General Services Administration Acquisition Regulation; Implementation of Information Technology Security Provision, 34886-34890 [2011-14728]

Agencies

• General Services Administration

[Federal Register Volume 76, Number 115 (Wednesday, June 15, 2011)]
[Rules and Regulations]
[Pages 34886-34890]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-14728]


=======================================================================
-----------------------------------------------------------------------

GENERAL SERVICES ADMINISTRATION

48 CFR Parts 539 and 552

[GSAR Amendment 2011-02; GSAR Case 2011-G503; (Change 50); Docket 2011-
0012, Sequence 1]
RIN 30900-AJ15


General Services Administration Acquisition Regulation; 
Implementation of Information Technology Security Provision

AGENCY: Office of Acquisition Policy, General Services Administration 
(GSA).

ACTION: Interim rule.

-----------------------------------------------------------------------

SUMMARY: The General Services Administration (GSA) is issuing an 
interim rule amending the General Services Administration Acquisition 
Regulation (GSAR) to revise sections to implement policy and guidelines 
for contracts and orders that include information technology (IT) 
supplies, services and systems with security requirements.

DATES: Effective Date: June 15, 2011.
    Applicability Date: This amendment applies to contracts and orders 
awarded after the effective date that include information technology 
(IT) supplies, services and systems with security requirements.
    Comment Date: Interested parties should submit written comments to 
the Regulatory Secretariat at the address shown below on or before 
August 15, 2011 to be considered in the formulation of a final rule.

ADDRESSES: Submit comments identified by GSAR Case 2011-G503, by any of 
the following methods:
     Regulations.gov: https://www.regulations.gov. Submit 
comments via the Federal eRulemaking portal by inputting ``GSAR Case 
2011-G503'' under the heading ``Enter Keyword or ID'' and selecting 
``Search.'' Select the link ``Submit a Comment'' that corresponds with 
``GSAR Case 2011-G503.'' Follow the instructions provided at the 
``Submit a Comment'' screen. Please include your name, company name (if 
any), and ``GSAR Case 2011-G503'' on your attached document.
     Fax: (202) 501-4067.
     Mail: General Services Administration, Regulatory 
Secretariat (MVCB), ATTN: Hada Flowers, 1275 First Street, NE., 7th 
Floor, Washington, DC 20417.
    Instructions: Please submit comments only and cite GSAR Case 2011-
G503, in all correspondence related to this case. All comments received 
will be posted without change to https://www.regulations.gov, including 
any personal and/or business confidential information provided.

FOR FURTHER INFORMATION CONTACT: Ms. Deborah Lague, Procurement 
Analyst, at (202) 694-8149, for clarification of content. For 
information pertaining to status or publication schedules, contact the 
Regulatory Secretariat at (202) 501-4755. Please cite GSAR Case 2011-
G503.

SUPPLEMENTARY INFORMATION:

I. Background

    To verify that GSA has met the requirements of the Federal 
Information Security Management Act of 2002 (FISMA), GSA's Office of 
the Inspector General (OIG) conducted an audit of GSA's information and 
information technology systems. In regards to the regulatory process, a 
recommendation was made by the OIG to strengthen the requirements in 
contracts and orders for information technology supplies, services and 
systems. Working with the Office of the Chief Information Officer 
(CIO), the Office of Acquisition Policy developed the policy, guidance 
and requirements that would be utilized to protect GSA's information 
and information technology systems, regardless of the location. The 
actual requirements are currently being utilized in solicitations, 
contracts and orders issued by the CIO; however, they were not included 
in the GSAR. By revising the GSAR to include these requirements, GSA is 
agreeing with the recommendation of the OIG and strengthens the 
protection of information and information systems.

II. GSAR Changes

    The following are the changes to GSAR part 507, Acquisition 
Planning; Subpart 511.1, Selecting and Developing Requirement 
Documents; part 539,

[[Page 34887]]

Acquisition of Information Technology; and part 552, Solicitation 
Provisions and Contract Clauses.
    This interim rule amends the title of GSAM Subpart 507.70 to 
clarify that this part only applies to requirements for the purchase of 
information technology in support of national security systems 
involving weapons systems. The GSAM is a non-regulatory portion of the 
manual.
    GSAM 511.102 is being added to provide the policy as it relates to 
contracts and orders for government data, information technology, 
supplies, services and systems in accordance with GSA policy and 
procedures guide. The GSAM is a non-regulatory portion of the manual.
    GSAM 539.001 is amended to indicate that this subpart does not 
apply to information technology supplies, services and systems in 
support of national security systems. The GSAM is a non-regulatory 
portion of the manual.
    New subpart 539.70 is added to provide the policy as it relates to 
contracts and orders for information technology supplies, services and 
systems that do not involve national security systems.
    GSAR part 552 was amended to add a new provision, 552.239-70, 
Information Technology Security Plan and Security Authorization; and a 
new clause, 552.239-71, Security Requirements for Unclassified 
Information Technology Resources, that relates to the policy 
requirements described in GSAR Part 539.

III. Executive Orders 12866 and 13563

    Executive Orders (E.O.s) 12866 and 13563 direct agencies to assess 
all costs and benefits of available regulatory alternatives and, if 
regulation is necessary, to select regulatory approaches that maximize 
net benefits (including potential economic, environmental, public 
health and safety effects, distributive impacts, and equity). E.O. 
13563 emphasizes the importance of quantifying both costs and benefits, 
of reducing costs, of harmonizing rules, and of promoting flexibility. 
This is a significant regulatory action and, therefore, was subject to 
review under Section 6(b) of E.O. 12866, Regulatory Planning and 
Review, dated September 30, 1993. This rule is not a major rule under 5 
U.S.C. 804.

IV. Regulatory Flexibility Act

    This interim rule may have a significant economic impact on a 
substantial number of small entities within the meaning of the 
Regulatory Flexibility Act, 5 U.S.C. 601 et seq., because the rule 
requires contractors, within 30 days after contract award to submit an 
IT Security Plan to the Contracting Officer and Contracting Officer's 
Representative that describes the processes and procedures that will be 
followed to ensure appropriate security of IT resources that are 
developed, processed, or used under the contract. The rule will also 
require that contractors submit written proof of IT security 
authorization six months after award, and verify that the IT Security 
Plan remains valid annually. Where this information is not already 
available, this may mean small businesses will need to become familiar 
with the requirements, research the requirements, develop the 
documents, submit the information, and create the infrastructure to 
track, monitor and report compliance with the requirements. However, 
GSA expects that the impact will be minimal, because the clause 
includes requirements that IT service contractors should be familiar 
with through other agency clauses, existing GSA IT security 
requirements, and Federal laws and guidance. Small businesses are 
active providers of IT services.
    The Regulatory Secretariat has submitted a copy of the Initial 
Regulatory Flexibility Analysis (IRFA) to the Chief Counsel for 
Advocacy of the Small Business Administration. A copy of the IRFA may 
be obtained from the Regulatory Secretariat. The Councils invite 
comments from small business concerns and other interested parties on 
the expected impact of this rule on small entities.
    GSA will also consider comments from small entities concerning the 
existing regulations in subparts affected by this rule in accordance 
with 5 U.S.C. 610. Interested parties must submit such comments 
separately and should cite 5 U.S.C. 610 (GSAR Case 2011-G503) in 
correspondence.
    The analysis is summarized as follows:

    This rule will require that contractors submit an IT Security 
Plan that complies with applicable Federal laws including, 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 GSA policies and procedures.
    GSA will use this information to verify that the contractor is 
securing GSA's information technology data and systems from 
unauthorized use, as well as use the information to assess 
compliance and measure progress in carrying out the requirements for 
IT security.
    The requirements for submission of the plan will be inserted in 
solicitations that include information technology supplies, services 
or systems in which the contractor will have physical or electronic 
access to government information that directly supports the mission 
of GSA. As such it is believed that contract actions awarded to 
small business will be identified in FPDS under the Product Service 
Code D--ADP and Telecommunication Services. The requirements of the 
plan apply to all work performed under the contract; whether 
performed by the prime contractor or subcontractor.
    Based on the average of Fiscal Years 2009 and 2010 Federal 
Procurement Data System retrieved, it is estimated that 80 small 
businesses will be affected annually.
    GSA did not identify any significant alternatives that would 
accomplish the objectives of the rule. Collection of information on 
a basis other than by individual contractors is not practical. The 
contractor is the only one who has the records necessary for the 
collection.

V. Paperwork Reduction Act

    The Paperwork Reduction Act (44 U.S.C. chapter 35) applies because 
the interim rule contains information collection requirements. 
Accordingly, the Regulatory Secretariat will submit a request for 
approval of a new information collection requirement concerning 
Security Requirements for Unclassified Information Technology Resources 
(GSAR 552.239-70) to the Office of Management and Budget.

Annual Reporting Burden

    Public reporting burden for this collection of information is 
estimated to average 5 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    The annual reporting burden is estimated as follows:
    Respondents: 147.
    Responses per respondent: 2.
    Total annual responses: 294.
    Preparation hours per response: 5.
    Total response burden hours: 1,470.

VI. Request for Comments Regarding Paperwork Burden

    Submit comments, including suggestions for reducing this burden, 
not later than August 15, 2011 by any of the following methods:
     Regulations.gov: https://www.regulations.gov.
    Submit comments via the Federal eRulemaking portal by inputting 
``GSAR case 2011-G503'' under the heading ``Enter Keyword or ID'' and 
selecting ``Search''. Select the link ``Submit a Comment'' that 
corresponds with ``GSAR case 2011-G503''. Follow the instructions 
provided at the ``Submit a Comment'' screen. Please include your

[[Page 34888]]

name, company name (if any), and ``GSAR case 2011-G503'' on your 
attached document.
     Fax: 202-501-4067.
     Mail: General Services Administration, Regulatory 
Secretariat (MVCB), 1275 First Street, NE., Washington, DC 20417. ATTN: 
Hada Flowers/GSAR case 2011-G503.
    Instructions: Please submit comments only and cite GSAR case 2011-
G503, in all correspondence related to this collection. All comments 
received will be posted without change to https://www.regulations.gov, 
including any personal and/or business confidential information 
provided.
    Public comments are particularly invited on: Whether this 
collection of information is necessary for the proper performance of 
functions of the GSAR, and will have practical utility; whether our 
estimate of the public burden of this collection of information is 
accurate, and based on valid assumptions and methodology; ways to 
enhance the quality, utility, and clarity of the information to be 
collected; and ways in which we can minimize the burden of the 
collection of information on those who are to respond, through the use 
of appropriate technological collection techniques or other forms of 
information technology.
    Requester may obtain a copy of the supporting statement from the 
General Services Administration, Regulatory Secretariat (MVCB), 1275 
First Street, NE., 7th Floor, Washington, DC 20417. Please cite OMB 
Control Number 3090-0294, Title: Security Requirements for Unclassified 
Information Technology Resources (GSAR 552.239-71), in correspondence.

VII. Determination To Issue an Interim Rule

    A determination has been made under the authority of the 
Administrator of General Services (GSA) that urgent and compelling 
reasons exist to promulgate this interim rule without prior opportunity 
for public comment. This action is necessary because GSA must 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. 
Section 3544(a)(1)(A)(ii) of the Federal Information Security 
Management Act (FISMA) describes Federal agency security 
responsibilities as including ``information systems used or operated by 
an agency or by a contractor of an agency or other organization on 
behalf of an agency.''
    However, pursuant to 41 U.S.C. 418b and FAR 1.501, GSA will 
consider public comments received in response to this interim rule in 
the formation of the final rule.

List of Subjects in 48 CFR Parts 539 and 552

    Government procurement.

    Dated: June 9, 2011.
Joseph A. Neurauter,
Senior Procurement Executive, Office of Acquisition Policy, General 
Services Administration.

    Therefore, GSA amends 48 CFR parts 539 and 552 as set forth below:

0
1. Part 539 is added to read as follows:

PART 539--ACQUISITION OF INFORMATION TECHNOLOGY

Subpart 539.70--Additional Requirements for Purchases Not in Support of 
National Security Systems
Sec.
539.7000 Scope of subpart.
539.7001 Policy.
539.7002 Solicitation provisions and contract clauses.

    Authority:  40 U.S.C. 121(c).

Subpart 539.70--Additional Requirements for Purchases Not in 
Support of National Security Systems


539.7000  Scope of subpart.

    This subpart prescribes acquisition policies and procedures for use 
in acquiring information technology supplies, services and systems not 
in support of national security systems, as defined by FAR part 39.


539.7001  Policy.

    (a) GSA must 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. Section 3544(a)(1)(A)(ii) of the Federal 
Information Security Management Act (FISMA) describes Federal agency 
security responsibilities as including ``information systems used or 
operated by an agency or by a contractor of an agency or other 
organization on behalf of an agency.''
    (b) Employees responsible for or procuring information technology 
supplies, services and systems shall possess the appropriate security 
clearance associated with the level of security classification related 
to the acquisition. They include, but are not limited to contracting 
officers, contract specialists, project/program managers, and 
contracting officer representatives.
    (c) Contracting activities shall coordinate with requiring 
activities and program officials to ensure that the solicitation 
documents include the appropriate information security requirements. 
The information security requirements must be sufficiently detailed to 
enable service providers to fully understand the information security 
regulations, mandates, and requirements that they will be subject to 
under the contract or task order.
    (d) GSA's Office of the Senior Agency Information Security Officer 
issued CIO IT Security Procedural Guide 09-48, ``Security Language for 
Information Technology Acquisitions Efforts,'' to provide IT security 
standards, policies and reporting requirements that shall be inserted 
in all solicitations and contracts or task orders where an information 
system is contractor owned and operated on behalf of the Federal 
Government. The guide can be accessed at https://www.gsa.gov/portal/category/25690.


539.7002  Solicitation provisions and contract clauses.

    (a) The contracting officer shall insert the provision at 552.239-
70, Information Technology Security Plan and Security Authorization, in 
solicitations that include information technology supplies, services or 
systems in which the contractor will have physical or electronic access 
to government information that directly supports the mission of GSA.
    (b) The contracting officer shall insert the clause at 552.239-71, 
Security Requirements for Unclassified Information Technology 
Resources, in solicitations and contracts containing the provision at 
552.239-70. The provision and clause shall not be inserted in 
solicitations and contracts for personal services with individuals.

PART 552--SOLICITATION PROVISIONS AND CONTRACT CLAUSES

0
2. The authority citation for 48 CFR part 552 continues to read as 
follows:

    Authority:  40 U.S.C. 121(c).


0
3. Add sections 552.239-70 and 552.239-71 to read as follows:


552.239-70  Information Technology Security Plan and Security 
Authorization.

    As prescribed in 539.7002(a), insert the following provision:

Information Technology Security Plan and Security Authorization (JUN 
2011)

    All offers/bids submitted in response to this solicitation must 
address the approach for completing the security plan and 
certification and security authorization requirements as required by 
the clause at 552.239-71, Security Requirements for

[[Page 34889]]

Unclassified Information Technology Resources.


(End of provision)


552.239-71  Security Requirements for Unclassified Information 
Technology Resources.

    As prescribed in 539.7002(b), insert the following clause:

Security Requirements for Unclassified Information Technology Resources 
(JUN 2011)

    (a) General. The Contractor shall be responsible for information 
technology (IT) security, based on General Services Administration 
(GSA) risk assessments, for all systems connected to a GSA network 
or operated by the Contractor for GSA, 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 GSA's information 
that directly supports the mission of GSA, as indicated by GSA. 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, 
control, display, switching, interchange, transmission, or reception 
of data or information. This includes major applications as defined 
by OMB Circular A-130. Examples of tasks that require security 
provisions include:
    (1) Hosting of GSA e-Government sites or other IT operations;
    (2) Acquisition, transmission, or analysis of data owned by GSA 
with significant replacement cost should the Contractors copy be 
corrupted;
    (3) Access to GSA major applications at a level beyond that 
granted the general public; e.g., bypassing a firewall; and
    (4) Any new information technology systems acquired for 
operations within the GSA must comply with the requirements of HSPD-
12 and OMB M-11-11. Usage of the credentials must be implemented in 
accordance with OMB policy and NIST guidelines (e.g., NIST SP 800-
116). The system must operate within the GSA's access management 
environment. Exceptions must be requested in writing and can only be 
granted by the GSA Senior Agency Information Security Officer.
    (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 
Contractors 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 GSA policies and 
procedures. GSA's Office of the Chief Information Officer issued 
``CIO IT Security Procedural Guide 09-48, Security Language for 
Information Technology Acquisitions Efforts,'' to provide IT 
security standards, policies and reporting requirements. This 
document is incorporated by reference in all solicitations and 
contracts or task orders where an information system is contractor 
owned and operated on behalf of the Federal Government. The guide 
can be accessed at https://www.gsa.gov/portal/category/25690. 
Specific security requirements not specified in ``CIO IT Security 
Procedural Guide 09-48, Security Language for Information Technology 
Acquisitions Efforts'' shall be provided by the requiring activity.
    (c) Submittal of IT Security Plan. Within 30 calendar days after 
contract award, the Contractor shall submit the IT Security Plan to 
the Contracting Officer and Contracting Officers Representative 
(COR) for acceptance. This plan shall be consistent with and further 
detail the approach contained in the contractors 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) Submittal of a Continuous Monitoring Plan. The Contractor 
must develop a continuous monitoring strategy that includes:
    (1) A configuration management process for the information 
system and its constituent components;
    (2) A determination of the security impact of changes to the 
information system and environment of operation;
    (3) Ongoing security control assessments in accordance with the 
organizational continuous monitoring strategy;
    (4) Reporting the security state of the information system to 
appropriate GSA officials; and
    (5) All GSA general support systems and applications must 
implement continuous monitoring activities in accordance with this 
guide and NIST SP 800-37 Revision 1, Guide for Applying the Risk 
Management Framework to Federal Information Systems: A Security Life 
Cycle Approach.
    (e) Security authorization. Within six (6) months after contract 
award, the Contractor shall submit written proof of IT security 
authorization for acceptance by the Contracting Officer. Such 
written proof may be furnished either by the Contractor or by a 
third party. The security authorization must be in accordance with 
NIST Special Publication 800-37. This security authorization will 
include a final security plan, risk assessment, security test and 
evaluation, and disaster recovery plan/continuity of operations 
plan. This security authorization, 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 
assessment, security test and evaluation, and disaster recovery/
continuity of operations plan. The Contractor shall comply with the 
accepted security authorization documentation.
    (f) Annual verification. On an annual basis, the Contractor 
shall submit verification to the Contracting Officer that the IT 
Security plan remains valid.
    (g) Warning notices. The Contractor shall ensure that the 
following banners are displayed on all GSA 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 General 
Services Administration policy, and may result in criminal or 
administrative penalties. Users shall not access other users or 
system files without proper authority. Absence of access controls IS 
NOT authorization for access! GSA 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**


    (h) Privacy Act notification. The Contractor shall ensure that 
the following banner is displayed on all GSA 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.
    (i) Privileged or limited privileges access. Contractor 
personnel requiring privileged access or limited privileges access 
to systems operated by the Contractor for GSA or interconnected to a 
GSA network shall adhere to the specific contract security 
requirements contained within this contract and/or the Contract 
Security Classification Specification (DD Form 254).
    (j) 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 the rules of behavior.
    (k) Government access. The Contractor shall afford the 
Government access to the Contractor's and subcontractors' 
facilities, installations, operations, documentation, databases, IT 
systems and devices, and personnel used in performance of the 
contract, regardless of the location. Access shall be provided to 
the extent required, in the Government's judgment, to conduct an IT 
inspection, investigation or audit, including vulnerability testing 
to safeguard against

[[Page 34890]]

threats and hazards to the integrity, availability and 
confidentiality of GSA data or to the function of information 
technology systems operated on behalf of GSA, and to preserve 
evidence of computer crime. This information shall be available to 
GSA upon request.
    (l) Subcontracts. The Contractor shall incorporate the substance 
of this clause in all subcontracts that meet the conditions in 
paragraph (a) of this clause.
    (m) 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 GSA 
information systems or data. If an employee's employment is 
terminated, for any reason, access to GSA's information systems or 
data shall be immediately disabled and the credentials used to 
access the information systems or data shall be immediately 
confiscated.
    (n) 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)

[FR Doc. 2011-14728 Filed 6-14-11; 8:45 am]
BILLING CODE 6820-61-P