3090-0294- Supporting Statement

SUPPORTING STATEMENT FOR PAPERWORK REDUCTION ACT SUBMISSION 3090-00294, IMPLEMENTATION OF INFORMATION TECHNOLOGY

SECURITY PROVISION

A. Justification

1. Administrative requirements.

The General Services Administration (GSA) is issuing a final rule to implement a recommendation from the Office of the Inspector General (OIG) based on an internal audit of the security of GSA’s information technology data and systems. The audit recommended that GSA develop standard requirements and deliverables for IT service contracts and task orders that promote compliance with GSA IT Security Policy and Procedures.

The final rule will require contracting officers to 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, Information Technology Security Plan and Accreditation. As such, the provision and clause 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. The clause will require contractors, within 30 days after contract award to submit an IT Security Plan to the Contracting Officer and Contracting Officer’s Representative for acceptance 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 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 http://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. The plan shall be consistent with and further detail the approach contained in the contractor’s proposal or sealed bid. The plan shall be incorporated into the contract as a compliance document. The contractor shall comply with the accepted plan.

Six months after contract award, the contractor shall submit written proof of IT security accreditation for acceptance by the Contracting Officer. The accreditation must be in accordance with NIST Special Publication 800-37.

On an annual basis, the contractor shall submit verification to the Contracting Officer that the IT Security plan remains valid.

2. Use of information. GSA will use this information to verify that the contractor shall secure GSA’s information technology data and systems from unauthorized use.

3. Use of information technology. We use improved information technology to the maximum extent practicable. Where both the Government and the contractor are capable of electronic interchange, these information collection requirements may be submitted electronically.

4. Describe efforts to identify duplication. The reporting requirements placed on contractors are not duplicative of any other language in the Federal Acquisition Regulation (FAR) or the General Services Administration Acquisition Regulation (GSAR).

5. If the collection of information impacts small businesses describe any methods used to minimize the burden.

The collections associated with small businesses are the minimum consistent with applicable laws, Executive orders, and prudent businesses practices. The information required to prepare the IT Security Plan, submit written proof of IT security accreditation six months after award, and verify that the IT Security Plan remains valid annually, will be collected, as needed, from both large and small businesses. The nature of the reporting requirements precludes reducing the information collection burden for small businesses. Comments are requested from large and small business concerns and other interested parties on this issue.

6. Describe the consequences to Federal activities if the collection is not conducted or is conducted less frequently.

Failure to require the submission of the IT Security Plan may result in noncompliance with IT security requirements in accordance with Federal and GSA policies and procedures. Such noncompliance creates the potential for GSA's information assets being exposed to undue risks of inappropriate disclosure, destruction, and alteration

The requirement to have the contractor submit written proof of IT security accreditation to the Contracting Officer within six months of contract award further guarantee’s the security of GSA’s information technology data and systems.

Collecting information on the annual verification of a valid IT Security Plan will also help to ensure the security of GSA’s information technology data and systems.

7. Special circumstances for collection. 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. We will not collect information in a manner that requires an explanation of special circumstances. Collection is consistent with the guidelines in 5 CFR 1320.6.

8. Efforts to consult with persons outside the agency. We solicited public comments in the Federal Register on June 15, 2011 (76 FR 34886), as required by 5 CFR 1320.8(d).

9. Explanation of any decision to provide any payment or gift to respondents, other than renumeration of contractors or guarantees. We will not provide any payment or gift to respondents to this information collection requirement.

10. Describe assurance of confidentiality provided to respondents. We will disclose the information collected only to the extent consistent with prudent business practices, current regulations, and in accordance with the requirements of the Freedom of Information Act. We do not provide an assurance of confidentiality to respondents.

11. Additional justification for questions of a sensitive nature. No sensitive questions are involved.

12. Estimated total annual public hour/cost burden. We used information generated from the Federal Procurement Data System (FPDS) (using fiscal year 2009 and 2010 data) to determine the number of contractors performing information technology services for GSA under contracts and task orders. We retrieved contracts and task orders valued at $25,000 or more awarded using the PSC code D – ADP and Telecommunication Services from FPDS. Based on the FY09 FPDS data collected there were 158 unique DUNS numbers for such contract actions, and based on the FY10 FPDS data collected there were 135 unique DUNS numbers. The average unique DUNS numbers for FY09 and FY10 on such contract actions is 147.

We estimated 5 hours for responding to this request due to several factors. First, we conducted research of other agencies’ regulations to determine if they had similar information technology security requirements. We found three agencies have the same requirement; Department of State, Department of Transportation, and NASA) and that this requirement was implement as far back as five years ago. Based on this data, we concluded that industry is may be familiar with the requirements of the GSA clause because other agencies have similar requirements. In addition, GSA’s Office of the Chief Information Officer issued “CIO IT Security Procedural Guide 09-48, Security Language for Information Technology Acquisitions Efforts in November 2009. Although there is no contract clause, GSA contractors were required to meet GSA’s IT security policy and guidance as stated in the guide. Finally, Federal laws and guidance such as FISMA, Office of Management and Budget Circulars, and NIST publications elude to these requirements. Therefore, this should not be a large burden because industry is familiar with the requirements.

The 5 hours per response includes the time to collect information, develop the IT security plan, report on the security accreditation six months award, and validate the IT Security plan annually.

We estimated 2 responses per respondent. We believe this is the average number of contract actions respondents will have to report on per year.

Based on aforementioned information, we estimate the total

burden as follows--

Number of respondents 147

Responses per respondent 2

Number of responses 294

Avg. hours per response x 5

Estimated hours 1,470

Cost per hour² 36.17

Total annual public burden $53,170

Notes:

1. Based on 2011 GS—11, step 5 salary of $27.31 per hour, plus 32.45 percent burden.

All cost estimates are rounded to the nearest dollar. Wage rates used reflect the general schedule ranges published by the Office of Personnel Management on its Web site and do not include locality pay adjustments.

13. Estimated total annual public cost burden. Provide an estimate of the total annual cost burden to respondents or record-keepers resulting from the collection of information.  (Do not include the cost of any hour burden shown in Items 12.)

Annual Recordkeeping Burden:

Record keepers: 147*

Records per record keeper: x 2

Total annual records: 294

Preparation hours per record: x 8**

Total recordkeeping burden hours: 2,352

Cost per hour*** x $36.17

Total annual recordkeeping cost $85,072

* The average unique DUNS numbers for FY09 and FY10 on such contract actions is 147. We estimated 2 responses per respondent. We believe this is the average number of contract actions respondents will have to report on per year.

**Estimated time to research, analyze, and retain data to: 1) maintain an IT Security Plan; 2) report under the continuous monitoring plan; 3) comply with the accepted accreditation documentation; 4) submit annual verification that the IT Security plan remains valid; 5) ensure contractor personnel possess the appropriate security requirements to access Government systems; 6) ensure contractor personnel obtained IT security training; 7) afford the Government access to the Contractor’s and subcontractors’ documentation; and 8) notify the Contracting Officer when an employee either begins or terminates employment when that employee has access to GSA information systems or data. This estimate assumes automation of contractor records.

***Based on 2011 GS—11, step 5 salary of $27.31 per hour, plus 32.45 percent burden.

All cost estimates are rounded to the nearest dollar. Wage rates used reflect the general schedule ranges published by the Office of Personnel Management on its Web site and do not include locality pay adjustments.

14. Estimated cost to the Government. We used information generated from FPDS (using fiscal year 2009 and 2010 data), and estimates of processing times from contracting professionals. We estimate the total cost as follows--

Number of responses 294

Avg. hours per response x 2

Estimated Hours 588

Cost per hour¹ x $36.17

Total annual Government cost $21,268

Notes:

1. Based on 2011 GS-11, step 5 salary of $27.31 per hour, plus 32.45 percent burden.

All cost estimates are rounded to the nearest dollar. Wage rates used reflect the general schedule rates published by the Office of Personnel Management on its Web site and do not include locality pay adjustments.

15. Explain reasons for program changes or adjustment reported in Item 13 or 14. This is a new information collection requirement.

16. Outline plans for published results of information collection. We will not publish the results of this information collection.

17. Approval not to display expiration date. We do not seek approval not to display the expiration date for OMB approval of the information collection.

18. Explanation of exception to certification statement. Not applicable.

B. Collections of Information Employing Statistical Methods.

We will not tabulate results or employ statistical methods.

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