Department of Veterans Affairs |
VA HANDBOOK 6500.6 |
Washington, DC 20420 |
Transmittal Sheet |
|
MARCH 12, 2010 |
CONTRACT SECURITY
1.REASON FOR ISSUE: This Handbook establishes the procedures to implement security policy, and communicate responsibilities and departmental framework for the Department of Veterans Affairs (VA) contracts and acquisitions.
2.SUMMARY OF CONTENTS/MAJOR CHANGES: This Handbook establishes VA’s procedures, responsibilities, and processes for implementing security in appropriate contracts and acquisitions. This Handbook applies to all VA Administration and Staff Offices and pertains to VA sensitive information which is stored, generated, transmitted or exchanged by VA, a contractor, subcontractor or a third party, or on behalf of any of these entities regardless of format or whether it resides on a VA system or contractor or subcontractor’s electronic information system(s) operating for or on the VA’s behalf.
3.RESPONSIBLE OFFICE: The Office of the Assistant Secretary for Information and Technology (OI&T) (005).
4.RELATED DIRECTIVE: VA Directive 6500, Information Security Program.
5.RESCISSIONS: None.
CERTIFIED BY: |
BY DIRECTION OF THE SECRETARY |
|
VETERANS AFFAIRS: |
/S/ |
/S/ |
Roger W. Baker |
Roger W. Baker |
Assistant Secretary for Information |
Assistant Secretary for Information |
and Technology |
and Technology |
Distribution: Electronic Only. |
|
VA HANDBOOK 6500.6
MARCH 12, 2010
CONTRACT SECURITY
CONTENTS
1.PURPOSE/SCOPE……………………………………..……………………………………….. 5
2. |
BACKGROUND |
5 |
3. |
PROCEDURES |
6 |
4. |
RESPONSIBILITIES |
8 |
|
a. |
Secretary of Veterans Affairs |
8 |
|
b. |
Assistant Secretary for Office of Information and Technology (AS/OI&T) |
8 |
|
c. |
Assistant Secretary for Operations, Security, and Preparedness (AS/OSP) |
8 |
d.Associate Deputy Assistant Secretary for Acquisition and Logistics Programs &
|
Policy |
9 |
e. Office of Inspector General (OIG) |
9 |
f. |
Office of General Counsel (OGC) |
9 |
g. |
Deputy Assistant Secretary for Information Protection and Risk Management |
9 |
h. |
Associate Deputy Assistant Secretary of Cyber Security |
10 |
i. |
Associate Deputy assistant Secretary for Risk Management & Incident Response .. |
10 |
j. |
Associate Deputy Assistant Secretary of Privacy and Records Management |
10 |
k. |
Under Secretaries, Assistant Secretaries, and Other Key Officials |
10 |
l. |
Program Directors andFacility Directors, through the Information Security Officer.... |
11 |
m. |
Information Security Officers (ISOs) |
11 |
n. |
Local Privacy Officers |
12 |
o. |
Local Program Managers-Information System Owners |
12 |
p.Contracting Officers (COs)-Contracting Officer’s Technical Representatives
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(COTRs) |
13 |
5. |
REFERENCES |
15 |
6. |
DEFINITIONS |
16 |
7. |
ACRONYM LIST |
21 |
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LIST OF APPENDICES |
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APPENDIX A: Checklist for Information Security in the Initiation Phase of Acquisition |
A-1 |
APPENDIX B: VA Acquisition Regulation Solicitation Provision and Contract Clause |
B-1 |
APPENDIX C: VA Information and Information System Security/Privacy Language |
|
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for Inclusion into Contracts, as Appropriate |
C-1 |
APPENDIX D: Contractor Rules of Behavior |
D-1 |
VA HANDBOOK 6500.6
MARCH 12, 2010
CONTRACT SECURITY
1.PURPOSE AND SCOPE
a.This handbook establishes the security requirements, procedures, responsibilities, and departmental framework for ensuring that security is included in appropriate Department of Veterans Affairs (VA) contracts and acquisitions.
b.This handbook applies to all VA contracts in which VA sensitive information is stored, generated, transmitted or exchanged by a VA contractor, subcontractor or third-party, or on behalf of any of these entities regardless of format and whether it resides on a VA or a non-VA system, for the contractor, subcontractor, or third party to perform their contractual obligations to VA for the acquisition of goods or services where they stand in lieu of VA and act on VA’s behalf. Other agreements that involve disclosures of VA sensitive information (e.g., Business Associate Agreement (BAA), Data user Agreement (DUA), Data Transfer Agreement (DTA), Memorandum of Understanding (MOU), or sharing, executive, or computer matching agreements with another federal agency that is subject to FISMA) are outside the scope of this handbook and are not governed by these provisions.
2.BACKGROUND
a.The Federal Information Security Management Act (FISMA) (116 Stat. 2946, 2950) states that “each agency shall…provide information security for the information and information systems that support the operations and assets of the agency, including those provided or managed by another agency, contractor, or other source.” Information security is an important business process and must be considered in all phases of an acquisition and contract life cycle to ensure that VA’s sensitive information and information technology assets are adequately protected. Failure to adequately address security in appropriate VA agreements or solicitations can jeopardize mission success and undermine public confidence. Contracting Officials (CO) together with Chief Information Officers (CIO), Information Security Officers (ISO), Privacy Officers (PO), and legal counsel provide a valuable service in the acquisition and contracting process to help identify and mitigate security issues in solicitations, contracts, task orders, and third party agreements that involve VA’s sensitive information.
b.When relying on contractors, subcontractors, or third party servicers or associates, VA transfers operational responsibilities for performing one or more business functions (e.g., Information Technology (IT) services) to these partners. However, it still remains VA’s responsibility to ensure the protection of these assets is addressed via compliance with applicable security regulations and policy on the part of these partners and contractors.
c.In order to comply with FISMA and other Federal legislation, VA has established its Information Security Program by issuing VA Directive 6500 and its accompanying handbooks to assist in complying with this program. To ensure security is included in appropriate VA acquisitions and contracts, the following appendices are being issued with this Handbook to assist the field:
(1)Checklist for Information Security in the Initiation Phase of Acquisitions, Appendix A.
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(2)VA Acquisition Regulation (VAAR) Solicitation Provision and Contract Clause, Appendix B.
(3)VA Information and Information System Security/Privacy Language for Inclusion into Contracts, as Appropriate, Appendix C.
(4)Contractor Rules of Behavior, Appendix D.
3.PROCEDURES
a. Information generated by a contractor or subcontractor as part of the
contractor/subcontractor’s normal business operations, such as health record information created in the course of providing treatment or health care services to VA’s Veterans is subject to review to determine if the information is owned by VA and subject to VA security policy. VA sensitive information that has been properly disclosed by VA to the contractor is not subject to the VAAR security clause. If the information is not owned by VA, the requirements outlined in this Handbook do not apply and the VAAR security clause should not be added to the contract. The CO, the PO, and if required, Regional Counsel can be consulted. VA OIG counsel will conduct the review for the OIG generated contracts.
b.VA requires that facilities and program offices ensure that contractors, subcontractors, and third-party servicers or associates, or on behalf of any of these entities, regardless of format or whether the VA information resides on a VA system or contractor/subcontractor’s electronic information system(s) operating for or on VA’s behalf, employ adequate security controls as appropriate in accordance with VA directives and handbooks, regulations, guidance, and established service level agreements.
c.Information security requirements must be considered in all phases or stages of VA’s procurement process. The applicable Program Manager, Information System Owner, and Information Owner are responsible for ensuring that the solicitation document includes the appropriate information security and privacy requirements. The information security requirements must be sufficiently detailed to enable service providers to understand what is required. A general statement that the service provider must agree to comply with applicable requirements is not acceptable. See Appendix C for a catalog of security and privacy language statements that have been developed, reviewed, and approved and can be used in contracts, as appropriate. This language summarizes for the contractors the most important Federal and VA policy issues that need to be addressed, as appropriate, in contracts to ensure adequate security and privacy controls are included in the contract vehicle. Additional security or privacy language can be added, as required. Program managers, project designers, and acquisition professionals must take security requirements, measures, and controls into account when designing and making agency acquisitions; appropriate security controls drive requirements, specifications, deliverables, and costs. Acquisition staffs need to consult information security officials to determine what level of security and which security controls may be required in this process. VA Handbook 6500, Information Security Program, provides the security requirements and policy for VA.
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MARCH 12, 2010
d.The applicable VA Program Manager, Information System Owner, Information Owner, the CO, PO, ISO, and the Contracting Officer’s Technical Representative (COTR) are responsible for ensuring that VA information system security and privacy requirements, as appropriate, are implemented and complied with per the requirements detailed in the contract. Compliance and Records Management Officers should also be contacted, as appropriate, to ensure the requirements and language they require are included in the contract.
e.VA requires that all facilities and program offices monitor information security control compliance of their respective contracts and acquisitions by doing the following:
(1)Adhere to the security and privacy contract language as outlined in the contracts.
(2)Ensure that COs work with their COTR, ISO, and PO and other applicable staff to complete Appendix A for all service acquisitions and contracts. This appendix assists in determining the security requirements for VA acquisitions and contracts during the planning phase of the acquisition process. The checklist must be included as part of the overall contract file by the CO for new service acquisitions and contracts and a copy must be maintained in the applicable contracts file and accessible to the COTR, ISO, and PO.
(3)Ensure that contracting officials include VA’s approved security clause, Appendix B, into any applicable contracts, if required as indicated by completing Appendix A. NOTE: The security clause in Appendix B is currently undergoing official VA rulemaking by the Office of Acquisitions and Logistics (OA&L). The final version of the clause may be revised after it is presented to the public for review via the Federal Register.
(4)Ensure that contractors, third party partners, and servicers implement the VA security and privacy requirements, as defined in the contract. These requirements can also be added to the contract Statement of Work (SOW). The requirements apply to applicable contracts in which VA sensitive information is stored, generated, transmitted, or exchanged by VA, a contractor, subcontractor or a third-party, or on behalf of any of these entities regardless of format or whether it resides on a VA system or contractor or subcontractor’s electronic information system(s) operating for or on the VA’s behalf.
(5)Ensure that contractor systems that have negotiated with VA to store, generate, transmit, or exchange VA sensitive information in a contractor developed and maintained system are certified and accredited (authorized), and registered and monitored in VA’s Security Management and Reporting Tool (SMART) database that monitors FISMA compliance. The Program Manager and/or the ISO is responsible for contacting the Information Protection and Risk Management’s (IPRM) Certification Program Office (CPO) within OI&T to register the system or to answer questions regarding the authorization of systems.
(6)Ensure that Certification and Accreditation (Authorization) (C&A), is accomplished in compliance with VA policy (per the results of the completed checklist provided in Appendix A) and VA Handbook 6500.3, Certification and Accreditation of VA Information Systems. The OI&T CPO within the Office of Cyber Security (OCS) must be contacted regarding procedures for C&A (Authorization) of contractor managed systems.
(7)Ensure that the Program Manager, the COTR and the CO, with the assistance of the ISO, monitor compliance with the contract or agreement security requirements throughout the
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life of the contract. For IT systems, this includes ensuring that annual self-assessments are conducted by the contractor with appropriate Plan of Actions and Milestones (POA&M) initiated and completed.
(8)Ensure that service providers and contractors who have negotiated agreements with VA that involve VA sensitive information, but do not maintain systems that require C&A, complete a Contractor Security Control Assessment (CSCA) within 30 days of contract approval and annually on the due date of the contract renewal. The ISO/COTR or CO can also request that a CSCA be completed by the contractor anytime there are potential security issues identified or suspected by VA or to ensure that applicable security controls are being implemented. The completion of the CSCA by the contractor is the responsibility of the COTR. The CSCA template is maintained on the IPRM portal under the C&A Section. The COTR can contact the ISO to obtain a copy of the CSCA from the portal or to seek assistance in the completion of the assessment. The completed CSCA must be provided and reviewed by the ISO and by the CPO to ensure that adequate security is being addressed by contractors in situations where the C&A of a system is not applicable. A copy of the CSCA is uploaded by the ISO and maintained in the document section of the SMART database.
(9)Ensure that contractors and third party servicers accessing VA information sign the Contractor Rules of Behavior, Appendix D. The VA National Rules of Behavior do not need to be signed if the VA Contractor Rules of Behavior” are signed.
(10)Ensure that contractors and third party service positions receive the proper risk level designation based upon the review of the Position Designation System and Automated Tool (PDAT) established by the Operations, Security, and Preparedness Office (007). Background investigations of all contractors must adhere to the results of the PDAT per VA Directive and Handbook 0710, Personnel Suitability and Security Program.
(11)Ensure that contractors take the required security and privacy training as outlined in Appendix C.
(12)Ensure that all IT procurements, including contracts, are submitted through the IT Acquisition Request System (ITARS), VA’s acquisition approval system for review and approval as required by the VA CIO.
(13)Ensure that language is included in appropriate contracts to ensure new acquisitions include Federal Desktop Core Configuration (FDCC) settings and products of information technology providers operate effectively using them.
4.RESPONSIBILITIES
a.Secretary of Veterans Affairs has designated the CIO as the senior Agency Official responsible for ensuring enforcement and compliance with the requirements imposed on VA under FISMA.
b.Assistant Secretary for Office of Information and Technology (AS-OI&T) is responsible for:
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(1)Providing leadership for the Department-wide information security program;
(2)Approving all VA policies and procedures that are related to information security; and
(3)Authorizing a review process with assigned resources for the technical review of IT acquisitions, including contracts, to ensure that compliance with VA and Federal IT security standards and requirements are fulfilled per VA Directive and Handbook 6500.
c.Assistant Secretary for Operations, Security, and Preparedness (AS-OSP) has the authority to establish and maintain personnel security and suitability programs throughout the Department consistent with applicable laws, rules, regulations, and Executive Orders. The responsibilities include:
(1)Providing broad departmental-wide direction, standards setting, coordination, and performance assessment for organization components within VA and develop policies, procedures, and practices relating to background investigations of employees and contractors and the determinations of risk and sensitivity levels of employee position descriptions.
(2)Implementing appropriate laws, rules, and regulations related to the personnel security and suitability program and taking actions to address and correct conditions that are non- compliant with applicable laws, rules, and regulations.
d.Associate Deputy Assistant Secretary for Acquisition and Logistics Programs and Policy is responsible for:
(1)Providing acquisition policy to VA COs, Program Managers (PM) and COTRs to facilitate implementation of VA’s information security program within the Department. This applies to all contracts in which VA sensitive information is stored, generated, transmitted, or exchanged by VA;
(2)Ensuring policy requires that the approved VAAR security clause is included in all applicable contracts; and
(3)Ensuring policy requires the CO consult with the COTR and the ISO, as necessary to monitor contracts to ensure that all Federal and VA security and privacy requirements are being met per the contract.
e.Office of Inspector General (OIG) is responsible for conducting regular reviews of the security program to ensure that all Federal and VA security and privacy requirements are being met.
f.Office of General Counsel (OGC) is responsible for providing guidance to the field regarding the applicability of the provisions in this handbook to specific VA contracts and agreements, as requested.
g.Deputy Assistant Secretary for Information Protection and Risk Management has been designated by the VA CIO, under the provisions of FISMA, to be the VA Chief Information Security Officer (CISO) and responsible for establishing, managing, and directing the VA Information Security and Risk Management Program. These responsibilities include:
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(1)Establishing, maintaining, and monitoring Department-wide information security policies, procedures, control techniques, training, and auditing requirements as elements of the Department’s Information Security Program; and
(2)Ordering and enforcing Department-wide compliance with and execution of any information security policy.
h.Associate Deputy Assistant Secretary for Cyber Security has been designated as the Deputy Chief Information Security Officer and is responsible for:
(1)Developing directives and handbooks to provide direction for implementing elements of the Information Security Program to all Department organizations; and
(2)Reviewing all policies and procedures related to information security under the management and oversight of other Department organizations.
i.Associate Deputy Assistant Secretary for Risk Management and Incident Response is responsible for providing incident response related to information security breaches throughout the Department.
j.Associate Deputy Assistant Secretary for Privacy and Records Management is responsible for:
(1)Providing guidance and procedures for protecting personally identifiable information (PII) as required by the Privacy Act of 1974;
(2)Providing oversight and guidance in order to ensure VA compliance with applicable privacy laws, regulations, and policies;
(3)Establishing VA requirements and providing guidance regarding the development, completion, and updating of Privacy Impact Assessments (PIA); and
(4)Ensuring that Privacy Awareness Training is provided and available for VA employees, contractors, volunteers, and interns.
k.Under Secretaries, Assistant Secretaries, and Other Key Officials are responsible
for:
(1)Implementing the policies, procedures, practices, and other countermeasures identified in the Department’s Information Security Program that comprise activities that are under their day-to-day operational control or supervision;
(2)Coordinating with OI&T and the CPO to periodically test and evaluate information security controls that comprise activities that are under their day-to-day operational control or supervision to ensure effective implementation; and
