DJU1620000393.pdf

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SOLICITATION, OFFER, AND AWARD 1. This Contract is a Rated Order under the Defense Priorities and Allocations System (DPAS) - Code of Federal Regulations - at 15 CFR 700.

RATING

2. CONTRACT NUMBER 3. SOLICITATION NUMBER 4. TYPE OF SOLICITATION

SEALED BID (IFB) INVITATION FOR BID

DJU1620000393 X NEGOTIATED (RFP) REQUEST FOR

PROPOSAL

5. DATE

ISSUED

6. REQUISITION/PURCHASE

NUMBER

7. ISSUED BY

UNICOR, FPI CENTRAL OFFICE

400 1ST ST NW WASHINGTON

DC 20534-0004

CODE COCO

Jason Morgan

(O) 771-210-8264 Jason.morgan2@ usdoj.gov

8. ADDRESS OFFER TO (If other than item 7)

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

SOLICITATION

9. Sealed offers in original and copies for furnishing the supplies or services in the Schedule will be received at the place specified in item 8, or if hand carried, in the depository located in see block 7 until 11:00 EST local time _10/31/2026

(Hour) (Date) CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision Number 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

10. FOR

INFORMATION

CALL:

A. NAME

Jason Morgan

B. TELEPHONE (NO COLLECT CALLS) C. EMAIL ADDRESS

jason.morgan2@usdoj.gov

AREA CODE

NUMBER

210-8264

EXTENSION

11. TABLE OF CONTENTS

(X) SECTION DESCRIPTION PAGE(S) (X) SECTION DESCRIPTION PAGE(S)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM 1-2 X I CONTRACT CLAUSES 23-30

X B SUPPLIES OR SERVICES AND PRICES/COSTS 3 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

X C DESCRIPTION/SPECIFICATIONS/WORK STATEMENT 4 X J LIST OF ATTACHMENTS 31

X D PACKAGING AND MARKING 5 PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 6

X K REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS 32-38 X F DELIVERIES OR PERFORMANCE 7

X G CONTRACT ADMINISTRATION DATA 8 X L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS 39-41

X H SPECIAL CONTRACT REQUIREMENTS 10-22 X M EVALUATION FACTORS FOR AWARD 42

OFFER (Must be fully completed by offeror) NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT

(See Section I, Clause Number 52.232-8)

14. ACKNOWLEDGEMENT OF AMENDMENTS

(The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated):

0 CALENDAR DAYS (%)

0.00 %

DATE

15A. NAME AND

ADDRESS

OF

OFFEROR

CODE FACILITY 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN

OFFER (Type or Print)

15B. TELEPHONE NUMBER

AREA CODE

18. OFFER DATE

19. ACCEPTED AS TO ITEMS NUMBERED

AWARD (To be completed by Government)

21. ACCOUNTING AND APPROPRIATION

22. AUTHORITY FOR USING OTHER THAN FULL OPEN COMPETITION

UNDER THE UNITED STATES CODE AT:

10 U.S.C. 3204(a) ( ) 41 U.S.C. 3304(a) ( )

24. ADMINISTERED BY (if other than Item 7) CODE

25. PAYMENT WILL BE MADE BY CODE

ITEM

26. NAME OF CONTRACTING OFFICER (Type or print) Jason Morgan

28. AWARD DATE

IMPORTANT - Award w ill be made on this Form, or on Standard Form 26, or by other authorized official written notice.

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (REV. 12/2022)

Prescribed by GSA - FAR (48 CFR) 53.214(c)

27. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

17. SIGNATURE15C. CHECK IF REMITTANCE ADDRESS IS

DIFFERENT FROM ABOVE - ENTER

SUCH ADDRESS IN SCHEDULE.

AMENDMENT NUMBER DATE AMENDMENT NUMBER

30 CALENDAR DAYS (%)

0.00 %

20 CALENDAR DAYS (%)

0.00 %

10 CALENDAR DAYS (%)

0.00 % mailto:jason.morgan2@usdoj.gov

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Table of Contents

Section Description Page Number

A Solicitation/Contract Form B Supplies or Services and Prices/Costs C Description/Specifications/Statement of Work D Packaging and Marking E Inspection and Acceptance F Deliveries and Performance G Contract Administration Data H Special Contract Requirements I Contract Clauses J List of Attachments K Representations, Certif ications and Other Statements of Offerors L Instructions, Conditions and Notices to Offerors M Evaluation Factors for Award

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Section B - Supplies or Services and Prices/Costs

Firm Fixed Price

SCHEDULE OF SUPPLIES/SERVICES

CONTINUATION SHEET

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0001 Architect-Engineer Supplemental Service pursuant to solicitation

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Base Year EDOA (Effective Date of Award) through 12 months from EDOA

PSC: C219

Delivery Schedule:

Quantity: 1.000000

Delivery Address: Fed eral Prison Industries, Central Office 400 1ST NW Washington DC 20534-0004

1 YR $ $

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0002 Architect-Engineer Supplemental Service pursuant to solicitation

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Option Year One: 13 months fromEDOA through 24 months from

EDOA

PSC: C219

1 YR $ $

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0003 Architect-Engineer Supplemental Service pursuant to solicitation

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Option Year Two: 25 months from EDOA through 36 months from

EDOA

PSC: C219

1 YR $ $

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0004 Architect-Engineer Supplemental Service pursuant to solicitation

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Option Year Three: 37 months from EDOA through 48 months from

EDOA

PSC: C219

1 YR $ $

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0005 Architect-Engineer Supplemental Service pursuant to solicitation

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Option Year Four: 49 months from EDOA through 60 months from

EDOA

PSC: C219

1 YR $ $

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0006 Architect-Engineer Supplemental Service pursuant to solicitation DJU1620000393

Option to Extend Services Six Month: 61 months from EDOA through 66 months from EDOA

PSC: C219

1 YR $ $

*DO NOT COMPLETE THE UNIT PRICE OR AMOUNT BLOCKS ABOVE. REFER TO ITEM B.1.

This is an indefinite-delivery/indefinite-quantity (IDIQ) acquisition. It consists of one-year base period with the possibility of four (4) unilaterally exercised one-year options

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Section C - Description/Specifications/Statement of Work

Clauses By Full Text

C.1 Statement of Work

See Section J, Attachment 1.

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This Section Is Intentionally Left Blank

Section D - Packaging and Marking

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This Section Is Intentionally Left Blank

Section E - Inspection and Acceptance

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Section F - Deliveries and Performance

F.1 Period(s) of Perf ormance

The anticipated periods of perf ormance are:

Base Year: EDOA (Effecive Date of Award) through 12 months f rom EDOA.

Option Year 1: 13 months f rom EDOA through 24 monts f rom EDOA.

Option Year 2: 25 months f rom EDOA through 36 monts f rom EDOA.

Option Year 3: 37 months f rom EDOA through 48 monts f rom EDOA.

Option Year 4: 49 months f rom EDOA through 60 monts f rom EDOA.

The contract(s) shall be ef f ective f rom the EDOA through 12 months f rom EDOA. It is the Governments unilateral right to exercise option years in accordance with the terms and conditions of this contract.

Off erors are advised that the Government has the unilateral right to exercise any option periods in accordance with FAR 43.203(b) and 52.217-9 Option to Extend the Term of the Contract, provided written notice is given to the contractor at least 60 days bef ore expiration of the current perf ormance period. In accordance with FAR 52.217-8 Option to Extend Services, the Government may require continued perf ormance of any services within the limits and at the rates specif ied in the contract. The Contracting Officer may exercise this option by written notice to the contractor prior to expiration of the current perf ormance period.

F.2 Perf ormance Conditions

The contractor shall provide the services described in each separate Federal Prison Industry task order independent of Government supervision.

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Section G - Contract Administration Data

2852.201-70 Contracting Officer's Representative (COR) (NOV 2020)

(a) Mr. Richard Swann, Special Assistant for Logistics and Projects, Federal Prison Industries, Central Off ice , email, phone , is hereby designated to act as Contracting Off icer's Representative (COR) Under Architect-Engineer Supplemental Services contract for the entire Federal Prison Industries , for the period of base year and up to four additional option years (specif y the perf ormance period of the contract that the designation covers).

(b) Perf ormance of work under this contract is subject to the technical direction of the COR identif ied above, or another representative designated in writing by the Contracting Officer. The term “technical direction” includes, without limitation, the following:

(Receiving all deliverables;

(i) Inspecting and accepting the supplies or services provided in accordance with the terms and conditions of this contract;

(ii) Clarifying, directing, or redirecting the contract effort, including shif ting work between work areas and locations, f illing in details, or otherwise serving to accomplish the contractual statement of work to ensure the work is accomplished satisfactorily;

(iii) Evaluating perf ormance of the Contractor; and

(iv) Certif ying all invoices/vouchers for acceptance of the supplies or services f urnished for payment.

(c) The COR does not have the authority to issue direction that:

(i) Constitutes a change of assignment or work outside the contract specif ication/work statement/scope of work.

(ii) Constitutes a change as def ined in the clause entitled “Changes” or other similar contract term.

(iii) Causes, in any manner, an increase or decrease in the contract price or the time required for contract perf ormance;

(i v) Causes, in any manner, any change in a term, condition, or specification or the work statement/scope of work of the contract;

(v) Causes, in any manner, any change or commitment that af f ects price, quality, quantity, delivery, or other term or condition of the contract or that, in any way, directs the contractor or its subcontractors to operate in conflict with the contract terms and conditions;

(vi) Interf eres with the contractor's right to perf orm under the terms and conditions of the contract;

(vii) Directs, supervises, or otherwise controls the actions of the Contractor's employees or a Subcontractor's employees.

(d) The Contractor shall proceed promptly with perf ormance resulting f rom the technical direction of the COR. If , in the opinion of the Contractor, any direction by the COR or the designated representative f alls outside the authority of (b) above and/or within the limitations of (c) above, the Contractor shall immediately notif y the Contracting Officer.

(e) Failure of the Contractor and Contracting Officer to agree that technical direction is within the scope of the contract is a dispute that shall be subject to the “Disputes” clause and/or other similar contract term.

(f) COR authority is not re-delegable.

(End of Clause)

G.1 Task and Delivery Order Ombudsman and Task Order Procedures

In accordance with FAR 36.202-2, individual task order designation/award among the multiple contract awardees will be based upon the criteria of FAR 36.202-2(b)(1) through (b)(4). Other applicable criteria include, but are not limited to, task orders issued as a logical follow-on to a previously completed task order to the f irm that completed the respective previous task order, situations of urgency, and f ulf illment of perf ormance period guaranteed minimums. All task order quotations or proposals are subject to a determination of f air and reasonable price.

As required by Federal Acquisition Regulation (FAR) 16.507-2(b), all solicitations and contracts for an indef inite quantity must include the name, address, telephone number, f acsimile number,and e-mail address of the Agency Task and Delivery Order Ombudsman,if multiple awards maybe made. The Ombudsman must review complaints f rom contractors and ensure they are af forded a f air opportunity to be considered,consistent with the procedures in the contract.

The inf ormation is as follows:

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Bureau Competition Advocate, Federal Bureau of Prisons Director, Office of Acquisition Management Justice Management Division U.S. Department of Justice Two Constitution Square 145 N. Street, N.E., Suite 8E.300 Washington, D.C. 20002 Telephone Number: (202) 307-2000 Facsimile Number: (202) 307-1931 E-mail Address: Tara.Jamison@usdoj.gov mailto:Tara.Jamison@usdoj.gov

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Section H - Special Contract Requirements

2852.223-70 Unsaf e Conditions Due to the Presence of Hazardous Material (NOV 2020)

(a) “Unsaf e condition” as used in this clause means the actual or potential exposure of Contractor or Government employees to a hazardous material.

(b) “Hazardous Material” as used in this clause includes any material def ined as hazardous under the latest version of Federal Standard No. 313 (including revisions adopted during the term of the contract), any other potentially hazardous material requiring saf ety controls, or any other material or working condition designated as hazardous by the Contracting Officer's Representative (COR).

(c) The Occupational Saf ety and Health Administration (OSHA) is responsible for issuing and administering regulations that require Contractors to apprise its employees of all hazards to which they may be exposed in the course of their employment; proper conditions and precautions for saf e use and exposure; and related symptoms and emergency treatment in the event of exposure.

(d) Prior to commencement of work, Contractors are required to inspect for and report to the Contracting Officer the presence of, or suspected presence of, any unsaf e condition including asbestos or other hazardous materials or working conditions in areas in which they will be working.

(e) If during the perf ormance of the work under this contract, the Contractor or any of its employees, or subcontractor employees, discovers the existence of an unsaf e condition, the Contractor shall immediately notif y the Contracting Officer, or designee (with written notice provided not later than three (3) working days thereaf ter), of the existence of an unsaf e condition. Such notice shall include the Contractor's recommendations for the protection and the saf ety of Government, Contractor and subcontractor personnel and property that may be exposed to the unsaf e condition.

(f) When the Government receives notice of an unsaf e condition f rom the Contractor, the parties will agree on a course of action to mitigate the ef f ects of that condition and, if necessary, the contract will be amended. Failure to agree on a course of action will constitute a dispute under the Disputes clause of this contract.

(g) Nothing contained in this clause shall relieve the Contractor or subcontractors f rom complying with applicable Federal, State, and local laws, codes, ordinances and regulations (including the obtaining of licenses and permits) in connection with hazardous material including but not limited to the use, disturbance, or disposal of such material.

DOJ-01 Whistleblower Inf ormation Distribution (Oct 2021)

Within 30 days of contract award, the contractor and its subcontractors must distribute the “Whistleblower Inf ormation for Employees of DOJ Contractors, Subcontractors, Grantees, or Sub-Grantees or Personal Services Contractors” (“Whistleblower Inf ormation”) document to their employees perf orming work in support of the products and services delivered under this contract (https://oig.justice.gov/sites/default/f iles/2020-04/NDAA-brochure.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 conf irmation to the contracting officer verif ying that it has distributed the whistleblower inf ormation as required.

DOJ-02 Contractor Privacy Requirements (JAN 2022)

A. 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 inf ormation 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 https://oig.justice.gov/sites/default/files/2020-04/NDAA-brochure.pdf)

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inf ormation may be found at https://www.justice.gov/opcl/doj-systems-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 specif ically authorized within this contract, the Contractor shall perf orm all tasks on authorized Government networks, using Government-f urnished IT and other equipment and/or WaaS and Government inf ormation shall remain within the conf ines of authorized Government networks at all times. Any handling of Government inf ormation on Contractor networks or IT must be approved by the Senior Component Official f or Privacy of the component entering into this contract. Except where remote work is specif ically authorized within this contract, the Contractor shall perf orm all tasks described in this document at authorized Government facilities; the Contractor is prohibited f rom performing these tasks at or removing Government-f urnished inf ormation to any other f acility; and Government inf ormation shall remain within the conf ines of authorized Government f acilities at all times. Contractors may only access classif ied materials on government f urnished equipment in authorized government owned f acilities 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 inf ormation, 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 inf ormation.

(4) Separation Checklist for Contractor Employees

The Contractor shall complete and submit an appropriate separation checklist to the Contracting Officer bef ore any employee or Subcontractor employee terminates working on the contract. The Contractor must submit the separation checklist on or bef ore the last day of employment or work on the contract. The separation checklist must verif y: (1) return of any Government-f urnished equipment; (2) return or proper disposition of personally identif iable inf ormation (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 f acilities or systems that would permit the terminated employee’s access to PII or other sensitive inf ormation.

In the event of adverse job actions resulting in the dismissal of a Contractor or Subcontractor employee bef ore the separation checklist can be completed, the Prime Contractor must notif y the Contracting Officer within 24 hours and confirm receipt of the notif ication. In the case the Contractor is unable to notif y the Contracting Officer, then the Contractor should notif y the Contract Officer’s Representative (COR).

Contractors must complete the separation checklist with the Contracting Officer or COR by returning all Government-f urnished property including, but not limited to, computer equipment, media, credentials and passports, smart cards, mobile devices, Personal Identity Verif ication (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, Saf eguarding, 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 thereaf ter. 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 inf ormation 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 inf ormation to complete training on records management, cybersecurity awareness, and inf ormation system https://www.justice.gov/opcl/doj-systems-records http://www.gpo.gov/fdsys/ https://www.justice.gov/jmd/learndoj

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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 saf eguards, prior to accessing DOJ inf ormation. 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 certif icates as a record of compliance and must submit an email notification annually to the COR verif ying 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 page[3] relating to the saf eguarding of PII, including the use of additional controls to saf eguard sensitive PII (e.g., the encryption of sensitive PII). This requirement f lows down f rom 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 inf ormation 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 f rom retaining or divulging any PII or other sensitive inf ormation, or derivatives theref rom, f urnished by the Government or to which they may otherwise come in contact as a result of their perf ormance of work under the contract/task order that is otherwise not publicly available, whether or not such inf ormation 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 inf ormation 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 bef ore 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 f inancial or administrative records or databases is not authorized to regularly store or include any sensitive PII or other conf idential government inf ormation that is created, obtained, or provided during the perf ormance 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 inf ormation 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 ef forts 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 identif y and report the breach, consistent with DOJ Instruction 0900.00.01[5], Reporting and Response Procedures for a Breach of Personally Identif iable Inf ormation.

(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.

mailto:(dojcert@usdoj.gov

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(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 inf ormation:

(i) Narrative or detailed description of the events surrounding the suspected loss or compromise of inf ormation.[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 inf ormation 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 f urther compromise.

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

(d) The Contractor shall provide f ull access and cooperation for all activities determined by the Government to be required to ensure an ef f ective incident response, including providing all requested images, log f iles, and event inf ormation to f acilitate rapid resolution of sensitive inf ormation incidents.

(e) At the Government’s discretion, Contractor employees or Subcontractor employees may be identif ied 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 notif ication, 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 perf orming this work, the Contractor agrees to f ull cooperation in the event of a breach.

The Contractor should be self -insured to the extent necessary to handle any reasonably foreseeable breach, with another source of income, to f ully 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 thereaf ter. The Contractor shall maintain copies of certif icates as a record of compliance and must submit an email notification annually to the COR verif ying 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 saf eguarding 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 mailto:(dojcert@usdoj.gov

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(a) The Contractor shall not create or maintain any records not specif ically tied to or authorized by the contract using Government IT equipment and/or Government records or that contain Government Agency inf ormation.

The Contractor shall certif y, in writing, the appropriate disposition or return of all Government inf ormation at the conclusion of the contract or at a time otherwise specif ied 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 f rom the legal custody of DOJ or destroyed except in accordance with the provisions of the agency records schedules.

(b) Except as stated in the Perf ormance Work Statement and, where applicable, the Contractor’s Commercial License Agreement, the Government Agency owns the rights to all electronic inf ormation (electronic data, electronic inf ormation 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 f ederal records, for which the Agency shall have unlimited rights to use, dispose of, or disclose such data contained therein. The Contractor must deliver suf f icient 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 unlawf ul destruction, damage or alienation of Federal records is subject to the f ines and penalties imposed by 18 U.S.C. § 2701. Records may not be removed f rom 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 f rom any source for testing or training purposes is generally prohibited. The Contractor shall use synthetic or de-identif ied real data for testing or training whenever f easible.

(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 inf ormation technology[9], the Contractor shall support the completion of the Initial Privacy Assessment (IPA) document, if requested by Department personnel. An IPA is the f irst step in a process to identif y 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 project[10] 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 inf ormation 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 f rom the program office, OPCL, the Office of the Chief Inf ormation 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 f ashion.

The Contractor must ensure the completion of required PIAs and documentation of privacy controls consistent with https://dojnet.doj.gov/privacy/)

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f ederal law and standards, e.g. NIST 800-53, Rev. 5; and compliance with the Privacy Act of 1974, E-Government Act of 2002, Federal Inf ormation Security Modernization Act of 2014, and key OMB guidelines, e.g., OMB Circular A-130.

[1] “[T]he term ‘record’ means any item, collection, or grouping of inf ormation about an individual that is maintained by an agency, including, but not limited to, his education, f inancial transactions, medical history, and criminal or employment history and that contains his name, or the identif ying number, symbol, or other identif ying particular assigned to the individual, such as a f inger 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 f rom which inf ormation is retrieved by the name of the individual or by some identif ying number, symbol, or other identif ying particular assigned to the individual.” 5 U.S.C. § 552a(a)(5).

[2] As stated in FAR 52.224-3 and Office of Management and Budget (OMB) Circular A-130, Managing Federal Inf ormation as a Strategic Resource (2016), “’personally identif iable inf ormation’ means inf ormation that can be used to distinguish or trace an individual's identity, either alone or when combined with other inf ormation that is linked or linkable to a specif ic individual.” Regarding “sensitive PII,” “[t]he sensitivity level of the PII will depend on the context, including the purpose for which the PII is created, collected, used, processed, stored, maintained, disseminated, disclosed, or disposed. For example, the sensitivity level of a list of individuals’ names may depend on the source of the inf ormation, the other inf ormation associated with the list, the intended use of the inf ormation, the ways in which the inf ormation will be processed and shared, and the ability to access the inf ormation.” OMB Circular A-130, at App. II-2.

[3] The DOJ OPCL Resources page is available at https://www.justice.gov/opcl/resources.

[4] As stated in DOJ Instruction 0900, “Contractors must notif y the Contracting Officer, the Contracting Officer’s Representative, and JSOC (or component-level SOC) within 1 hour of discovering any incidents, including breaches, consistent with this Instruction, guidance issued by the CPCLO, NIST standards and guidelines, and the US-CERT notif ication guidelines.”

[5] https://www.justice.gov/file/4336/download [6] As stated in DOJ Instruction 0900, the description should include the type of inf ormation that constitutes PII; purpose for which PII is collected, maintained, and used; extent to which PII identif ies a peculiarly vulnerable population; the determination of whether the inf ormation was properly encrypted or rendered partially or completely inaccessible by other means; format of PII (e.g., whether PII was structured or unstructured); length of time PII was exposed; any evidence conf irming that PII is being misused or that it was never accessed.

[7] As stated in DOJ Instruction 0900, the report should include the nature of the cyber threat (e.g., Advanced Persistent Threat, Zero Day Threat, data exf iltration) for cyber incidents.

[8] As stated in DOJ Instruction 0900, the report should include analysis on whether the data is accessible, usable, and intentionally targeted.

[9] As def ined in 40 U.S.C. § 11101, the term “inf ormation technology” means any equipment or interconnected system or subsystem of equipment, used in the automatic acquisition, storage, analysis, evaluation, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or inf ormation by the executive agency, if the equipment is used by the executive agency directly or is used by a contractor under a contract with the executive agency that requires the use (i) of that equipment or (ii) of that equipment to a signif icant extent in the perf ormance of a service or the f urnishing of a product; 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, f irmware and similar procedures, services (including support services), and related resources; but does not include any equipment acquired by a f ederal contractor incidental to a f ederal contract.

[10] In this instance, the term “project” is used to scope the activities (e.g., creating, collecting, using, processing, storing, maintaining, disseminating, disclosing, or disposing of inf ormation) covered by an IPA. A project is intended to be technology-neutral, and may include an inf ormation system, a digital service, an inf ormation technology, a combination thereof , or some other activity that may create potential privacy issues or privacy risks that would benef it f rom an IPA. The scope of a project covered by an IPA is discretionary, but components should work with their SCOP and OPCL.

DOJ-03 Personnel Security Requirements For Contractor Employees (Nov 2021)

Work perf ormed under this contract will involve any one or more of the following: access to DOJ Inf ormation, which may include Controlled Unclassif ied Inf ormation (CUI), i.e., unclassif ied, sensitive DOJ inf ormation, and/or access to DOJ Inf ormation Technology (IT) systems, and/or unescorted access to DOJ space or f acilities. Contractor employees will occupy Public Trust Positions, unless clause alternates are applied.

1. General Requirements https://www.justice.gov/opcl/resources https://www.justice.gov/file/4336/download

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(a) (1) All ref erences 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 inf ormation of the Department of Justice (DOJ) or inf ormation that is within the custody and control of the DOJ, access to DOJ IT systems, and/or unescorted access to DOJ f acilities/space in connection with the perf ormance 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 inf ormation made available to the contractor employee. The contractor will not be permitted to commence perf ormance under this contract until a suf f icient 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 f ederal government will be responsible for the cost and conduct of the investigation.

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

(e) The data and other inf ormation 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 inf ormation, IT systems, or unescorted access to f acilities. For three years (not necessarily consecutive years) out of the last f ive 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 f ederal civilian or military capacity; or, (iii) been a dependent of a f ederal 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 inf ormation, IT systems, or unescorted access provided that an adequate background investigation can be conducted, with f avorable adjudication, as determined by the DSO.

(b) Citizenship. (1) Aside f rom the specif ic 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 lawf ul permanent residents seeking U.S.

citizenship. Any prospective non-U.S. citizen contractor employee who requires access to DOJ inf ormation systems, DOJ inf ormation, 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 verif ying that the non-U.S. citizens working under this contract are lawf ul 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 lawf ul permanent residents seeking U.S. citizenship. However, they must be granted a waiver for access to unclassif ied DOJ inf ormation, whether CUI or not, DOJ IT systems, and/or unescorted f acility 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 lawf ul 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.

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(d) Access to DOJ Information Technology Systems. Non-U.S citizens are not authorized to access DOJ inf ormation 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 Inf ormation 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 f ederal 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 inf ormation 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 justif ied 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 f or 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 and the required five-year reinvestigation is also a Tier 1 (T1) investigation. The SF 85, Questionnaire for Non-Sensitive Positions, is required.

(b) Exception for Expert Witnesses. Expert Witnesses, litigative consultants, and interpreters in rare foreign languages may not be subject to f ull background investigation requirements if alternative security requirements are approved by the DSO.

(c) Short-Term U.S. Citizen Contractor Employees. Other than the exception in Section 1.3(b), short-term contractor employees (6 months or less) who are U.S. citizens are not subject to a f ull background investigation, however, must receive an approved pre-employment background investigation waiver. The required forms to complete and submit are listed in Section 1.4(b) and (c)(2).

(d) Long-Term U.S. Citizen Contractor Employees. Other than the exception in Section 1.3(b), all long-term U.S.

citizen employees (longer than 6 months) are subject to a f ull background investigation in the risk category appropriate to the position they will hold.

(e) Non-U.S. Citizen Contractor Employees. Other than the exception in 1.3(b), all non-U.S.