Exhibit 13 Checklist and Certification for Safeguarding Unclassified DoD.docx

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Attached to
Special Notice-Amendment 0009
Solicitation number
W15QKN-17-R-1042
Issued by

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This checklist and certification document outlines the enhanced safeguarding requirements for unclassified Department of Defense information that contractors must comply with for a federal contract. The contractor must implement the specified access controls, awareness and training, audit and accountability, configuration management, contingency planning, identification and authentication, incident response, maintenance, media protection, physical and environmental protection, program management, risk assessment, system and communications protection, and system and information integrity security controls. The contractor certifies compliance with these enhanced safeguarding requirements through selecting assessment methods such as interviews, examinations, and testing for each control and providing a compliance statement and date for each.

This federal contract opportunity notice is for reserve health readiness program III health readiness services under solicitation number W15QKN-17-R-1042. The Department of the Army Contracting Command - New Jersey, on behalf of the Defense Health Agency, seeks to award a single-source, five-year indefinite delivery indefinite quantity contract to provide immunizations, physicals, assessments, and other clinical services to reserve and active components throughout the U.S. and abroad. The contract type will be firm-fixed-price and cost reimbursement without fee. The anticipated issue date for the solicitation is September 30, 2017 and all interested parties should monitor the Federal Business Opportunities website.

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Checklist and Certification for Minimum Level of Enhanced Safeguarding for Unclassified DoD Information Contract Insert Contract # Insert Reference # Insert CDRL # Processed in accordance with provisions of and CDRL

DHA

November 2014 Note: “Contractors may insert one or multiple potential options in the Assessment Methods column. The organization employs Audit Review, Analysis, and Reporting through proper Integration / Scanning and Monitoring Capabilities that identify the breadth and depth of coverage. The correlation of information through vulnerability scanning determines the veracity through continuous monitoring for vulnerabilities and correlating attack detection events. The resulting methods will provide the government contractor documentation of the "depth and rigor" used in assessing the required Information Assurance Controls. The contractor must ensure that the security controls required by the contract are implemented correctly, operating as intended, and support the security policies of the Defense Health Agency.”

CERTIFICATION OF COMPLIANCE: I certify that I am an official representative for

Insert Name of Contractor

_, that I have authority to sign this document and obligate

Insert Name of Contractor to the statements made in this document, and that I have personal knowledge of the matters to which this certification applies. I also certify that Insert Name of Contractor is in compliance with the enhanced safeguarding requirements identified within the contract clause stated above, this document and any applicable written determinations.

Signature: Date:

Name:

Title:

Company:

DFAR 252.204-7012 checklist

Ref #
Access Control
Compliance Statement
Assessment Method (text box)
Compliance Date
AC-2
Account Management
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-3(4)
Access Enforcement
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-4
Information Flow Enforcement
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-6
Least Privilege
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-7
Unsuccessful Logon Attempts
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-11(1)
Session Lock
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-17(2)
Remote Access
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-18(1)
Wireless Access
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-19
Access Control for Mobile Devices
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-20(1)
Use of External Information Systems
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-20(2)
Use of External Information Systems
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AC-22
Publicly Accessible Content
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Awareness & Training
Compliance Statement
Assessment Method
Compliance Date
AT-2
Security Awareness Training
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Audit & Accountability
Compliance Statement
Assessment Method
Compliance Date
AU-2
Audit Events
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AU-3
Content of Audit Records
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AU-6(1)
Audit Review, Analysis, & Reporting
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AU-7
Audit Reduction & Report Generation
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AU-8
Time Stamps
Select Answer
Select Assessment Method(s): Interview, Examine, Test
AU-9
Protection of Audit Information
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Configuration Management
Compliance Statement
Assessment Method
Compliance Date
CM-2
Baseline Configuration
Select Answer
Select Assessment Method(s): Interview, Examine, Test
CM-6
Configuration Settings
Select Answer
Select Assessment Method(s): Interview, Examine, Test
CM-7
Least Functionality
Select Answer
Select Assessment Method(s): Interview, Examine, Test
CM-8
Information System Component Inventory
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Contingency Planning
Compliance Statement
Assessment Method
Compliance Date
CP-9
Information System Backup
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Identification & Authentication
Compliance Statement
Assessment Method
Compliance Date
IA-2
Identification & Authentication
Select Answer
Select Assessment Method(s): Interview, Examine, Test
IA-4
Identifier Management
Select Answer
Select Assessment Method(s): Interview, Examine, Test
IA-5(1)
Authenticator Management
Select Answer
Select Assessment Method(s): Interview, Examine, Test

Note: “Contractors may insert one or multiple potential options in the Assessment Methods column. The organization employs Audit Review, Analysis, and Reporting through proper Integration / Scanning and Monitoring Capabilities that identify the breadth and depth of coverage. The correlation of information through vulnerability scanning determines the veracity through continuous monitoring for vulnerabilities and correlating attack detection events. The resulting methods will provide the government contractor documentation of the "depth and rigor" used in assessing the required Information Assurance Controls. The contractor must ensure that the security controls required by the contract are implemented correctly, operating as intended, and support the security policies of the Defense Health Agency.”

Ref #
Incident Response
Compliance Statement
Assessment Method
Compliance Date
IR-2
Incident Response Training
Select Answer
Select Assessment Method(s): Interview, Examine, Test
IR-4
Incident Handling
Select Answer
Select Assessment Method(s): Interview, Examine, Test
IR-5
Incident Monitoring
Select Answer
Select Assessment Method(s): Interview, Examine, Test
IR-6
Incident Reporting
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Maintenance
Compliance Statement
Assessment Method
Compliance Date
MA-4(6)
Nonlocal Maintenance
Select Answer
Select Assessment Method(s): Interview, Examine, Test
MA-5
Maintenance Personnel
Select Answer
Select Assessment Method(s): Interview, Examine, Test
MA-6
Timely Maintenance
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Media Protection
Compliance Statement
Assessment Method
Compliance Date
MP-4
Media Storage
Select Answer
Select Assessment Method(s): Interview, Examine, Test
MP-6
Media Sanitization
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Physical & Environmental Protection
Compliance Statement
Assessment Method
Compliance Date
PE-2
Physical Access Authorizations
Select Answer
Select Assessment Method(s): Interview, Examine, Test
PE-3
Physical Access Control
Select Answer
Select Assessment Method(s): Interview, Examine, Test
PE-5
Access Control for Output Devices
Select Answer
Select Assessment Method(s): Interview, Examine, Test

Note: “Contractors may insert one or multiple potential options in the Assessment Methods column. The organization employs Audit Review, Analysis, and Reporting through proper Integration / Scanning and Monitoring Capabilities that identify the breadth and depth of coverage. The correlation of information through vulnerability scanning determines the veracity through continuous monitoring for vulnerabilities and correlating attack detection events. The resulting methods will provide the government contractor documentation of the "depth and rigor" used in assessing the required Information Assurance Controls. The contractor must ensure that the security controls required by the contract are implemented correctly, operating as intended, and support the security policies of the Defense Health Agency.”

Ref #
Program Management
Compliance Statement
Assessment Method
Compliance Date
PM-10
Security Authorization Process
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
Risk Assessment
Compliance Statement
Assessment Method
Compliance Date
RA-5
Vulnerability Scanning
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
System & Communication Protection
Compliance Statement
Assessment Method
Compliance Date
SC-2
Application Partitioning
Select Answer
Select Assessment Method(s): Interview, Examine, Test
SC-4
Information in Shared Resources
Select Answer
Select Assessment Method(s): Interview, Examine, Test
SC-7
Boundary Protection
Select Answer
Select Assessment Method(s): Interview, Examine, Test
SC-8(1)
Transmission Confidentiality And Integrity
Select Answer
Select Assessment Method(s): Interview, Examine, Test
SC-13
Cryptographic Protection
Select Answer
Select Assessment Method(s): Interview, Examine, Test
SC-15
Collaborative Computing Devices
Select Answer
Select Assessment Method(s): Interview, Examine, Test
SC-28
Protection of Information at Rest
Select Answer
Select Assessment Method(s): Interview, Examine, Test
Ref #
System & Information Integrity
Compliance Statement
Assessment Method
Compliance Date
SI-2
Flaw Remediation
Select Answer
Select Assessment Method(s): Interview, Examine, Test
SI-3
Malicious Code Protection
Select Answer
Select Assessment Method(s): Interview, Examine, Test
SI-4
Information System Monitoring
Select Answer
Select Assessment Method(s): Interview, Examine, Test

Note: “Contractors may insert one or multiple potential options in the Assessment Methods column. The organization employs Audit Review, Analysis, and Reporting through proper Integration / Scanning and Monitoring Capabilities that identify the breadth and depth of coverage. The correlation of information through vulnerability scanning determines the veracity through continuous monitoring for vulnerabilities and correlating attack detection events. The resulting methods will provide the government contractor documentation of the "depth and rigor" used in assessing the required Information Assurance Controls. The contractor must ensure that the security controls required by the contract are implemented correctly, operating as intended, and support the security policies of the Defense Health Agency.”

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