4 A “breach” is an incident or occurrence that involves 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 PII or (2) an authorized user accesses or potentially accesses PII for an other than authorized purpose. The report of a breach must be made to DOJ. The Contractor must cooperate with DOJ’s inquiry into the incident and efforts to minimize risks to DOJ or individuals, including remediating any harm to potential victims.

a) The Contractor must develop and maintain an internal process by which its employees and Subcontractors are trained to identify and report the breach, consistent with DOJ Instruction 0900.00.015, Reporting and

Response Procedures for a Breach of Personally Identifiable Information.

b) The Contractor must report any such breach by its employees or

Subcontractors to the DOJ Security Operations Center

(dojcert@usdoj.gov, 202-357-7000); Component-level Security Operations

Center and Component-level Management Team, where appropriate; the

COR; and the Contracting Officer within one (1) hour of the initial discovery.

c) The Contractor must provide a written report to the DOJ Security

Operations Center (dojcert@usdoj.gov, 202-357-7000) within 24 hours of discovery of the breach by its employees or Subcontractors. The report must contain the following information:

i. Narrative or detailed description of the events surrounding the suspected loss or compromise of information.6 Date, time, and location of the incident.

ii. Amount, type, and sensitivity of information that may have been lost or compromised, accessed without authorization, etc.

iii. Contractor’s assessment of the likelihood that the information was compromised or lost and the reasons behind the assessment.7

iv. Names and classification of person(s) involved, including victim, Contractor employee/Subcontractor and any witnesses.

v. Cause of the incident and whether the company’s security plan was followed and, if not, which specific provisions were not followed.8

vi. Actions that have been or will be taken to minimize damage and/or mitigate further compromise.

vii. Recommendations to prevent similar situations in the future, including whether the security plan needs to be modified in any way and whether additional training may be required.

d) 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.

e) At the Government’s discretion, Contractor employees or

Subcontractor employees may be identified as no longer eligible to access

PII or to work on that contract based on their actions related to the loss or compromise of PII.

(6) Victim Remediation

At DOJ’s request, the Contractor is responsible for notifying victims and providing victim remediation services in the event of a breach of PII held by the Contractor, its agents, or its Subcontractors, under this contract. Victim remediation services shall include at least 18 months of credit monitoring and, for serious or large incidents as determined by the Government, call center help desk services for the individuals whose PII was lost or compromised. When DOJ requests notification, the Department Chief Privacy and Civil Liberties Officer and SCOP will direct the

Contractor on the method and content of such notification to be sent to individuals whose PII was breached. By performing this work, the Contractor agrees to full cooperation in the event of a breach. The Contractor should be selfinsured to the extent necessary to handle any reasonably foreseeable breach, with another source of income, to fully cover the costs of breach response, including but not limited to victim remediation.

C. Government Records Training, Ownership, and Management

(1) Records Management Training and Compliance

a) The Contractor must ensure that all employees and Subcontractors that have access to PII as well as to those involved in the creation, use, dissemination and/or destruction of PII take the DOJ Records and

Information Training for New Employees (RIM) training course or another training approved by the Contracting Officer or COR. This training will be provided at the outset of the Subcontractor’s/employee’s work on the contract and every year thereafter. The

Contractor shall maintain copies of certificates as a record of compliance and must submit an email notification annually to the COR verifying that all employees working under this contract have completed the required records management training.

b) The Contractor agrees to comply with Federal and Agency records management policies, including those policies associated with the safeguarding of records containing PII and those covered by the Privacy

Act of 1974. These policies include the preservation of all records created or received regardless of format, mode of transmission, or state of completion.

(2) Records Creation, Ownership, and Disposition

a) The Contractor shall not create or maintain any records not specifically tied to or authorized by the contract using Government IT equipment and/or Government records or that contain Government Agency information. The Contractor shall certify, in writing, the appropriate disposition or return of all Government information at the conclusion of the contract or at a time otherwise specified in the contract. In accordance with 36 CFR 1222.32, the Contractor shall maintain and manage all Federal records created in the course of performing the contract in accordance with Federal law. Records may not be removed from the legal custody of DOJ or destroyed except in accordance with the provisions of the agency records schedules.

b) Except as stated in the Performance Work Statement and, where applicable, the Contractor’s Commercial License Agreement, the

Government Agency owns the rights to all electronic information

(electronic data, electronic information systems or electronic databases and all supporting documentation and associated metadata created as part of this contract. All deliverables

(including all data and records) under the contract are the property of the U.S. Government and may be considered federal records, for which the Agency shall have unlimited rights to use, dispose of, or disclose such data contained therein. The Contractor must deliver sufficient technical documentation with all data deliverables to permit the agency to use the data.

c) The Contractor shall not retain, use, sell, disseminate, or dispose of any government data/records or deliverables without the express written permission of the Contracting Officer or

Contracting Officer’s Representative. The Agency and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by

18 U.S.C. § 2701. Records may not be removed from the legal custody of the Agency or destroyed without regard to the provisions of the Agency records schedules.

D. Data Privacy and Oversight

(1) Restrictions on Testing or Training Using Real Data Containing PII

The use of real data containing PII from any source for testing or training purposes is generally prohibited. The Contractor shall use synthetic or deidentified real data for testing or training whenever feasible.

(2) Requirements for Contractor IT Systems Hosting Government Data

The Contractor is required to obtain an Authority to Operate (ATO) for any IT environment owned or controlled by the Contractor or any Subcontractor on which Government data shall reside for the purposes of IT system development, design, data migration, testing, training, maintenance, use, or disposal.

(3) Requirement to Support Privacy Compliance

(a) If this contract requires the development, maintenance or administration of information technology9, the Contractor shall support the completion of the Initial Privacy Assessment (IPA) document, if requested by Department personnel. An IPA is the first step in a process to identify potential privacy issues and mitigate privacy risks. The IPA asks basic questions to help components assess whether additional privacy protections may be needed in designing or implementing a project10 to mitigate privacy risks, and whether compliance work may be needed. Upon review of the IPA, the OPCL determines whether a Privacy Impact Assessment (PIA) document and/or

SORN, or modifications thereto, are required. The Contractor shall provide adequate support to complete the applicable risk assessment and PIA document in a timely manner and shall ensure that project management plans and schedules include the IPA, PIA, and SORN (to the extent required) as milestones. Additional information on the privacy compliance process at

DOJ, including IPAs, PIAs, and SORNs, is located on the DOJ OPCL website

(https://dojnet.doj.gov/privacy/), including DOJ Order 0601, Privacy and Civil

Liberties. The Privacy Impact Assessment Guidance and Template outline the requirements and format for the PIA.

b) If the contract involves an IT system build or substantial development or changes to an IT system that may require privacy risk assessment and documentation, the Contractor shall provide adequate support to DOJ to ensure DOJ can complete any required assessment, and IPA, PIA, SORN, or other supporting documentation to support privacy compliance. The

Contractor shall work with personnel from the program office, OPCL, the

Office of the Chief Information Officer (OCIO), and the Office of Records

Management and Policy to ensure that the privacy assessments and documentation are kept on schedule, that the answers to questions in the documents are thorough and complete, and that questions asked by the

OPCL and other offices are answered in a timely fashion. The Contractor must ensure the completion of required PIAs and documentation of privacy controls consistent with federal law and standards, e.g. NIST 800-53, Rev. 5;

and compliance with the Privacy Act of 1974, E-Government Act of 2002, Federal Information Security Modernization Act of 2014, and key OMB guidelines, e.g. OMB Circular A-130

DOJ-03 Personnel Security Requirements for Contractor Employees (NOV 2021) (Alt. I) Classified Information – Cleared Contractors

Work performed under this contract will involve any one or more of the following: access to DOJ Information, which may include Controlled Unclassified Information (CUI), i.e., unclassified, sensitive DOJ information, and/or access to DOJ Information Technology (IT) systems, and/or unescorted access to DOJ space or facilities. Contractor employees will occupy Public Trust Positions, unless clause alternates are applied.

___ (Check if applicable) Access to/safeguarding of classified information will be required.

Alternate I sections also apply

1. General Requirements

(a) (1) All references to “contract(or) personnel” and “contract(or) employee” in this clause means all individuals, without limitation, to include individuals employed by the contractor, team member, subcontractor, consultant, and/or independent contractor, who will have access to information of the Department of Justice (DOJ) or information that is within the custody and control of the DOJ, access to DOJ IT systems, and/or unescorted access to DOJ facilities/space in connection with the performance of this contract. “Employment” as used herein does not create nor imply an employer/employee relationship between the DOJ and contractor employees.

(b) (1) The type of security investigation required for each contractor employee will be governed by the type and risk level of information made available to the contractor employee. The contractor will not be permitted to commence performance under this contract until a sufficient number of its personnel, as determined by the Security Programs Manager (SPM), in consultation with the Contracting Officer’s Representative if one is appointed, have received the requisite security approval.

(c) Except where specifically noted otherwise, the federal government will be responsible for the cost and conduct of the investigation.

(d) The contractor shall ensure that no contractor employee commences performance prior to receipt of a written authorization from the contracting officer, COR, or the SPM that performance by the respective contractor employee is authorized.

(e) The data and other information to which the contractor may have access as a result of this contract is the property of, and/or within the custody and control of, the Department, and its disclosure to third parties is governed by various statutes and regulations, the violation of which may subject the discloser to criminal penalties.

2. Citizenship and Residency Requirements

(a) Residency Requirement. (1) Contractor employees in Public Trust positions, both U.S.

citizens and non-U.S. citizens, must meet the Department’s residency requirement if they will require access to DOJ information, IT systems, or unescorted access to facilities. For three years (not necessarily consecutive years) out of the last five years immediately prior to employment under the Department contract the contractor employee must have: (i) resided in the U.S.; (ii) worked for the U.S. in a foreign country as either an employee or contractor in a federal civilian or military capacity; or, (iii) been a dependent of a federal civilian or military employee or contractor working for the U.S. in a foreign country. At the Department’s sole discretion, the residency requirement may be waived by the Department Security Officer (DSO) for contractor employees on a case-by-case basis where justified by extenuating circumstances. The residency requirement does not apply to contractor employees residing in foreign countries that are hired to work in American embassies/consulates/missions located outside of the United States and who require access to DOJ information, IT systems, or unescorted access provided that an adequate background investigation can be conducted, with favorable adjudication, as determined by the DSO.

(b) Citizenship. (1) Aside from the specific exceptions set forth in Section 1.2(b)(2), for Public Trust positions, the DOJ requires that contractor employees be U.S. citizens and nationals, or lawful permanent residents seeking U.S. citizenship. Any prospective non-U.S.

citizen contractor employee who requires access to DOJ information systems, DOJ information, and/or unescorted facilities access must also have been granted a waiver as described below in paragraphs 1.2(d) and/or (e). The contractor is responsible for verifying that the non-U.S. citizens working under this contract are lawful permanent residents seeking U.S. citizenship.

(2) Exception for Certain Non-U.S. Citizen Contractor Employees: (i) Non-U.S. citizen expert witnesses, litigative consultants, and interpreters in rare foreign languages are not required to be lawful permanent residents seeking U.S. citizenship. However, they must be granted a waiver for access to unclassified DOJ information, whether CUI or not, DOJ IT systems, and/or unescorted facility access, as described below in paragraph 1.2(d) and (e), regardless of the duration of their duties. (ii) Non-U.S. Citizen contractor employees residing in foreign countries who are hired to work for the Department of Justice in American embassies/consulates/missions outside of the United States are not required to be lawful permanent residents seeking U.S. citizenship.

(c) Dual Citizenship. (1) U.S. citizens who hold dual citizenship with a foreign country are considered U.S. citizens within the meaning of this clause, and may be considered for, but are not entitled to, contract employment as U.S. citizens consistent with this clause. The means by which the contractor employee obtained or exercises his or her dual citizenship status will be a consideration in the Public Trust Investigation (PTI) adjudication, and/or waiver approval processes discussed in this clause.

(d) Access to DOJ Information Technology Systems. Non-U.S citizens are not authorized to access DOJ information technology (IT) systems or assist in the development, operation, management, or maintenance of DOJ IT systems, including providing IT system support, unless a waiver has been granted by the Head of the DOJ component or designee, with the prior concurrence of both the DSO and the DOJ Chief Information Officer, allowing computer access by the non-U.S. citizen. Such a waiver will be granted only in exceptional and unique circumstances on a case-by-case basis. It should be noted that the Justice Consolidated Office

Network (JCON) is a sensitive DOJ IT system and any contractor employee who will need access to JCON must be a U.S. citizen or have received a waiver. In order for a waiver to be considered for approval: (1) There must be a compelling reason for using this individual as opposed to a U.S. citizen; (2) The type of personnel security vetting that has been conducted on the individual, and vetting results, that would mitigate risk; and (3) The waiver must be in the best interest of the federal government.

(e) Access to Unclassified DOJ Information and Unescorted Access to DOJ Facilities or Space. (1) Except as provided under 1.2(b)(2), non-U.S. citizens are not authorized to access DOJ information and/or unescorted access to DOJ facilities or space, unless a waiver has been granted by the DSO, allowing access by the non-U.S. citizen. Such a waiver will be granted on a case-by-case basis where justified at the discretion of the DSO.

3. Background Investigation Requirements

(a) (1) Unless otherwise stated below, all contractor personnel are subject to a Public Trust Investigation (PTI). The SPM will determine the type of investigation for each contractor employee based on the risk category (i.e., the nature of the position and degree of harm that could be caused by the individual in that position) and whether the position is long-term or short-term. The PTI risk categories are listed below.

(i) High Risk Positions. The minimum background investigation required is a Tier 4 (T4) investigation, and the five-year reinvestigation required is a Tier 4R (T4R) investigation. The 2017 version of the Standard Form (SF) 85P, Questionnaire for Public Trust Positions, is required.

(ii) Moderate Risk Positions. The minimum background investigation required is a Tier 2 (T2) investigation. The five-year reinvestigation required is a Tier 2R (T2R) investigation. The 2017 version of the SF-85P is required.

(iii) Low Risk/Non-Sensitive Positions. The minimum background investigation required for Low Risk/Non-Sensitive positions is a Tier 1 (T1) investigation…