36C10X19Q0054-0001004.pdf

PERFORMANCE WORK STATEMENT

DEPARTMENT OF VETERANS AFFAIRS

OFFICE OF INFORMATION TECHNOLOGY

HINES INFORMATION TECHNOLOGY CENTER (HITC)

MOBILE SHREDDING SERVICES

1.0 BACKGROUND

The mission of the Department of Veterans Affairs (VA), Office of Information & Technology (OIT), Hines Information Technology Center (HITC) is to provide benefits and services to Veterans of the United States. In meeting these goals, OIT strives to provide high quality, effective, and efficient Information Technology (IT) services to those responsible for providing care to the Veterans at the point-of-care as well as throughout all the points of the Veterans’ health care in an effective, timely and compassionate manner. VA depends on Information Management/Information Technology (IM/IT) systems to meet mission goals. It is recommended that the contractor be National Association for Information Destruction (NAID) Certified.

2.0 SCOPE OF WORK

The Contractor shall provide bi-weekly on-site mobile document shredding services at the VA Hines ITC, Building 215, Hines, IL for destruction of paper. Mobile shredding shall take place onsite the Government’s facility and a certificate of destruction issued thereafter. Documents to be destroyed encompass unclassified documents that may contain Personally Identifiable Information (PII)/sensitive information. Procedures for removing and destroying these materials must comply with Federal privacy laws, NIST 800-88, and Department of Veterans Affairs (VA) policies including, but not limited to, VA Directive 6371 and VA Handbook 6300.1 on the destruction of sensitive records. Onsite shredding of Sensitive Information, such as PII may be required and must be protected from unauthorized disclosure.

3.0 SPECIFIC TASKS / REQUIREMENTS

The Contractor shall conduct bi-weekly (occurring every two (2) weeks) shredding operations by means of mobile shredding document destruction services for the HITC. Services constitute providing, at minimum, twelve (12) 95-Gallon locked and wheeled bins and issuance of destruction certificates. The Contractor shall provide seamless transition of all bins and services and ensure fully operational services begin on the contract start date.

3.1 MOBILE SHREDDING

3.1.1 The Contractor shall provide, at minimum, twelve (12) 95-Gallon document accumulation containers in good condition. Containers must have slotted lids, come with locks, and be on wheels. A few times a year, bins are full prior to the shred day. In these cases, the Contractor must provide a maximum of six (6) replacement bins for the full locations.

3.1.2 The Contractor shall provide mobile shredding document destruction services at the loading dock of the HITC. The Contractor shall enter the dock area, and the locked bins will be delivered to the shredding truck in the parking lot by the dock area.

3.1.3 The Contractor shall perform this service bi-weekly. All shredding operations shall be conducted by means of a mobile shred truck witnessed by the Contracting Officer’s Representative (COR) or a VA employee. Once shredding is complete on-site, the shreds shall be taken off-site to comply with NIST 800-88.

3.1.4 The Contractor shall issue a certificate of destruction to the COR immediately following each shredding occurrence. The Contractor shall deliver documentation in electronic format. Acceptable electronic media include: MS Word 2000/2003/2007/2010, MS Excel 2000/2003/2007/2010, and Adobe Postscript Data Format (PDF).

3.1.5 The Contractor shall provide all labor and equipment required to properly shred VA documents to the standard of unreadable and unreconstructable. This standard includes paper that is pulped, macerated, shredded, or otherwise destroyed to a degree that definitively ensures that they are not readable or reconstructable to any degree. An initial shred shall be performed on site in accordance with NAID size standards. Additional processing may be performed off-site in order to meet the standard. The shred material may contain small amount of non-paper material including carbon paper, staples, and plastic wrappings and ensure that PII and other VA sensitive information is handled and stored in a secure manner until it undergoes final destruction. The Contractor shall provide documentation that the Contractor (or subcontractor or third party) who accepts custody of the temporary paper records from a VA facility and transports them to the final destruction location is either:

a. A NAID certified, bonded, and insured contractor (and its subcontractors or third parties) and can provide reasonable physical safeguards for the temporary paper records throughout the destruction process; or

b. A non-NAID-certified contractor (and its subcontractors or third parties) who can satisfy the standards outlined in the Minimum Standards for Information

Destruction listed in Appendix A.

If one or more subcontractors (or third parties) handle VA temporary paper records before final destruction, then the contractor shall provide documentation that all parties including have sufficient reasonable safeguards for the temporary paper records, to the same standards required of the primary contractor, throughout the destruction process.

If the final destruction is completed by a subcontractor or third party, then the written certification of destruction shall either be completed by this third party, or by the Contractor with assurance from the third party that final destruction was completed.

3.2 LOADING

3.2.1 The Contractor is responsible for loading the material on the mobile shredding truck at all times.

The Contractor shall provide all labor, training, equipment, tools, and supplies to load the contractor furnished conveyance. The Contractor is responsible for properly blocking, bracing, lashing, banding, and otherwise providing services and supplies required to secure the cargo on the conveyance furnished by the Contractor.

3.3 NOTIFICATIONS/PICKUP

3.3.1 Notwithstanding the scheduled performance, performance will not take place on Federal Holidays or any day that the Government’s facility is closed. Paper shall be removed on the following workday for any closures. The Contractor or Contractor’s transporter will coordinate with the COR.

3.4 INSPECTION AND ACCEPTANCE

Final inspection and acceptance of all work performed will occur at the place of performance by the COR. Final approval and acceptance of documentation by the COR shall constitute acceptance.

4.0 PERFORMANCE DETAILS

4.1 PERFORMANCE PERIOD

The period of performance shall be twelve (12) months base year effective April 7, 2019 and four (4) consecutive 12-month option years.

4.2 PLACE OF PERFORMANCE

The primary place of performance of tasks will be performed at the loading dock of the Government’s facility: Hines Information Technology Center (HITC), 1st Avenue North of 22nd Street, Building 215, Hines, IL 60141. Initial shredding must be performed onsite at the dock. The Contractor will transport the shredded material off-site after the initial shred. The final shred will ensure compliance with NIST 800-88.

4.3 HOURS OF OPERATION

Contractor employees shall generally perform all work between the hours of 8:00 a.m. and 4:30 p.m./eastern time (except Federal Holidays).

4.4 TRAVEL

The Government anticipates local travel in performance of the tasks associated with the effort. These costs will not be reimbursed by the Government.

4.5 KICK-OFF MEETING

The Contractor may be required to attend a Kick-Off Meeting with the Contracting Officer and the COR no later than (NLT) 5 (five) business days after the date of award. The purpose of the Kick-Off Meeting is to discuss technical and contracting objectives of this purchase order. If required, the Kick-Off Meeting will be held via phone.

4.6 CONTRACTOR FURNISHED PROPERTY

The Contractor shall furnish all personnel, supervision, facilities, materials, equipment, and services necessary to fulfill the requirements of this purchase order.

4.6.1 CONTRACTOR FURNISHED TRAINING

The contractor must perform all operations in a prudent, conscientious, safe and professional manner in accordance with best practices. At a minimum, contractor’s personnel, equipment and required licenses shall comply with applicable Federal, state, local and installation laws, safety regulations and procedures, and the contractor will ensure that its agents, employees, and subcontractors perform in a safe manner. The contractor shall ensure all personnel involved in handling of mobile equipment, transporting and disposal of paper are trained for the level of expertise required for the proper performance of the task and in the areas of use of material handling equipment, proper lifting techniques, general first aid procedures, and spills. Material handling and personal protective equipment shall be provided by the contractor and must be appropriate.

5.0 DELIVERABLES

Deliverables shall be scheduled with the COR.

ITEM PWS DELIVERABLE EVENT DUE BY INSPECTION BY THE

COR

ACCEPTANCE BY THE

COR

4.5 Kick-Off Meeting NLT five (5) business

days after the date of award

N/A N/A

3.1.1 Provide and deliver

twelve (12) lockable bins on wheels

NLT five (5) business days after kick-off meeting destination destination

3.1.3 Mobile Shredding

Biweekly on scheduled days and during scheduled time.

destination destination

3.1.4 Certificate of

Destruction

Upon completion of each final shredding event.

destination destination

6.0 PERFORMANCE METRICS

The table below defines the Performance Standards and Acceptable Performance Levels for Objectives associated with this effort.

Performance Objective Performance Standard Acceptable Performance Levels

Actions for Failed Acceptable Performance Level Method of Surveillance

PWS 3.1.2 – Schedule Provide shredding services from locked bins on regular scheduled days. No more than six (6) failures during the contract year, including options.

Failure to meet schedule or provide acceptable deliverables will result in corrective action as determined appropriate by the CO in consultation with the COR. The range of possible actions includes re-performance of work, withholding invoice payment, and partial or total termination for convenience/default.

PWS 3.1.3 - Timely receipt of all documents Provide destruction certificates upon destruction of shredded documents.

Failure to meet schedule or provide acceptable deliverables will result in corrective action as determined appropriate by the CO in consultation with the COR. The range of possible actions includes re-performance of work, withholding invoice payment, and partial or total termination for convenience/default.

7.0 GENERAL REQUIREMENTS

7.1 POSITION/TASK RISK DESIGNATION LEVEL(S) AND CONTRACTOR PERSONNEL SECURITY

REQUIREMENTS

The position sensitivity and the level of background investigation commensurate with the required level of access for the following tasks within the Performance Work Statement are:

Position Sensitivity and Background Investigation Requirements

Task Number

Low/NACI Moderate/MBI High/BI 3.1 (including subtasks) 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 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 their submitted proposal.

7.1.1 CONTRACTOR PERSONNEL SECURITY REQUIREMENTS

Contractor Responsibilities:

a. The Contractor shall prescreen all personnel requiring access to the computer systems to ensure they maintain the appropriate Background Investigation, and can read, write, speak and understand the English language.

b. The Contractor shall bear the expense of obtaining background investigations.

c. Within three (3) business days after award, the Contractor shall provide a roster of Contractor and Subcontractor employees to the COR to begin their background investigations. The roster shall contain the Contractor’s Full Name, Full Social Security Number, Date of Birth, Place of Birth, and individual background investigation level requirement (based upon Section 6.2 Tasks).

d. The Contractor should coordinate the location of the nearest VA fingerprinting office through the COR. Only electronic fingerprints are authorized.

e. For a Low Risk designation the following forms are required to be completed: 1.OF-306 and 2. DVA Memorandum – Electronic Fingerprints. These should be submitted to the COR within 5 business days after award.

f. The Contractor personnel will receive an email notification from the Security and Investigation Center (SIC), through the Electronics Questionnaire for Investigations Processes (e-QIP) identifying the website link that includes detailed instructions regarding completion of the investigation documents (SF85, SF85P, or SF 86). The Contractor personnel shall submit all required information related to their background investigations utilizing the Office of Personnel Management’s (OPM) Electronic Questionnaire for Investigations Processing (e-QIP).

g. The Contractor is to certify and release the e-QIP document, print and sign the signature pages, and send them to the COR for electronic submission to the SIC. These should be submitted to the COR within three (3) business days of receipt of the e-QIP notification email.

h. The Contractor shall be responsible for the actions of all personnel provided to work for VA under this contract. In the event that damages arise from work performed by Contractor provided personnel, under the auspices of this contract, the Contractor shall be responsible for all resources necessary to remedy the incident.

i. A Contractor may be granted unescorted access to VA facilities and/or access to VA Information Technology resources (network and/or protected data) with a favorably adjudicated Special Agreement Check (SAC) or “Closed, No Issues” (SAC) finger print results, training delineated in VA Handbook 6500.6 (Appendix C, Section 9), and, the signed “Contractor Rules of Behavior.” However, the Contractor will be responsible for the actions of the Contractor personnel they provide to perform work for VA. The investigative history for Contractor personnel working under this contract must be maintained in the database of the Office of Personnel Management (OPM).

j. The Contractor, when notified of an unfavorably adjudicated background investigation on a Contractor employee as determined by the Government, shall withdraw the employee from consideration in working under the contract.

k. Failure to comply with the Contractor personnel security investigative requirements may result in termination of the contract for default.

7.2 FACILITY/RESOURCE PROVISIONS

The Contractor shall request other Government documentation deemed pertinent to the work accomplishment directly from the Government officials with whom the Contractor has contact. The Contractor shall consider the COR as the final source for needed Government documentation when the Contractor fails to secure the documents by other means. The Contractor is expected to use common knowledge and resourcefulness in securing all other reference materials, standard industry publications, and related materials that are pertinent to the work. For detailed Security and Privacy Requirements refer to ADDENDUM A and ADDENDUM B.

8.0 APPLICABLE DOCUMENTS

In the performance of the tasks associated with this Performance Work Statement, the Contractor shall comply with the following:

1. 44 U.S.C. § 3541, “Federal Information Security Management Act (FISMA) of 2002”

2. Federal Information Processing Standards (FIPS) Publication 140-2, “Security Requirements For Cryptographic Modules”

3. FIPS Pub 201, “Personal Identity Verification of Federal Employees and Contractors,” March 2006

4. 10 U.S.C. § 2224, "Defense Information Assurance Program"

5. Software Engineering Institute, Software Acquisition Capability Maturity Modeling (SA CMM) Level 2 procedures and processes

6. 5 U.S.C. § 552a, as amended, “The Privacy Act of 1974”

7. 42 U.S.C. § 2000d “Title VI of the Civil Rights Act of 1964”

8. Department of Veterans Affairs (VA) Directive 0710, “Personnel Suitability and Security Program,” May 18, 2007

9. VA Directive 6102, “Internet/Intranet Services,” July 15, 2008

10. 36 C.F.R. Part 1194 “Electronic and Information Technology Accessibility Standards,” July 1, 2003

11. OMB Circular A-130, “Management of Federal Information Resources,” November 28, 2000

12. 32 C.F.R. Part 199, “Civilian Health and Medical Program of the Uniformed Services (CHAMPUS)”

13. An Introductory Resource Guide for Implementing the Health Insurance Portability and Accountability Act (HIPAA) Security Rule, October 2008

14. Sections 504 and 508 of the Rehabilitation Act (29 U.S.C. § 794d), as amended by the Workforce Investment Act of 1998 (P.L. 105-220), August 7, 1998

15. Homeland Security Presidential Directive (12) (HSPD-12), August 27, 2004

16. VA Directive 6500, “Managing Information Security Risk: VA Information Security Program,” September 20, , 2012

17. VA Handbook 6500, “Risk Management Framework for VA Information Systems – Tier 3: VA Information Security Program,” September 20, 2012

18. VA Handbook 6500.1, “Electronic Media Sanitization,” March 22, 2010

19. VA Handbook 6500.2, “Management of Data Breaches Involving Sensitive Personal Information (SPI)”, January 6, 2012

20. VA Handbook 6500.3, “Certification and Accreditation of VA Information Systems,” November 24,

21. VA Handbook, 6500.5, “Incorporating Security and Privacy in System Development Lifecycle” March 22, 2010

22. VA Handbook 6500.6, “Contract Security,” March 12, 2010

23. Project Management Accountability System (PMAS) portal (reference PWS References -Technical Library at https://www.voa.va.gov/)

24. OIT ProPath Process Methodology (reference PWS References -Technical Library and ProPath Library links at https://www.voa.va.gov/) NOTE: In the event of a conflict, OIT ProPath takes precedence over other processes or methodologies.

25. Technical Reference Model (TRM) (reference at https://www.voa.va.gov/)

26. National Institute Standards and Technology (NIST) Special Publications

27. VA Directive 6508, VA Privacy Impact Assessment, October 3, 2008

28. VA Directive 6300, Records and Information Management, February 26, 2009

29. VA Handbook, 6300.1, Records Management Procedures, March 24, 2010

30. OMB Memorandum, “Transition to IPv6”, September 28, 2010

31. National Institute of Standards and Technology NIST 800-88 Guidelines for Media Sanitation

ADDENDUM A

A1. VA Enterprise Architecture Compliance The applications, supplies, and services furnished under this contract must comply with One-VA Enterprise Architecture (EA), available at http://www.ea.oit.va.gov/index.asp in force at the time of issuance of this contract, including the Program Management Plan and VA's rules, standards, and guidelines in the Technical Reference Model/Standards Profile (TRMSP). VA reserves the right to assess contract deliverables for EA compliance prior to acceptance.

A1.1. VA Internet and Intranet Standards The Contractor shall adhere to and comply with VA Directive 6102 and VA Handbook 6102, Internet/Intranet Services, including applicable amendments and changes, if the Contractor’s work includes managing, maintaining, establishing and presenting information on VA’s Internet/Intranet Service Sites. This pertains, but is not limited to: creating announcements; collecting information;

databases to be accessed, graphics and links to external sites. Internet/Intranet Services Directive 6102 is posted at (copy and paste the following URL to browser):

http://www1.va.gov/vapubs/viewPublication.asp?Pub_ID=409&FType=2 Internet/Intranet Services Handbook 6102 is posted at (copy and paste following URL to browser):

http://www1.va.gov/vapubs/viewPublication.asp?Pub_ID=410&FType=2

A2. Physical Security & Safety Requirements The Contractor and their personnel shall follow all VA policies, standard operating procedures, applicable laws and regulations while on VA property. Violations of VA regulations and policies may result in citation and disciplinary measures for persons violating the law.

a) The Contractor and their personnel shall wear visible identification at all times while they are on the premises.

b) VA does not provide parking spaces at the work site; the Contractor must obtain parking at the work site if needed. It is the responsibility of the Contractor to park in the appropriate designated parking areas. VA will not invalidate or make reimbursement for parking violations of the Contractor under any conditions.

c) Smoking is prohibited inside/outside any building other than the designated smoking areas.

d) Possession of weapons is prohibited.

e) The Contractor shall obtain all necessary licenses and/or permits required to perform the work, except for software licenses that need to be procured from a Contractor or vendor in accordance with the requirements document. The Contractor shall take all reasonable precautions necessary to protect persons and property from injury or damage during the performance of this contract.

A3. Confidentiality and Non-Disclosure The Contractor shall follow all VA rules and regulations regarding information security to prevent disclosure of sensitive information to unauthorized individuals or organizations. In reference to On-Site Shredding the COR will be present to witness the destruction of the material according to VA Directive 6371 page A-2.

The Contractor may have access to Protected Health Information (PHI) and Electronic Protected Health Information (EPHI) that is subject to protection under the regulations issued by the Department of Health and Human Services, as mandated by the Health Insurance Portability and Accountability Act of 1996 (HIPAA); 45 CFR Parts 160 and 164, Subparts A and E, the Standards for Privacy of Individually Identifiable Health Information (“Privacy Rule”); and 45 CFR Parts 160 and 164, Subparts A and C, the

Security Standard (“Security Rule”). Pursuant to the Privacy and Security Rules, the Contractor must agree in writing to certain mandatory provisions regarding the use and disclosure of PHI and EPHI.

1. The Contractor will have access to some privileged and confidential materials of VA. These printed and electronic documents are for internal use only, are not to be copied or released without permission, and remain the sole property of VA. Some of these materials are protected by the Privacy Act of 1974 (revised by PL 93-5791) and Title 38. Unauthorized disclosure of Privacy Act or Title 38 covered materials is a criminal offense.

2. The VA Contracting Officer will be the sole authorized official to release in writing, any data, draft deliverables, final deliverables, or any other written or printed materials pertaining to this contract. The Contractor shall release no information. Any request for information relating to this contract presented to the Contractor shall be submitted to the VA Contracting Officer for response.

3. Contractor personnel recognize that in the performance of this effort, Contractor personnel may receive or have access to sensitive information, including information provided on a proprietary basis by carriers, equipment manufacturers and other private or public entities. Contractor personnel agree to safeguard such information and use the information exclusively in the performance of this contract.

Contractor shall follow all VA rules and regulations regarding information security to prevent disclosure of sensitive information to unauthorized individuals or organizations as enumerated in this section and elsewhere in this Contract and its subparts and appendices.

4. Contractor shall limit access to the minimum number of personnel necessary for contract performance for all information considered sensitive or proprietary in nature. If the Contractor is uncertain of the sensitivity of any information obtained during the performance this contract, the Contractor has a responsibility to ask the VA Contracting Officer.

5. Contractor shall train all of their employees involved in the performance of this contract on their roles and responsibilities for proper handling and nondisclosure of sensitive VA or proprietary information.

Contractor personnel shall not engage in any other action, venture or employment wherein sensitive information shall be used for the profit of any party other than those furnishing the information. The sensitive information transferred, generated, transmitted, or stored herein is for VA benefit and ownership alone.

6. Contractor shall maintain physical security at all facilities housing the activities performed under this contract, including any Contractor facilities according to VA-approved guidelines and directives. The Contractor shall ensure that security procedures are defined and enforced to ensure all personnel who are provided access to patient data must comply with published procedures to protect the privacy and confidentiality of such information as required by VA.

7. Contractor must adhere to the following:

a. The use of “thumb drives” or any other medium for transport of information is expressly prohibited.

b. Controlled access to system and security software and documentation.

c. Recording, monitoring, and control of passwords and privileges.

d. All terminated personnel are denied physical and electronic access to all data, program listings, data processing equipment and systems.

e. VA, as well as any Contractor (or Subcontractor) systems used to support development, provide the capability to cancel immediately all access privileges and authorizations upon employee termination.

f. Contractor PM and VA PM are informed within twenty-four (24) hours of any employee termination.

g. Acquisition sensitive information shall be marked "Acquisition Sensitive" and shall be handled as "For Official Use Only (FOUO)".

h. Contractor does not require access to classified data.

8. Regulatory standard of conduct governs all personnel directly and indirectly involved in procurements. All personnel engaged in procurement and related activities shall conduct business in a manner above reproach and, except as authorized by statute or regulation, with complete impartiality and with preferential treatment for none. The general rule is to strictly avoid any conflict of interest or even the appearance of a conflict of interest in VA/Contractor relationships.

ADDENDUM B

B1. GENERAL

Contractors, Contractor personnel, Subcontractors, and Subcontractor personnel shall be subject to the same Federal laws, regulations, standards, and VA Directives and Handbooks as VA and VA personnel regarding information and information system security.

B2. SECURITY INCIDENT INVESTIGATION

a. The term “security incident” means an event that has, or could have, resulted in unauthorized access to, loss or damage to VA assets, or sensitive information, or an action that breaches VA security procedures. The Contractor/Subcontractor shall immediately notify the COR and simultaneously, the designated ISO and Privacy Officer for the contract of any known or suspected security/privacy incidents, or any unauthorized disclosure of sensitive information, including that contained in system(s) to which the Contractor/Subcontractor has access.

b. To the extent known by the Contractor/Subcontractor, the Contractor/Subcontractor’s notice to VA shall identify the information involved, the circumstances surrounding the incident (including to whom, how, when, and where the VA information or assets were placed at risk or compromised), and any other information that the Contractor/Subcontractor considers relevant.

c. With respect to unsecured protected health information, the business associate is deemed to have discovered a data breach when the business associate knew or should have known of a breach of such information. Upon discovery, the business associate must notify the covered entity of the breach.

Notifications need to be made in accordance with the executed business associate agreement.

d. In instances of theft or break-in or other criminal activity, the Contractor/Subcontractor must concurrently report the incident to the appropriate law enforcement entity (or entities) of jurisdiction, including the VA OIG and Security and Law Enforcement. The Contractor, its employees, and its Subcontractors and their employees shall cooperate with VA and any law enforcement authority responsible for the investigation and prosecution of any possible criminal law violation(s) associated with any incident. The Contractor/Subcontractor shall cooperate with VA in any civil litigation to recover VA information, obtain monetary or other compensation from a third party for damages arising from any incident, or obtain injunctive relief against any third party arising from, or related to, the incident.

B3. LIQUIDATED DAMAGES FOR DATA BREACH

a. Consistent with the requirements of 38 U.S.C. §5725, a contract may require access to sensitive personal information. If so, the Contractor is liable to VA for liquidated damages in the event of a data breach or privacy incident involving any SPI the Contractor/Subcontractor processes or maintains under this contract.

b. The Contractor/Subcontractor shall provide notice to VA of a “security incident” as set forth in the Security Incident Investigation section above. Upon such notification, VA must secure from a non- Department entity or the VA Office of Inspector General an independent risk analysis of the data breach to determine the level of risk associated with the data breach for the potential misuse of any sensitive personal information involved in the data breach. The term 'data breach' means the loss, theft, or other unauthorized access, or any access other than that incidental to the scope of employment, to data containing sensitive personal information, in electronic or printed form, that results in the potential compromise of the confidentiality or integrity of the data. Contractor shall fully cooperate with the entity performing the risk analysis. Failure to cooperate may be deemed a material breach and grounds for contract termination.

c. Each risk analysis shall address all relevant information concerning the data breach, including the following:

i. Nature of the event (loss, theft, unauthorized access);

ii. Description of the event, including:

iii. date of occurrence;

iv. data elements involved, including any PII, such as full name, social security number, date of birth, home address, account number, disability code;

v. Number of individuals affected or potentially affected;

vi. Names of individuals or groups affected or potentially affected;

vii. Ease of logical data access to the lost, stolen or improperly accessed data in light of the degree of protection for the data, e.g., unencrypted, plain text;

viii. Amount of time the data has been out of VA control;

ix. The likelihood that the sensitive personal information will or has been compromised (made accessible to and usable by unauthorized persons);

x. Known misuses of data containing sensitive personal information, if any;

xi. Assessment of the potential harm to the affected individuals;

xii. Data breach analysis as outlined in 6500.2 Handbook, Management of Security and Privacy Incidents, as appropriate; and

xiii. Whether credit protection services may assist record subjects in avoiding or mitigating the results of identity theft based on the sensitive personal information that may have been compromised.

d. Based on the determinations of the independent risk analysis, the Contractor shall be responsible for paying to VA liquidated damages in the amount of $37.50 per affected individual to cover the cost of providing credit protection services to affected individuals consisting of the following:

i. Notification;

ii. One year of credit monitoring services consisting of automatic daily monitoring of at least 3 relevant credit bureau reports;

iii. Data breach analysis;

iv. Fraud resolution services, including writing dispute letters, initiating fraud alerts and credit freezes, to assist affected individuals to bring matters to resolution;

v. One year of identity theft insurance with $20,000.00 coverage at $0 deductible; and

vi. Necessary legal expenses the subjects may incur to repair falsified or damaged credit records, histories, or financial affairs.

B4. SECURITY CONTROLS COMPLIANCE TESTING

On a periodic basis, VA, including the Office of Inspector General, reserves the right to evaluate any or all of the security controls and privacy practices implemented by the Contractor under the clauses contained within the contract. With 10 working-days’ notice, at the request of the Government, the Contractor must fully cooperate and assist in a Government-sponsored security controls assessment at each location wherein VA information is processed or stored, or information systems are developed, operated, maintained, or used on behalf of VA, including those initiated by the Office of Inspector General. The Government may conduct a security control assessment on shorter notice (to include unannounced assessments) as determined by VA in the event of a security incident or at any other time.

B5. TRAINING

1. All Contractor employees and Subcontractor employees requiring access to VA information and VA information systems shall complete the following before being granted access to VA information and its systems:

i. Sign and acknowledge (either manually or electronically) understanding of and responsibilities for compliance with the Contractor Rules of Behavior, Appendix D relating to access to VA information and information systems;

ii. Successfully complete the VA Privacy and Information Security Awareness and Rules of Behavior training and annually complete required security training;

iii. Successfully complete Privacy and HIPAA Training if Contractor will have access to PHI;

iv. Successfully complete the appropriate VA privacy training and annually complete required privacy training; and v. Successfully complete any additional cyber security or privacy training, as required for VA personnel with equivalent information system access

2. The Contractor shall provide to the contracting officer and/or the COR a copy of the training certificates and certification of signing the Contractor Rules of Behavior for each applicable employee within 1 week of the initiation of the contract and annually thereafter, as required.

3. Failure to complete the mandatory annual training and sign the Rules of Behavior annually, within the timeframe required, is grounds for suspension or termination of all physical or electronic access privileges and removal from work on the contract until the training and documents are complete.

B6. GOVERNMENT RESPONSIBILITIES

The following needs to be provided by the COR to the Contractor:

The Security Investigations Center will require the following forms from the Contractor or to the Contractor’s personnel: Within 3 business days after award, the Contractor shall provide a roster of Contractor and Subcontractor employees to the COR to begin their background investigations. The roster shall contain:

1. Contractor’s Full Name, Full Social Security Number, Date of Birth, Place of Birth, and individual background investigation level requirement (based upon Section 6.2 Tasks).

2. The Contractor should coordinate the location of the nearest VA fingerprinting office through the COR. Only electronic fingerprints are authorized.

3. For a Low Risk designation the following forms are required to be completed: 1. OF-306 and 2. DVA Memorandum – Electronic Fingerprints. For Moderate or High Risk, the following forms are required to be completed: 1. VA Form 0710 and 2. DVA Memorandum – Electronic Fingerprints. These should be submitted to the COR within 5 business days after award. (DVA Memorandum – Electronic Fingerprints is filled out by the VA Facility that took the electronic fingerprints)

4. The Contractor personnel will receive an email notification from the Security and Investigation Center (SIC), through the Electronics Questionnaire for Investigations Processes (e-QIP) identifying the website link that includes detailed instructions regarding completion of the investigation documents (SF85, SF85P, or SF 86). (The SF85 does not need to be uploaded because OPM is going paperless and the contractor will complete this questionnaire online when the e-QIP link is sent.) (DVA Memorandum – Electronic Fingerprints is filled out by the VA Facility that took the electronic fingerprints) (Please be advised that the contractor will need all the necessary information easily accessible as the website will time out and they can lose the information they inputted if they take too long to fill it in.)The Contractor personnel shall submit all required information related to their background investigations utilizing the Office of Personnel Management’s (OPM) Electronic Questionnaire for Investigations Processing (e-QIP).

5. The Contractor is to certify and release the e-QIP document, print and sign the signature pages, and send them to the COR for electronic submission to the SIC. These should be submitted to the COR within 3 business days of receipt of the e-QIP notification email.

6. The SIC will then upload the e-QIP signature pages to e-QIP and release the case file to OPM for investigation.

7. The SIC will notify the CO and Contractor after adjudicating the results of the background investigations received from OMB.