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27 June 2007
[Federal Register: June 26, 2007 (Volume 72, Number 122)]
[Proposed Rules]
[Page 35023-35025]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr26jn07-10]
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DEPARTMENT OF STATE
48 CFR Parts 639 and 652
[Public Notice 5836]
RIN 1400-AC31
Department of State Acquisition Regulation
AGENCY: State Department.
ACTION: Proposed rule.
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SUMMARY: This proposed rule will add a new solicitation provision and
contract clause to implement Department of State requirements regarding
security issues for information technology systems, as required by the
Federal Information Security Management Act of 2002 (FISMA).
DATES: The Department will accept comments from the public up to 60
days from June 26, 2007.
ADDRESSES: You may submit comments, identified by any of the following
methods:
E-mail: ginesgg@state.gov. You must include the RIN in the
subject line of your message.
Mail (paper, disk, or CD-ROM submissions): Gladys Gines,
Procurement Analyst, Department of State, Office of the Procurement
Executive, 2201 C Street, NW., Suite 603, State Annex Number 6,
Washington, DC 20522-0602.
Fax: 703-875-6155.
Persons with access to the Internet may also view this notice and
provide comments by going to the regulations.gov Web site at http://www.regulations.gov/index.cfm
.
FOR FURTHER INFORMATION CONTACT: Gladys Gines, Procurement Analyst,
Department of State, Office of the Procurement Executive, 2201 C
Street, NW., Suite 603, State Annex Number 6, Washington, DC 20522-
0602; e-mail address: ginesgg@state.gov.
SUPPLEMENTARY INFORMATION: On September 30, 2005, the Federal
Acquisition Regulation (FAR) was revised to implement the Information
Technology (IT) Security provisions of the Federal Information Security
Management Act of 2002 (FISMA) (Title III of the E-Government Act of
2002 (E-Gov Act)). (See 70 FR 57447, September 30, 2005). While the FAR
provided some guidance to Government contracting officials and other
members of the acquisition team, it recognized that Federal agencies
would need to customize IT security policies and implementations to
meet mission needs. Therefore, the FAR did not provide specific
contract language for inclusion in affected contracts, but required
that agencies ``include the appropriate information technology security
policies and requirements'' when acquiring information technology.
This proposed rule will add a new solicitation provision and
contract clause to the Department of State Acquisition Regulation
(DOSAR) to implement the Department's requirements regarding security
issues for information technology systems. The clause and provision
will apply to contracts that include information technology resources
to services in which the contractor has physical or electronic access
to Department information that directly supports the mission of the
Department of State. This will include contracts to acquire personal
services from organizations. It does not include personal services
contracts that the Department executes directly with specific
individuals. Such individuals are considered to be employees of the
Department and as such are under its direct supervision and control for
purposes of ensuring compliance with applicable information security
laws and regulations.
The clause requires that the contractor be responsible for IT
security, based on agency risk assessments, for all systems connected
to a Department of State (DOS) network or operated by a contractor for
DOS. It requires the development of an IT security plan and IT security
certification and accreditation in accordance with NIST Special
Publication 800-37, Guide for the Security Certification and
Accreditation of Federal Information Technology Systems, as well as all
related policies and guidance promulgated by the Office of Management
and Budget under FISMA and the Privacy Act. This would include related
testing and continuous monitoring, incident reporting, and DOS
oversight activities. The solicitation provision requires that, as part
of their bid/offer, vendors address the approach for completing the
security plan, testing, reporting, and certification and accreditation
requirements.
Regulatory Findings
Administrative Procedure Act
In accordance with provisions of the Administrative Procedure Act
governing rules promulgated by federal agencies that affect the public
(5 U.S.C. 552), the Department is publishing this proposed rule and
inviting public comment.
Regulatory Flexibility Act
The Department of State, in accordance with the Regulatory
Flexibility Act (5 U.S.C. 605(b)), has reviewed this regulation and, by
approving it, certifies that this rule will not have a significant
economic impact on a substantial number of small entities.
Unfunded Mandates Act of 1995
This rule will not result in the expenditure by State, local, and
tribal governments, in the aggregate, or by the private sector, of $100
million or more in any year and it will not significantly or uniquely
affect small governments. Therefore, no actions were deemed necessary
under the provisions of the Unfunded Mandates Act of 1995.
Small Business Regulatory Enforcement Fairness Act of 1996
This rule is not a major rule as defined by section 804 of the
Small Business Regulatory Enforcement Act of 1996. This rule will not
result in an annual effect on the economy of $100 million or more; a
major increase in costs or prices; or significant adverse effects on
competition, employment, investment, productivity, innovation, or on
the ability of United States-based companies to compete with foreign
based companies in domestic and import markets.
[[Page 35024]]
Executive Order 13132
This rule will not have substantial direct effects on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government. Therefore, in accordance with section 6 of the
Executive Order 13132, it is determined that this rule does not have
sufficient federalism implications to require consultations or warrant
the preparation of a federalism summary impact statement.
Paperwork Reduction Act
Information collection requirements have been approved under the
Paperwork Reduction Act of 1980 by OMB, and have been assigned OMB
control number 1405-0050.
List of Subjects in 48 CFR Parts 639 and 652
Government procurement.
Accordingly, for reasons set forth in the preamble, title 48,
chapter 6 of the Code of Federal Regulations is proposed to be amended
as follows:
Subchapter F--Special Categories of Contracting
1. The authority citation for 48 CFR parts 639 and 652 continues to
read as follows:
Authority: 40 U.S.C. 486(c); 22 U.S.C. 2658.
PART 639--ACQUISITION OF INFORMATION TECHNOLOGY
2. A new Part 639, consisting of subpart 639.1, sections 639.107
and 639.107-70, is added to subchapter F as follows:
PART 639--ACQUISITION OF INFORMATION TECHNOLOGY
Subpart 639.1--General
639.107 Contract clause.
639.107-70 DOSAR solicitation provision and contract clause.
(a) The contracting officer shall insert the provision at 652.239-
70, Information Technology Security Plan and Accreditation, in
solicitations that include information technology resources or services
in which the contractor will have physical or electronic access to
Department information that directly supports the mission of the
Department.
(b) The contracting officer shall insert the clause at 652.239-71,
Security Requirements for Unclassified Information Technology
Resources, in solicitations and contracts containing the provision at
652.239-70. The provision and clause shall not be inserted in
solicitations and contracts for personal services with individuals.
Subchapter H--Clauses and Forms
PART 652--SOLICITATION PROVISIONS AND CONTRACT CLAUSES
3. Section 652.239-70 is added to read as follows:
652.239-70 Information Technology Security Plan and Accreditation.
As prescribed in 639.107-70(a), insert the following provision:
Information Technology Security Plan and Accreditation (DATE)
All offers/bids submitted in response to this solicitation must
address the approach for completing the security plan and
certification and accreditation requirements as required by the
clause at 652.239-71, Security Requirements for Unclassified
Information Technology Resources.
(End of provision)
4. Section 652.239-71 is added to read as follows:
652.239-71 Security Requirements for Unclassified Information
Technology Resources.
As prescribed in 639.107-70(b), insert the following clause:
Security Requirements for Unclassified Information Technology Resources
(DATE)
(a) General. The Contractor shall be responsible for information
technology (IT) security, based on Department of State (DOS) risk
assessments, for all systems connected to a Department of State
(DOS) network or operated by the Contractor for DOS, regardless of
location. This clause is applicable to all or any part of the
contract that includes information technology resources or services
in which the Contractor has physical or electronic access to DOS's
information that directly supports the mission of DOS. The term
``information technology'', as used in this clause, means any
equipment, including telecommunications equipment, that is used in
the automatic acquisition, storage, manipulation, management,
movement, control, display, switching, interchange, transmission, or
reception of data or information. This includes both major
applications and general support systems as defined by OMB Circular
A-130. Examples of tasks that require security provisions include:
(1) Hosting of DOS e-Government sites or other IT operations;
(2) Acquisition, transmission or analysis of data owned by DOS
with significant replacement cost should the Contractor's copy be
corrupted; and
(3) Access to DOS general support systems/major applications at
a level beyond that granted the general public; e.g., bypassing a
firewall.
(b) IT Security Plan. The Contractor shall develop, provide,
implement, and maintain an IT Security Plan. This plan shall
describe the processes and procedures that will be followed to
ensure appropriate security of IT resources that are developed,
processed, or used under this contract. The plan shall describe
those parts of the contract to which this clause applies. The
Contractor's IT Security Plan shall comply with applicable Federal
laws that include, but are not limited to, 40 U.S.C. 11331, the
Federal Information Security Management Act (FISMA) of 2002, and the
E-Government Act of 2002. The plan shall meet IT security
requirements in accordance with Federal and DOS policies and
procedures, as they may be amended from time to time during the term
of this contract that include, but are not limited to:
(1) OMB Circular A-130, Management of Federal Information
Resources, Appendix III, Security of Federal Automated Information
Resources;
(2) National Institute of Standards and Technology (NIST)
Guidelines (see NIST Special Publication 800-37, Guide for the
Security Certification and Accreditation of Federal Information
Technology System (http://csrc.nist.gov/publications/nistpubs/800-37/SP800-37-final.pdf
)); and
(3) Department of State information security sections of the
Foreign Affairs Manual (FAM) and Foreign Affairs Handbook (FAH)
(http://foia.state.gov/Regs/Search.asp), specifically:
(i) 12 FAM 230, Personnel Security;
(ii) 12 FAM 500, Information Security (sections 540, 570, and
590);
(iii) 12 FAM 600, Information Security Technology (section 620,
and portions of 650);
(iv) 5 FAM 1060, Information Assurance Management; and
(v) 5 FAH 11, Information Assurance Handbook.
(c) Submittal of IT Security Plan. Within 30 days after contract
award, the Contractor shall submit the IT Security Plan to the
Contracting Officer and Contracting Officer's Representative (COR)
for acceptance. This plan shall be consistent with and further
detail the approach contained in the contractor's proposal or sealed
bid that resulted in the award of this contract and in compliance
with the requirements stated in this clause. The plan, as accepted
by the Contracting Officer and COR, shall be incorporated into the
contract as a compliance document. The Contractor shall comply with
the accepted plan.
(d) Accreditation. Within six (6) months after contract award,
the Contractor shall submit written proof of IT security
accreditation for acceptance by the Contracting Officer. Such
written proof may be furnished either by the Contractor or by a
third party. Accreditation must be in accordance with NIST Special
Publication 800-37. This accreditation will include a final security
plan, risk assessment, security test and evaluation, and disaster
recovery plan/continuity of operations plan. This accreditation,
when accepted by the Contracting Officer, shall be incorporated into
the contract as a compliance document, and shall include a final
security plan, a risk
[[Page 35025]]
assessment, security test and evaluation, and disaster recovery/
continuity of operations plan. The Contractor shall comply with the
accepted accreditation documentation.
(e) Annual verification. On an annual basis, the Contractor
shall submit verification to the Contracting Officer that the IT
Security Plan remains valid.
(f) Warning notices. The Contractor shall ensure that the
following banners are displayed on all DOS systems (both public and
private) operated by the Contractor prior to allowing anyone access
to the system:
Government Warning
**WARNING**WARNING**WARNING**
Unauthorized access is a violation of U.S. law and Department of
State policy, and may result in criminal or administrative
penalties. Users shall not access other user's or system files
without proper authority. Absence of access controls IS NOT
authorization for access! DOS information systems and related
equipment are intended for communication, transmission, processing
and storage of U.S. Government information. These systems and
equipment are subject to monitoring by law enforcement and
authorized Department officials. Monitoring may result in the
acquisition, recording, and analysis of all data being communicated,
transmitted, processed or stored in this system by law enforcement
and authorized Department officials. Use of this system constitutes
consent to such monitoring.
**WARNING**WARNING**WARNING**
(g) Privacy Act notification. The Contractor shall ensure that
the following banner is displayed on all DOS systems that contain
Privacy Act information operated by the Contractor prior to allowing
anyone access to the system:
This system contains information protected under the provisions
of the Privacy Act of 1974 (Pub. L. 93-579). Any privacy information
displayed on the screen or printed shall be protected from
unauthorized disclosure. Employees who violate privacy safeguards
may be subject to disciplinary actions, a fine of up to $5,000, or
both.
(h) Privileged or limited privileged access. Contractor
personnel requiring privileged access or limited privileged access
to systems operated by the Contractor for DOS or interconnected to a
DOS network shall adhere to the specific contract security
requirements contained within this contract and/or the Contract
Security Classification Specification (DD Form 254).
(i) Training. The Contractor shall ensure that its employees
performing under this contract receive annual IT security training
in accordance with OMB circular A-130, FISMA, and NIST requirements,
as they may be amended from time to time during the term of this
contract, with a specific emphasis on rules of behavior.
(j) Government access. The Contractor shall afford the
Government access to the Contractor's and subcontractor's
facilities, installations, operations, documentation, databases and
personnel used in performance of the contract. Access shall be
provided to the extent required to carry out a program of IT
inspection (to include vulnerability testing), investigation and
audit to safeguard against threats and hazards to the integrity,
availability and confidentiality of DOS data or to the function of
information technology systems operated on behalf of DOS, and to
preserve evidence of computer crime.
(k) Subcontracts. The Contractor shall incorporate the substance
of this clause in all subcontracts that meet the conditions in
paragraph (a) of this clause.
(l) Notification regarding employees. The Contractor shall
immediately notify the Contracting Officer when an employee either
begins or terminates employment when that employee has access to DOS
information systems or data.
(m) Termination. Failure on the part of the Contractor to comply
with the terms of this clause may result in termination of this
contract.
(End of clause)
Dated: June 13, 2007.
Corey M. Rindner,
Procurement Executive, Department of State.
[FR Doc. 07-3116 Filed 6-25-07; 8:45 am]
BILLING CODE 4710-24-M