36C10B20Q0140-001.docx

TRANSFORMATION TWENTY-ONE TOTAL TECHNOLOGY – NEXT GENERATION (T4NG)

PERFORMANCE WORK STATEMENT (PWS)

DEPARTMENT OF VETERANS AFFAIRS (VA)

Veterans Benefits Administration (VBA) Paper Mail Conversion and Management Services Date: January 30, 2020 Task Order PWS Version Number: 1.0 DRAFT

Contents

Background The fundamental mission of the Veterans Benefits Administration (VBA) is to provide Veterans, service members, and their families the benefits they have earned through their military service to the United States. VBA accomplishes its mission by delivering client-centered, personalized services that help Veterans readjust to civilian life and enhance their well-being.

The Department of Veterans Affairs (VA) continues to optimize the Veterans Benefits Management System (VBMS), a paperless claims processing system that greatly reduces the time required to establish, develop, decide, and pay claims. The system replaces what was once a largely manual and paper-based process that had inherent bottlenecks and inefficiencies that led to processing delays and errors. Ongoing development of and continued enhancements to VBMS support VBA’s progression towards an automated (or computer-assisted) processing environment.

In an effort to continuously improve benefits processing efficiency and cycle-time, VBA expanded document conversion services to include Centralized Mail (CM) processing. The CM activities require vendors to receive source materials directly from Veterans, Veterans Representatives, and third parties providing evidence in support of a claim rather than from VBA Regional Offices (RO) exclusively. Materials are received via physical mail, direct upload (by an external Veteran Service Organization user), secure file transfer, and fax. The materials are converted into searchable Portable Document Format (PDFs) which are then made available to VA end users for review within an interactive portal. Upon completion of automation and/or end user required actions, images, with associated data, are uploaded to VBMS. The CM materials are then prepared for shipment to long-term storage awaiting disposition.

VBA also implemented the Private Medical Records (PMR) Retrieval Program to improve timeliness for the receipt of medical records in support of a Veterans’ claim for disability benefits. The PMR program is designed to work in collaboration with the Centralized Mail program to support claims development. Under the PMR process, the conversion vendors receive medical release statements (VA Form 21-4142, 21-4142a, and other medical release of information authorizations) via physical mail, direct upload, secure file transfer, and fax. The conversion vendors scan the medical release statements, convert the images to PDF format, and transfer the PDF files and metadata to the PMR vendor via an existing secure, automated, system-to-system process. The private medical records are then requested by the PMR vendor on behalf of VA. In parallel, the conversion vendors upload the medical release statements to the VBMS eFolder per the existing centralized mail process.

As the work is completed by the PMR vendor, it is securely transferred back to the conversion vendor. The returning electronic documents include medical records/evidence received, letters, reports of contact, returned mail (in some instances), and reject notices. These are transferred back to the conversion vendors via the secure, automated system-to-system process. Each electronic document and associated metadata received from the PMR vendor is then uploaded to the VBMS eFolder in the same manner and by the same processes as used for the documents converted by the conversion vendors. If any of the documents fail to upload into the VBMS eFolder, the documents are routed through the centralized mail process and made available to VA end users for resolution.

Figure 1 depicts the existing end-to-end centralized mail intake, conversion, and handling process deployed at VBA’s conversion vendor locations. While the current process, from receipt through post-conversion storage, is executed by each of the existing vendors’ conversion locations, specific internal procedures and systems utilized are at the conversion vendors’ discretion.

Figure 1. Existing Centralized Mail Intake, Conversion, and Handling Services Process

Applicable Documents

The following documents, in addition to the documents in Paragraph 2.0 in the Basic T4NG PWS, are referenced for the performance of this effort:

1. NARA Facility Standards for Records Storage Facilities, 36 CFR, Part 1234, Subpart B, dated July 1, 2011

2. Facility Standards for Records Storage Facilities Inspection Checklist (Attachment C with Appendix B, Documentation of a Certified Fire-Safety Detection and Suppression System) of 36 CFR, Part 1234, Subpart B, dated July 1, 2011

3. U.S. Department of Veterans Affairs Records Control Schedule 10-1; dated March 1, 2011

4. VA Handbook 0710, Personnel Suitability and Security Program, dated September 10, 2004

5. VA Handbook 0730, Security and Law Enforcement, dated August 11, 2000

6. VA Handbook 0730/1, Security and Law Enforcement, dated August 20, 2004

7. Authorization Requirements Standard Operating Procedures (SOP) dated February 4, 2019 (Attachment A)

8. Damage Incident Report (Attachment B)

9. Paper Mail Conversion and Management Services Source Material Tracking Service (SMTS) BRD (Attachment C)

10. VBMS PDF Specification Document, Release 17.1 dated August 2, 2019 (Attachment D)

11. Document Conversion Rules (DCR), (Attachment E)

12. Document Type Identification and Date of Receipt Guide (DTIDORG) 19-3 dated August 23, 2019 (Attachment F)

13. Application Change Request 156 (ACR156) dated August 11, 2019 (Attachment G)

14. VBMS Release 18.0 eFolder v1.0 Service Contract Document (SCD) dated December 6, 2019 (Attachment H)

15. Mail Routing Logic dated August 2019 (Attachment I)

16. Private Medical Records (PMR) Data Transfer Protocol v3.2 dated August 21, 2019 (Attachment J)

17. Private Medical Records (PMR) Process Flows v1.0 dated June 28, 2019 (Attachment K)

18. DMHS – R1 – Interface Control Document (ICD) v.1.20 (Attachment L)

19. DMHS CM Portal – ICD – v1.12 – Location Appendix dated June 10, 2019 (Attachment M)

20. VBMS Release 17.0 Web Services Startup Guide, dated April 26, 2019 (Attachment N)

21. VA Handbook 6300.8, Section 5 (Attachment O)

22. VCIP Shipping SOP v.3.2 (Attachment P)

23. Centralized Mail Queue List v1.4 dated June 24, 2019 (Attachment Q)

24. DMHS BRD, v2.5, dated August 26, 2019 (Attachment R)

25. VBA Regional Office and VBA District Office Alignment Document (Attachment S)

26. AutoCEST Business Requirements Document (BRD), v1.0 dated January 20, 2020 (Attachment T)

27. AutoCEST Report Dictionary (Attachment U)

28. Emergency Notification SOP, v1.0, dated September 3, 2019 (Attachment V)

Scope of Work The Contractor shall perform paper mail conversion and management services for VA. Services include the receipt, control, and conversion of paper mail source materials (mail packets) to standardized, indexed, and searchable PDF (PDF Image plus Text). The Contractor shall perform data extraction on a subset of the source material prior to uploading mail packets to a contract-developed mail portal or transmit mail packets to a VBA Mail Automation Service. The Contractor shall incorporate quality assurance activities and validation into multiple steps of the conversion process to ensure that VA receives images and data of sufficient quality to support its business processes. The Contractor shall also support onsite Government-contracted third-party auditing throughout the periods of performance.

VA anticipates that it will require document conversion services for source materials equivalent to approximately 138 million images (split between 69 million images in the base period and 69 million images in the option period, if exercised. The volume of mail received by the Contractor for conversion will be dependent primarily on the number of claims received from Veterans/claimants.

VA will order a guaranteed minimum volume of 60 million images (30 million images in the base period and 30 million images in option period, if exercised). The maximum volume of images that may be ordered is 300 million (150 million images in the base period and option period, if exercised).

VA will notify the Contractor at least 30 calendar days before it anticipates any significant increases in monthly mail receipt volume. This would typically occur following a change of benefit entitlement law or a sudden military drawdown, both resulting in an increase in the number of claims VA receives.

For additional information characterizing the source materials and estimated effort required to meet quality requirements, see Appendix C, Estimated Volume Characteristics.

The Contractor shall receive source material daily with fewer than three (3) calendar days of disruption within a 365-day period. The Contractor shall establish facilities, equipment, processes, and personnel to meet this requirement. This requirement applies to all disruptions for which VA is not responsible. VA will not consider failure to operate on Federal Holidays as a disruption. Due to the sensitive nature of the content, the Contractor shall take receipt of materials shipped by VA during the delivery periods of VA’s national contract carrier, which is currently United Parcel Service (UPS), or from the United States Postal Service (USPS). In addition, the Contractor shall take receipt of materials shipped by alternative carriers utilized by VA entities outside of the Continental United States, where UPS and/or USPS may not be available or utilized. Any changes to VA’s national carrier will be communicated to the Contractor by the Contracting Officer.

Applicability

This TO PWS is within the scope of Section 4.9, Operations and Maintenance, of the Basic T4NG PWS.

Order Type

The effort shall be a hybrid Firm Fixed Price (FFP) and Time and Materials (T&M) type order. PWS Task 5.19 is T&M; the remaining tasks are FFP.

Performance Details

Performance Period The period of performance shall be 12 months from the effective date of TO award, with one (1) 12-month option, to be executed at the Government’s discretion.

Place of Performance Efforts under this TO shall be performed at Contractor and Government facilities. No work shall be performed Outside Continental United States (OCONUS).

Within 90 calendar days of TO award, the Contractor shall have ready processing, conversion, storage space and security processes consistent with applicable VA security regulations including security requirements provided in VA Handbook 0730, VA Handbook 0730/1, VA Handbook 0730/4, VA Handbook 6500, and the National Archives and Records Administration (NARA) storage requirements of 36 CFR, Part 1234, Subpart B, with no exceptions made for the waivers discussed within 36 CFR, Part 1234, Subpart B. While NARA certification is not required, the Contractor shall maintain compliance with the referenced NARA requirements. The Contractor shall provide a completed Facility Standards for Records Storage Facilities Inspection Checklist (Appendix B of 36 CFR, Part 1234, Subpart B), and documentation of a certified fire-safety detection and suppression system for each facility wherein source materials are received, stored, or otherwise handled as part of the end-to-end conversion process.

Within 30 calendar days of TO award, the Contractor shall have scheduled and jointly conducted with VA or its agents, an audit to assess compliance with the NARA storage requirements. The Contractor shall have also completed any remediation activities required because of this audit within those 30 calendar days. The Government requires annual review of facility and certification documentation to ensure compliance with established regulations.

Contractor facilities not utilized to store physical source materials, either temporarily or long term, are exempt from the Facility Standards for Records Storage Facilities Inspection Checklist but are required to meet the remaining applicable security regulations described in this section. Where an initially exempt facility is later transitioned for the purpose of maintaining, storing, or handling VA physical source materials, the Contractor, prior to introducing physical source materials into the facility, shall (1) inform the Government of its intent; and (2) provide the Government with evidence the facility is compliant with the referenced NARA requirements.

The Contractor shall store, maintain, and handle VA paper mail and perform any electronic processes supporting the end-to-end conversion process, within non-public, controlled spaces, accessible only by authorized personnel who have had VA privacy and security awareness training and proper background investigations. The Contractor shall ensure security personnel closely monitor the facility. The Contractor shall limit access to controlled spaces by use of approved physical access devices, lock and key, or security alarms after hours. The Contractor shall maintain strict control of documents taken in or out of any facility. Contractor teleworking in support of the tasks in this PWS is not authorized without prior written approval from the Contracting Officer’s Representative (COR).

The Contractor shall provide VA or its agent with physical access to the source materials at any time during normal operating hours. The Contractor shall allow VA or its agent to perform oversight of storage conditions and operations at any time during normal operating hours.

Deliverables:

A. Facility Standards for Records Storage Facilities Inspection Checklist Travel or Special Requirements The Government anticipates travel to perform the tasks associated with the effort, as well as to attend program-related meetings or conferences throughout the period(s) of performance. Travel shall be in accordance with FAR 31.205-46 and requires concurrence in advance by the COR. Include all estimated travel costs in your firm-fixed price line items. These costs will not be directly reimbursed by the Government.

The total estimated number of trips in support of the program related meetings for this effort is two (2) three-day trips to Washington, DC (one (1) trip during each period of performance for a total of two (2) trips.) The Government estimates that the Contractor will include five (5) personnel for each trip. Anticipated locations include the following:

· Veterans Benefits Administration (VBA), 1800 G Street, NW, Washington, DC 20006 Travel is for the base period and the option period, if exercised.

Contract Management All requirements of Sections 7.0, Contract Management and 8.0, Reporting and Meeting Requirements, of the T4NG Basic PWS apply to this effort. This TO shall be addressed in the Contractor’s Progress, Status, and Management Report as set forth in the T4NG Basic contract.

Government Furnished Equipment (GFE)/Government Furnished Information (GFI) GFE is not required for the performance of this TO. In addition to mail received via the US Postal Service (USPS), the Government may also ship to the Contractor facility mail received directly at Government facilities.

The Contractor will be provided access to, and training on, VBA’s policies and guidance impacting work requested in this PWS regarding claims establishment and pertinent VBMS functionality within the first 30 calendar days of contract award.

If required, the Government will provide VA network access, email addresses, and access to specific applications necessary to perform the tasks in this PWS.

Security and Privacy

All requirements in Section 6.0, Security, of the T4NG Basic PWS apply to this effort. Specific TO requirements relating to Addendum B, Section B4.0 paragraphs 10 and 11 supersede the corresponding T4NG Basic PWS paragraphs, and are as follows:

10. The Contractor shall notify VA within 24 hours of the discovery or disclosure of successful exploits of the vulnerability which can compromise the security of the Systems (including the confidentiality or integrity of its data and operations, or the availability of the system). Such issues shall be remediated as quickly as is practical, but in no event longer than one (1) day.

11. When the Security Fixes involve installing third party patches (such as Microsoft OS patches or Adobe Acrobat), the vendor will provide written notice to VA that the patch has been validated as not affecting the systems within 10 working days. When the Contractor is responsible for operations or maintenance of the Systems, they shall apply the Security Fixes within one (1) day.

Refer to the VA’s security requirements for transport from a post office box to the Contractor’s site(s).

The Contractor shall obtain and maintain an Authority to Operate (ATO) or, if acceptable to the Government, an Interim Authority to Operate (IATO) for the Contractor-managed information system supporting Paper Mail Conversion and Management Services. For detailed Security and Privacy Requirements refer to Attachment A, Authorization Requirements SOP and Addendums A and B of the T4NG Basic PWS.

Position Sensitivity

In accordance with VA Handbook 0710, Personnel Security and Suitability Program, the position sensitivity and the level of background investigation commensurate with the required level of access for the following tasks within the PWS are:

Position Sensitivity and Background Investigation Requirements

The Tasks identified above, and the resulting Position Sensitivity and Background Investigation requirements identify, in effect, the Background Investigation requirements for Contractor individuals, based upon the tasks the Contractor individual will be working. The submitted Contractor Staff Roster must indicate the required Background Investigation Level for each Contractor individual based upon the tasks the Contractor individual will be working, in accordance with its submitted proposal.

Specific Tasks and Deliverables The Contractor shall perform the following:

Project Management (FFP) The Contractor shall plan, monitor, and control the tasks outlined in this PWS. The Contractor shall follow an accepted project management methodology such as the Project Management Body of Knowledge (PMBOK).

Contractor Project Management Plan The Contractor shall provide a detailed PMP and briefing summarizing the PMP content for the Government following TO award. The briefing may be conducted virtually. The PMP presents the Contractor’s plan for successfully completing all work described in the contract. The PMP shall take the form of both a narrative and graphic form that displays the schedule, milestones, risks, and resource support. The baseline PMP and all subsequent updates shall be coordinated with VBA and approved by the COR. At a minimum the following items shall be incorporated into the PMP:

· Change Control Plan

· Communications Plan

· Configuration Management Plan

· Integrated Master Schedule (IMS)

· Integration Plan

· Logistics Plan

· Quality Management Plan

· Requirements Management Plan

· Risk Management Plan

· Scalability Plan

· Service Rollout Plan

· Staffing Plan

· Stakeholder Management Plan

· Subcontractor Management Plan

· Technical/Management Plan

· Training Plan

· Work Breakdown Structure (WBS) Deliverables:

A. Project Management Plan and Briefing Technical Kickoff Meeting The Contractor shall coordinate and facilitate a technical kickoff meeting within 10 calendar days following TO award. In addition to the introduction of its contract leadership team, the Contractor shall present, for review and approval by the Government, the details of the intended approach, work plan, and project schedule for each effort. The Contractor shall specify dates, locations (can be virtual), agenda (shall be provided to all attendees at least five (5) calendar days prior to the meeting), and meeting minutes (shall be provided to all attendees within one (1) calendar day following the meeting). The Contractor shall invite the Contracting Officer (CO), Contract Specialist (CS), Contracting Officer’s Representative (COR), and the Government Program/Project Manager (PM).

Deliverables:

A. Kickoff Meeting Agenda B. Kickoff Meeting and Presentation C. Kickoff Meeting Minutes

Weekly/Monthly Update Meeting The Contractor’s PM shall participate in and facilitate weekly and monthly update meetings. Weekly and monthly meetings shall be set up in advance, considering availability of Government Program Management Office (PMO) staff, providing phone dial-in and/or teleconferencing or web conferencing. An agenda shall be provided prior to the meeting. The Contractor shall facilitate the meeting, track action items, describe any risks associated with performance, schedule, or other concerns during this meeting, and deliver meeting minutes following the meeting. Meeting minutes shall include current statuses of all open issues and any upcoming service development and service implementation activities.

The Contractor shall include, at minimum, the following topics:

· Risk register review with mitigation strategy and status

· Quality status/issues with resolution plan

· Service status/issues with resolution plan

· Staffing status/issues with resolution plan

· Schedule status/issues with resolution plan

· Performance status/issues with resolution plan (performance improvement plan/remediation plan)

· Plans for coming weeks (including performance improvement plan/remediation plan efforts)

· Authority to Operate (ATO)/Interim Authority to Operate (IATO) status/issues with resolution plan

· All action items (status (pending, closed, other), duration, and resource assignments)

· Contractor corporate/resource email distribution list with updates monthly

· Deliverable status The Contractor shall capture, track, and report action items and risks weekly. Capturing, tracking, and reporting shall be electronic via a Government approved enterprise change management, risk/issue tracking tool (e.g., Rational Jazz, JIRA, or similar). The Contractor is not required to develop and implement a new tracking tool to satisfy this requirement. Use of an existing solution is acceptable so long as the tool meets the following minimum requirements and its use is approved by the Government PM:

· Action items and risks are organized and enumerated

· The tool displays the metadata related to each action item/risk Deliverables:

A. Weekly Update Meeting Agenda B. Weekly Update Meeting Minutes C. Monthly Update Meeting Agenda D. Monthly Update Meeting Minutes E. Action Item and Risk Register Progress Reports and Reviews In support of this TO VA requires reporting above and beyond the T4NG Monthly Progress Reports at the T4NG basic contract level.

The Contractor shall deliver Monthly and Annual Progress Reports throughout the TO performance period. The Monthly Progress Report shall include an out brief to the Government PM. The content contained in the reports shall be representative of performance requirements as outlined in the PWS. The Government will work with the Contractor to develop the content for the reports to ensure relevant datasets are accurately defined and captured. The Contractor shall maintain a lessons-learned diary and deliver as a part of the Monthly Progress Report. Progress Reports shall include, at minimum:

· Operational Report (budget, hiring (gain/loss report), etc.)

· Trends over time

· Productivity Report (process definition, equipment types, etc.)

· Trends over time

· Quality Report (metrics, measurement, maintenance procedures, etc.)

· Trends over time

· Performance issues with mitigation strategies

· Contractor Privacy and Security Training Report

· Contractor Staff Roster

· Deliverable Matrix (status of all PWS deliverables for the reporting period) Deliverables:

A. Monthly Progress Reports B. Annual Progress Reports C. Contractor Staff Roster D. Monthly Contractor Privacy and Security Training Report Change Control Support VBA will establish a Change Control Board (CCB) as part of the change control process to adjudicate proposed change requests. VBA anticipates the CCB will conduct routine meetings on a monthly basis. The Contractor shall participate in these CCB meetings when requested by the Government and may do so on a virtual basis. The participation shall include at least one representative with the authority to make commitments on behalf of the Contractor. The Contractor shall support the CCB in assessing the level of effort and the impact of proposed change requests.

VBA will manage the change control process. Proposed change requests may include managing and implementing changes which may include but are not limited to:

· Service enhancements

· Shipping guidance

· Receipt via DMHS direct upload

· Constructive custody

· Document Conversion Rules

· VBMS document taxonomy

· Indexing

· Document Type and Date of Receipt Guide

· Data extraction

· Automatic claims establishment (AutoCEST)

· Disposition

· Interfaces with PMR vendor system(s)

· Interfaces with Government system(s)

· Interfaces with Records Management Services (RMS) Contractor system(s)

· Interfaces with the VICCS Mail Automation Services Contractor system(s)

· Graphical Self-Service Report Generation (other than ad hoc reports) Continuity of Operations Plan (COOP)/Disaster Recovery (DR) Plans The Contractor shall develop, maintain, and test service continuity, contingency, and disaster recovery plans for all services performed under this TO. In providing these services, the Contractor shall:

· Prepare and deliver COOP and DR Plans to ensure the orderly recovery from a disaster that may render all or part of a service facility, system, or equipment inoperable

· Coordinate with interfacing systems to verify integration of procedures and planning

· Develop measures to protect all services, equipment, and data for which the Contractor is responsible from potential environmental threats

· Ensure services and equipment for which the Contractor is responsible are operational and restore any lost capabilities and data after the occurrence of a disaster

· Conduct and participate in semi-annual COOP/DR exercises

· Provide COOP/DR exercise results Deliverables:

A. Continuity of Operations (COOP) Plan B. Disaster Recovery (DR) Plan C. COOP/DR exercise results Mail Receipt (FFP) The Contractor shall receive paper mail from VBA ROs, other VBA entities, VBA partners, the United States Postal Service (USPS), and directly from Veterans, their families, and their representatives.

The Contractor should anticipate the receipt of mail including both printed and handwritten content from:

· Paper

· Photographs Mail may also include electronic format source materials including but not limited to:

· CD/DVD

· Flash drives

· Microfilm

· Microfiche

· Other alternate media The Government anticipates that the volume of paper mail received by the Contractor will vary by day, week, and month. The Government will collaborate with the Contractor to mitigate the impact of this variation to the extent that it does not impact VA business operations.

The Contractor shall maintain the ability to receive mail at least once daily either directly from USPS delivery or any other carrier VA or a Veteran or Veteran’s representative selects to use for mail and shipments, or upon Contractor pick-up from the USPS site. Mail may be received in any form capable of delivery through the USPS. The most common forms VA currently receives are envelopes and flats; but on occasion, boxes or small packages may be received. The Contractor shall comply with established USPS procedures for handling certified or registered mail or other carrier signature procedures necessary to take receipt of source materials. Within 30 calendar days of task order award, VA will establish Post Office boxes to which all incoming Veteran mail is delivered by the USPS. These PO boxes will be located within a single USPS facility servicing the Contractor, regardless of the number of sites the Contractor uses. Depending upon the terms and conditions of the agreement with USPS, or any other carrier VA selects to use for mail and shipments, mail will either be directly delivered to the Contractor’s site or will be available for pickup at the closest possible USPS (or other carrier facility) site to the Contractor’s site(s).

Each piece of mail shall be checked in, logged, and assigned a date of receipt indicating the date and time it was received. Check-in of all received mail shall occur the same day the mail was received. This assigned date of receipt endorsement shall then be applied to each piece of mail during the conversion process. As there are multiple VA lines of business, different endorsements must be used. The digital endorsement shall consist of the following:

“MM/DD/YYYY HH:MM:SS – VA [Line of Business] Intake Center” (e.g., 01/01/2020 08:15:45 – VA Compensation Intake Center).

Immediately beneath or beside the digital endorsement the Contractor shall apply the source type of material received (e.g., “Source Mail”). Any material received with a date stamp already applied by a VA facility shall be assigned a date of receipt in accordance with the DCRs.

This receipt shall constitute the acceptance of the records and liability for records management by the Contractor. The Contractor shall initiate tracking of mail upon receipt.

The Contractor shall forward to an address provided by the Government articles of mail that appear to have been misrouted.

The Contractor shall replace any boxes damaged during shipment where damage represents potential access to or loss of VA assets or sensitive information. The Contractor shall notify the COR and VA PM immediately, via email and phone, upon occurrence, detailing the damage and the specific source material(s) damaged, if any.

Within one (1) calendar day of a damage incident, the Contractor shall replace damaged boxes and complete and submit to the COR a Damage Incident Report as provided in Attachment B. The Contractor shall also photograph any box for which a Damage Incident Report is completed. Photographs shall not include any sensitive information. The photograph shall accompany the Damage Incident Report submitted to the COR.

Replacement boxes shall be consistent with the damaged box, which generally are boxes with National Stock Number (NSN) 8115-00-117-8249.

Post Office Box (PO Box) and Other Carrier Mail The Contractor shall receive centralized mail source materials from:

· The United States Postal Service (USPS) via Government established PO boxes or direct delivery to the facility

· Any other carrier a Veteran or Veteran’s representative selects to use for mail and shipments (e.g., FedEx, UPS, DHL) The PO boxes may be existing PO boxes redirected to the Contractor performance location or new PO boxes established in direct support of this TO. While the Government will be responsible for establishing and retaining the PO boxes, the Contractor shall monitor, retrieve mail from, and develop internal processing activities to be performed on the retrieved mail. The mail received through these PO boxes will include direct mailings from Veterans/claimants and their representatives or mail received at a VA facility, repackaged, and mailed.

The following table includes a listing of established PO boxes supporting existing conversion and mail processing activities to be redirected from their current termination point location to a Contractor location following award:

PO Box 5211 Janesville, WI 53547-5211

VBA - Fiduciary Service

PO Box 5212 Janesville, WI 53547-5212 VBA Insurance Service

PO Box 5209 Janesville, WI 53547-5209 Military Review Boards/Official Military Personnel File

PO Box 5210 Janesville, WI 53547-5209

Clinical Records

Table 1. PO Boxes to be Redirected The Government will alert the Contractor within 30 calendar days of TO award of any changes in the PO box configuration (e.g., consolidation of PO boxes). The Contractor shall maintain the ability to receive mail at least once daily. The most common forms of mail VA currently receives are envelopes and flats; but on occasion, boxes or small packages may be received. The Contractor shall comply with established USPS procedures for handling certified or registered mail or other carrier signature procedures necessary to take receipt of source materials.

Within 30 calendar days of TO award, VA will establish Post Office boxes to which all incoming Veteran mail is delivered by the USPS. These PO boxes will be located within a single USPS facility, regardless of the number of sites the Contractor uses. Mail will either be directly delivered to the Contractor’s site or will be available for pickup at the closest USPS (or other carrier facility site to the Contractor’s site(s). This is dependent upon the terms and conditions of the agreement with USPS, or any other carrier VA selects to use for mail and shipments.

Each piece of mail shall be checked in, logged, and assigned a date of receipt indicating the date and time it was received. Check-in of all received mail shall occur the same day the mail was received. This assigned date of receipt endorsement shall then be applied to each image created during the conversion process. The digital endorsement specifications are defined in the Document Conversion Rules.

Any material received with a date stamp already applied by a VA authorized facility shall be assigned a date of receipt in accordance with the Document Conversion Rules.

This receipt shall constitute the acceptance of the materials and liability for materials management by the Contractor. The Contractor shall initiate tracking of mail upon receipt.

New PO Box Setup (FFP) (Recurring Optional Task) As VA offices/business lines continue to migrate towards centralized mail operations, new PO boxes will be required. While the Government will be responsible for establishing the PO boxes, the Contractor shall maintain the PO box and add it to their internal workflow. The Government will notify the Contractor in advance of its intent to exercise this optional task.

The following table includes a list of planned PO boxes to be established, although additional PO Boxes may also be identified:

Table 2. Planned PO Boxes Bulk Mail Receipt The Contractor shall receive paper mail source materials in bulk form from VBA locations, other VA entities, or VBA partners.

The Contractor shall maintain the ability to receive bulk mail during normal business operations hours. The Contractor shall comply with established carrier signature procedures necessary to take receipt of source materials. Depending upon the terms and conditions of the agreement with the carrier, mail will either be directly delivered to the Contractor’s site or will be available for pickup at the carrier facility closest to the Contractor’s site(s).

Check-in of all received mail shall occur the same day the bulk mail was received. Mail received with or without a date stamp already applied by a VA authorized facility shall be assigned a date of receipt in accordance with the Document Conversion Rules. This assigned date of receipt endorsement shall then be applied to each image created during the conversion process. The digital endorsement specifications are defined in the Document Conversion Rules.

This receipt shall constitute the acceptance of the materials and liability for materials management by the Contractor. The Contractor shall initiate tracking of source material upon receipt.

Mail Custodial Requirements (FFP) Mail Handling Mail contains Veterans’ claims, including personally identifiable information (PII), protected health information (PHI), and sensitive personal information (SPI), and shall be treated as sensitive information in accordance with the Basic T4NG PWS. The Contractor shall ensure that mail and the VA information it contains is not damaged and/or compromised in any fashion from the point of receipt through storage awaiting disposition. While in possession of paper mail, the Contractor shall be compliant with all established VA security policies to ensure that VA data are not compromised. Throughout the conversion process, the Contractor shall securely handle sensitive information, manage conversion in accordance with published Document Conversion Rules (DCR) without loss or damage to source material, and work collaboratively with the Government to support efficient processing of variable document conversion production rates.

The Contractor shall have a documented process for physical inventory management and tracking of all paper mail while in the Contractor’s possession.

The Contractor shall maintain the physical arrangement (e.g., order of materials in paper mail) until conversion is complete unless otherwise directed by the Document Conversion Rules. Following conversion, the Contractor shall de-prep mail in accordance with the Document Conversion Rules.

The Contractor shall minimize the risk that mail is damaged during conversion. If mail is fragile or likely to be damaged when scanned, the Contractor shall propose, and the Government approve, efficient and effective methodologies for the preservation of material throughout the conversion and subsequent de-prep processes.

Source Material Tracking Service (SMTS) As part of the Contractor’s Paper Mail Conversion and Management Services, the Contractor shall develop, implement, and operate a SMTS accessible by VA authorized users to track and maintain a chain of custody for all operational physical mail-related source materials received and all historical centralized mail source materials processed by existing Contractors. The SMTS shall include all capabilities as defined in Attachment C, Paper Mail Conversion and Management Service SMTS BRD. The SMTS will account for all mail receipts from VBA ROs, other VA entities, VA partners, the United States Postal Service (USPS), and directly from Veterans and their representatives.

The SMTS shall provide authorized users the capability to access and monitor all centralized mail in all stages of processing. The service shall receive historical tracking data from existing ICMHS conversion Contractors in support of Task 5.21, Transition of Historical Data. Specific operational and historic data sources include:

· Operational/Real-time data

· Existing RMS and new RMS Contractors following RMS recompete

· Historical

· Existing ICMHS Contractors’ SMTS mail data A VA compliant “Single-Sign On” approach shall be applied allowing authorized VA users to log on once per session utilizing a single set of credentials to access all authorized facets of the paper mail inventory and tracking service. All appropriate VA security policies and procedures shall be followed (which includes multi-factor authentication via Personal Identity Verification (PIV) badges or another VA compliant multifactor authentication methodology).

Within 30 calendar days of award and prior to the operational receipt of centralized mail, the Contractor’s SMTS shall be set up, tested and validated per PWS Task 5.17, Integration, Setup, Test, and Validation. Although the Contractor has the responsibility for account provisioning, the service shall include a self-service capability for VA and other Contractor personnel to request access and manage user accounts, including access control. The service shall log changes to user account information and disable any unutilized accounts after 90 calendar days of inactivity. Upon approval by authorized VA representative(s), the Contractor shall grant the access (establish the account).

Any planned periods of unavailability due to routine releases shall be approved by the COR at least 10 calendar days in advance. Any planned service periods of unavailability due to non-routine release requires prior approval. Any service periods of unavailability due to emergent issues shall be communicated to the COR in accordance with Section 6.11, Outage/Degradation Notification. Unplanned or unapproved downtimes that are the result of the Contractor will count against the Contractor’s performance evaluation. Downtimes not the result of the Contractor will not count against the Contractor’s performance evaluation. VA will assess each downtime and make the final determination.

Deliverables:

A. Source Material Tracking Service with Configurable User Interface SMTS User Administration The SMTS shall provide for the addition of named users and the general administration of users, roles, and permissions within the service. The service shall authenticate all authorized VA personnel in accordance with VA Common Security Services guidelines. Role permissions and functional assignments are a feature specific to a user’s assignment within a “user” hierarchy structure. In coordination with VA, the Contractor shall maintain a user hierarchy and develop, deliver, and maintain a Policy Definition Table. An initial set of required user roles are detailed in Attachment C, Paper Mail Conversion and Management SMTS BRD. The Contractor shall also develop and deliver to the Government a process for requesting users, roles, and permission administration.

Deliverables:

A. Process for requesting users, roles, and permission administration B. Completed Policy Definitions, Permission and User Table Paper Mail Preparation (FFP) The Government anticipates mail to be received as loose packets of materials. Paper mail may be single or double-sided, irregularly-sized, folded, and/or stapled documents. The Contractor may receive mail that includes microfiche, CDs/DVDs, or unscannable media types as defined in the DCRs. VA estimates that less than one (1) percent of all source material will be unscannable. If the source material cannot be scanned, the Contractor shall use the Unscannable Document process outlined in the DCRs. The Contractor shall place the unscannable material, along with any printed-paper copy of the material, back into the mail packet material.

The Contractor shall prepare source materials for conversion in accordance with the Document Conversion Rules. The Contractor shall enhance badly faded source materials in order to achieve the best readable image. The Contractor shall refer to the special handling rules in the DCRs in the event that it receives source material that is damaged or fragile such that further processing risks destruction of the record and/or if the condition prevents conversion to a readable image through normal processes.

VA anticipates that photographs and irregularly sized materials will comprise one (1) percent of the total volume of mail. Alternate media will be encountered in paper mail. The Government estimates that 14% of all images produced from mail are generated from alternate media.

The Contractor shall convert photos, irregularly sized source materials, and alternate media in accordance with the DCRs.

Mail may include items not to be scanned such as catalogs, US currency, and Passports. Procedures for mail received containing items not to be scanned are included in the DCRs.

Source Material Conversion (FFP) The Contractor shall comply with the DCRs for all conversion.