36C10X20Q0109-001.docx

Contract Opportunity Amendment to a Previous Combined Solicitation

CLASSIFICATION CODE

SUBJECT

CONTRACTING OFFICE'S

ZIP-CODE

SOLICITATION NUMBER

BASE NOTICE TYPE

RESPONSE DATE (MM-DD-YYYY)

ARCHIVE

DAYS AFTER THE RESPONSE DATE

RECOVERY ACT FUNDS

SET-ASIDE

NAICS CODE

CONTRACTING OFFICE

ADDRESS

POINT OF CONTACT

(POC Information Automatically Filled from User Profile Unless Entered)

DESCRIPTION

See Attachment

AGENCY'S URL

URL DESCRIPTION

AGENCY CONTACT'S EMAIL

ADDRESS

EMAIL DESCRIPTION

ADDRESS

POSTAL CODE

COUNTRY

ADDITIONAL INFORMATION

GENERAL INFORMATION

PLACE OF PERFORMANCE

* = Required Field Contract Opportunity Amendment to a Previous Combined Solicitation R431 Copy of EEO Investigations (VA-20-00027841) amended to make attachments available 21703 36C10X20Q0109 05-29-2020 N

SDVOSBC

561611 Strategic Acquisition Center - Frederick Department of Veterans Affairs 5202 Presidents Court, Suite 103 Frederick MD 21703 sandra.martz@va.gov The Department of Veterans Affairs (VA) Office of Resolution Management (ORM) and Diversity Inclusion (DI) has a need for support personnel to provide assistance in ensuring that discrimination complaints are processed fairly, promptly, thoroughly, and in strict compliance with the Equal Employment Opportunity Commission (EEOC) regulations and in accordance with Public Law 105-114 (PL105-114) and Title 29 CFR Part 1614. The Government requires contractor support personnel who shall provide support services to assist the VA ORM & DI to fulfill its mission of ensuring that discrimination complaints are processed fairly, promptly, thoroughly, and in strict compliance with the EEOC regulations. Contractor shall identify a project manager for each awardee to ensure that contractor personnel are properly supervised. The project manager is required be a fully trained EEO Investigator with current credentials as outlined in EEOC Management Directive (MD) 110. The program manager must possess computer equipment that allows the sending and receiving of encrypted emails or files. The Government personnel will provide access to secured system to transmit files to vendor and investigators. The Contractor support services shall be conducted in accordance with the PL 105-114, 29 CFR 1614, 29 C.F.R. Part 1614; EEO Management Directive (MD)-110, Federal Acquisition Regulations (FAR), Veterans Affairs Acquisition Regulations (VAAR) and all other federal acquisition policies or directives. See attached solicitation for details.

OF

1. REQUISITION NO.

2. CONTRACT NO.

3. AWARD/EFFECTIVE DATE

4. ORDER NO.

5. SOLICITATION NUMBER

6. SOLICITATION ISSUE DATE

a. NAME

b. TELEPHONE NO. (No Collect Calls)

8. OFFER DUE DATE/LOCAL

TIME

9. ISSUED BY

CODE

10. THIS ACQUISITION IS

UNRESTRICTED OR

SET ASIDE:

% FOR:

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE

WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

8(A)

NAICS:

SIZE STANDARD:

11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

13a. THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15

CFR 700)

13b. RATING

14. METHOD OF SOLICITATION

RFQ

IFB

RFP

15. DELIVER TO

CODE

16. ADMINISTERED BY

CODE

17a. CONTRACTOR/OFFEROR

CODE

FACILITY CODE

18a. PAYMENT WILL BE MADE BY

CODE

TELEPHONE NO.

DUNS:

DUNS+4:

PHONE:

FAX:

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN OFFER 18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS CHECKED

SEE ADDENDUM

19.

20.

21.

22.

23.

24.

ITEM NO.

SCHEDULE OF SUPPLIES/SERVICES

QUANTITY

UNIT

UNIT PRICE

AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA

26. TOTAL AWARD AMOUNT (For Govt. Use Only) 27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

ARE

ARE NOT ATTACHED.

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

ARE

ARE NOT

ATTACHED

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN _______________

29. AWARD OF CONTRACT: REF. ___________________________________ OFFER

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

DATED ____________________

____________. YOUR OFFER ON SOLICITATION

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED

SET

FORTH HEREIN IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER) 30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF CONTRACTING

OFFICER (TYPE OR PRINT)

31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

(REV. 2/2012)

PREVIOUS EDITION IS NOT USABLE

Prescribed by GSA - FAR (48 CFR) 53.212

7. FOR SOLICITATION

INFORMATION CALL:

STANDARD FORM 1449

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

36C10X20Q0109 05-11-2020 Sandra Martz sandra.martz@va.gov 06-05-2020 1pm EST.

36C10X Strategic Acquisition Center - Frederick Department of Veterans Affairs 5202 Presidents Court, Suite 103 Frederick MD 21703 X X 561611 $22 Million N/A X

36C10X Strategic Acquisition Center - Frederick Department of Veterans Affairs 5202 Presidents Court, Suite 103 Frederick MD 21703

VAFSC

U.S.

Department of Veterans Affairs Financial Services Center

PO BOX 149971

(see Section B.3 invoicing/payment) Austin TX 78714-8917 1-(877)-489-6135 See CONTINUATION Page Department of Veterans Affairs (VA) Office of Resolution Management (ORM) and Diversity Inclusion (DI) has a need for support personnel.

Questions are due: 05/20/2020 by 10am EST.

$0.00 See CONTINUATION Page X X X X X Table of Contents

SECTION B – CONTINUATION OF SF 1449 BLOCKS

B.1 CONTRACT ADMINISTRATION DATA

1. Contract Administration: All contract administration matters will be handled by the following individuals:

a. CONTRACTOR:

POC:

Email:

Phone:

b. GOVERNMENT: Strategic Acquisition Center – Frederick Department of Veterans Affairs 5202 Presidents Court, STE 103 Frederick, MD 21703

Contracting Officer (CO): Todd Synder Todd.synder@va.gov

(240) 215-1744

Contract Specialist (CS): Sandra Martz Sandra.martz@va.gov (240)-215-1662

Contracting Officer’s Representative (COR):

B.2 INSTRUCTIONS

1. Submission - In accordance with VAAR Clause 852.232-72 Electronic Submission of Payment Requests, all invoices shall be submitted electronically. A copy of all invoices shall be provided to the contracting POC identified in section B.1.

Tungsten (fka OB10) ELECTRONIC INVOICE SUBMISSION FSC e-INVOICE PROGRAM THRU AUSTIN PORTAL

FSC MANDATORY ELECTRONIC INVOICE SUBMISSION FOR AUSTIN PAYMENTS

Vendor Electronic Invoice Submission Methods:

Fax, email and scanned documents are not acceptable forms of submission for payment requests. Electronic form means an automated system transmitting information electronically according to the accepted data transmissions below.

· VA’s Electronic Invoice Presentment and Payment System – The Financial Services Center (FSC) in Austin, TX uses a third-party contractor, Tungsten, to transition vendors from paper to electronic invoice submission. Please go to this website: http://www.tungsten-network.com/US/en/veterans-affairs/ to begin submitting electronic invoices, free of charge.

· A system that conforms to the X12 electronic data interchange (EDI) formats established by the Accredited Standards Center (ASC) chartered by the American National Standards Institute (ANSI). The X12 EDI Web site is http://www.x12.org.

Vendor e-invoice Set-up information:

Please contact Tungsten at the phone number or email address listed below to begin submitting your electronic invoices to the VA Financial Services Center in Austin, TX for payment processing. If you have questions about the payment status of a properly submitted invoice, the e-invoicing program, or Tungsten, please contact the FSC at the phone number or email address listed below.

· Tungsten e-Invoice setup information: 1-877-489-6135

· Tungsten e-Invoice email: VA.Registration@tungsten-network.com

· FSC e-Invoice contact information: 1-877-353-9791

· FSC e-Invoice email: vafsccshd@va.gov

· http://www.fsc.va.gov/einvoice.asp

COMMUNICATIONS:

· https://www.federalregister.gov/articles/2012/11/27/2012-28612/va- acquisition-regulation-electronic-submission-of-payment-requests

· http://fcw.com/articles/2012/11/27/va-epayments.aspx?s=fcwdaily

2. Submission of Proper Invoice - The following data must be included in an invoice for it to constitute a proper invoice:

a. Name and address of the contract

b. Invoice date and number

c. IFCAP Purchase Order No.:

d. Contract No.

e. Item number, description, quantity, unit of measure, price, extended price and a total of supplies delivered, or services performed.

1. Cumulative billing (per line item and total)

2. Final invoices must be marked ‘FINAL INVOICE’

3. Proof of supplies delivered, or services performed MUST also be provided. Signature, printed name and title of Government receiving official and date of delivery or performance period must be included.

INVOICES THAT DO NOT COMPLY WITH THESE REQUIREMENTS SHALL BE REJECTED.

3. Contractor Remittance Address -

All payments by the Government to the contractor will be made in accordance with:

[X] 52.232-33, Payment by Electronic Funds Transfer - System for Award Management, or

[ ] 52.232-36, Payment by Third Party

Invoice shall be submitted in the arrears -

a. Quarterly [ ]

b. Semi-Annually [ ]

c. Other [X] Monthly, after acceptance by CO

B.3 PERFORMANCE WORK STATEMENT

1.0 INTRODUCTION

The Department of Veterans Affairs (VA) Office of Resolution Management (ORM) and Diversity Inclusion (DI) has a need for support personnel to provide assistance in ensuring that discrimination complaints are processed fairly, promptly, thoroughly, and in strict compliance with the Equal Employment Opportunity Commission (EEOC) regulations and in accordance with Public Law 105-114 (PL105-114) and Title 29 CFR Part 1614.

1.1 BACKGROUND

ORM promotes a healthy working environment through prevention, resolution, and processing of workplace disputes, including complaints of discrimination. We foster prevention by ensuring that managers and staff are educated on the elements of a healthy working environment. ORM has resolution experts who promote and deliver alternative dispute resolution techniques for all workplace disputes, including alleged equal employment opportunity (EEO) discrimination. In cases where resolution cannot be reached informally, ORM processes complaints of EEO discrimination in a timely and proficient manner.

2.0 SCOPE OF WORK

The Government requires contractor support personnel who shall provide support services to assist the VA ORM & DI to fulfill its mission of ensuring that discrimination complaints are processed fairly, promptly, thoroughly, and in strict compliance with the EEOC regulations.

Contractor shall identify a project manager for each awardee to ensure that contractor personnel are properly supervised.

The project manager is required be a fully trained EEO Investigator with current credentials as outlined in EEOC Management Directive (MD) 110. The program manager must possess computer equipment that allows the sending and receiving of encrypted emails or files. The Government personnel will provide access to secured system to transmit files to vendor and investigators.

The Contractor support services shall be conducted in accordance with the PL 105-114, 29 CFR 1614, 29 C.F.R. Part 1614; EEO Management Directive (MD)-110, Federal Acquisition Regulations (FAR), Veterans Affairs Acquisition Regulations (VAAR) and all other federal acquisition policies or directives.

2.1 TIME PERIODS

All time periods set out in this PWS are stated in calendar days unless otherwise indicated. The first day counted is the day after the event from which the time period begins to run and the last day of the period shall be included unless it falls on a Saturday or Sunday or federal holiday, in which case the period shall be extended to include the next business day.

2.2 GOVERNMENT TERMS & DEFINITIONS

Additional Issue – An additional claim that is filed with the original formal complaint COR – Contracting Officer Representative Contracting Investigator Email- ORMInvestigationContractingTeam@va.gov EEO – Equal Employment Opportunity EEOC – Equal Employment Opportunity Commission GFP – Government Furnished Property IDIQ- Indefinite Delivery Indefinite Quant Letter of Authorization – The letter from the COR that gives the contractor the authority to conduct the EEO investigation OPM & DSS – Office of Personnel Management & Defense Security Service ORM & DI - Office of Resolution Management and Diversity Inclusion PWS – Performance Work Statement ROI – Report of Investigation TMS- Talent Management System VA - United States Department of Veterans Affairs

3.0 CONTRACTOR PERSONNEL

3.1 Project Manager. The Contractor shall provide a Project Manager who shall be responsible for all Contractor work performed under this PWS. The Project Manager is designated as Key by the ORM. The Project Manager shall be a single point of contact for the Contracting Officer and the Contracting Officer Representative (COR).

3.2 Qualified Personnel. The Contractor shall provide qualified and currently credentialed personnel as outlined in EEOC MD-110, personnel to perform all requirements in this PWS and all task orders issued under this contract.

3.3 Employee Conduct. Contractor employees shall remain objective throughout the EEO process and express no opinion to parties or witnesses as to whether prohibited discrimination has occurred.

3.4 Removing Employees for Misconduct or Security Reasons. Contracting Officer has sole discretion, to direct the Contractor to remove any Contractor employee from VA facilities or this contract for misconduct or security reasons. Such removal does not relieve the Contractor of the responsibility to provide sufficient qualified personnel for adequate and timely service.

3.5 Conflict of Interest. Conflicts of interest shall disqualify investigators from performing services under this PWS. The Contractor shall not employ any person who is an employee of the United States Government if that employment would or appear to cause a conflict of interest. If either the Contractor or VA determines that the Contractor and/or an employee of the Contractor faces a potential, perceived, or actual conflict of interest, the individual that determined the existence of the conflict shall notify the other party (i.e. the Contractor/VA) and the Contractor and/or contractor employee shall cease all work on the assigned task. At CO discretion, the Contractor shall provide an acceptable replacement.

4.0 KEY PERSONNEL.

(a) The personnel specified below are considered essential to the work being performed under this contract and may, with the consent of the contracting parties, be changed from time to time during the course of the contract by adding or deleting personnel, as appropriate.

(b) Before removing or replacing any of the specified individuals, the Contractor shall notify the Contracting Officer, in writing, no less than fourteen (14) days before the change becomes effective. The Contractor shall submit sufficient information to support the proposed action and to enable the Contracting Officer to evaluate the potential impact of the change on this contract. The Contractor shall not remove or replace personnel until the Contracting Officer approves the change. The following are designated as Key Personnel under this contract:

Project Manager

(c) The C&A requirements do not apply, and a security accreditation package is not required.

5.0 PERIOD OF PERFORMANCE

The period of performance for ordering under this IDIQ will not exceed five (5) years from the effective date of the agreement.

6.0 PLACE OF PERFORMANCE

The place of performance will be specified within each Order. The Government anticipates the services to be provided will be primarily performed at the contractor’s site. In the instance where the contractor is required to work at the Government site, work shall not take place on Federal holidays unless directed by the Contracting Officer.

7.0 TYPE OF CONTRACT

This PWS is for a Multiple-Award Firm-Fixed Price (FFP) IDIQ under the Federal Supply Schedule (FSS) Schedule 738 X, Category 595 25. Orders issued under this agreement will be FFP. The Contractor shall provide all equipment and resources necessary to accomplish the requirements described in this PWS.

8.0 SPECIFIC REQUIREMENTS/TASKS

The following requirements apply to all Orders placed against this IDIQ/TO.

8.1 Investigation of Discrimination Complaints

This requirement includes, but is not limited to, interviews of parties and witnesses, requests for evidence and obtaining the necessary evidence and relevant statistical evidence, compilation of investigative files and preparation of the ROI. All harassment/hostile work environment complaints shall be identified as a one claim cost with several incidents and not treated as additional issues. The COR will determine the type of complaint (e.g. individual complaint, consolidated complaint) and number of issues contained in each complaint. Any disagreement between COR and the Contractor regarding the type of complaint and/or number of issues will be resolved through discussion between CO, COR and the Contractor. All investigations shall be conducted in accordance with EEOC Regulations at 29 C.F.R.§1614 et. seq. and MD-110.

8.2 Method of Investigations. Investigations can either be conducted telephonically or through written interrogatory. Regardless of method the following template shall be utilized for testimony. (ATTACHMENT A)

8.3 Amendments. The Contractor shall notify the COR immediately whenever the complainant indicates a desire to amend a complaint, and shall proceed with the investigation according to the amended complaint only upon approval from the COR.

8.4 Report of Investigation (ROI). Upon completion of the investigation, the ROI, a word version table of contents and investigative summary shall be submitted through the Agency’s exchange server in the designated folder provided. The ROI should be in accordance with EEOC MD 110 (Chapter 6) with regard to sufficiency and in the following standard format/Table of Contents in ATTACHMENT B. Each exhibit shall be bookmarked identically to its title in table of contents, be a fully searchable PDF document and is required to be legible. If the Agency’s exchange server is not operational for more than 48 hours, the contractor should submit the completed ROI on a CD-r (non-rewritable format). The ROI is due sixty (60) calendar days after the assignment date of the investigation. Exceptions and extensions due to emergent problems shall require coordination and approval by the COR. Extension for the delivery of the ROI must be requested two weeks prior to the due date.

8.5 ROI Format. The ROI shall include the applicable files referenced in the sample format outlined in Chapter 6 of MD-110 and meet the general requirements and digital bookmark requirements as outlined in MD-110. Each exhibit shall be bookmarked identically to its title in table of contents, be a fully searchable PDF document and is required to be legible. The ROI shall not exceed 50,000KB. The ROI shall not be bates numbered by the Contractor.

8.6 Corrections to the ROI. When COR determines that corrective investigative action is required after the Contractor submits the investigative file, the Contractor shall respond to the COR’s request for corrective action, within five (5) business days after notification. In the event the Contractor is unable to complete the corrective action within five (5) business days, the Contractor shall provide a written explanation and estimated timeline for completing the action.

8.7 Documents. All documents shall be legible. The documents shall not contain active hyperlinks, contain other documents imbedded that have not been downloaded, or any PDF documents in portfolio mode.

8.8 Sanitization. The ROI shall be redacted in accordance with the guidance outlined in EEOC-MD110. In addition, any reference to patient or beneficiary of the Agency should be completely redacted. In age discrimination complaints, only the year of birth and individual’s age shall be provided (e.g. 1970). If there is a question as to whether information represents PII that should be sanitized, the Contractor shall contact the COR for guidance.

8.9 Affidavits. The Agency requires signed affidavits. Acceptable formats include digital signature and wet signatures. In the event the signature is not secured the file should reflect attempts to acquire the signed affidavit. Each affidavit shall identify the questions presented to the affiant followed by the affiant’s response. Each affidavit shall be in the question and answer format.

8.10 Lack of Response. If a complainant, witness or responding management official fails to respond to the investigators attempt to obtain testimony within 5 days, the Contractor shall issue a notice of witness non-compliance (ATTACHMENT C) and complainant non-compliance (ATTACHMENT D) as attached. If after issuing a notice of non-compliance and the witness fails to comply, the Contractor shall immediately notify the COR.

8.11 Extensions to the 180-day Investigative Time Frame. All extensions to the investigative time frame, other than unilateral extensions described in EEOC Regulation 29 C.F.R. § 1614.108(e), must be a written agreement between the complainant and ORM.

8.12 Status Reports

The Project Manager shall provide responses to all status reports through the Agency’s exchange server. All reports must be completed in their entirety as directed by the Government.

· The initial report shall contain case number, complainants full name, identity of investigator and shall be submitted by the 10th of the month.

· The 30 day shall contain case number, complainants full name, identity of investigator, the identity and status of all testimony of relevant witness, the status of the document request, and projected submission date.

· The 45 day shall contain case number, complainants full name, identity of investigator, the identity and status of all testimony of relevant witness, the status of the document request, confirmation of meeting projected submission date, any authorized extension by COR.

8.13 Communication Plan

At the commencement of the investigation, the assigned contract investigator shall contact the local EEO Manager/Liaison identified on the assignment letter issued by the Agency via email. Assignment Letter (ATTACHMENT E) The email shall be titled “Official Correspondence”. The investigator shall introduce themselves and identify the Contractor to which they are employed. The signatory block of the assigned investigator shall include a reference to the Prime Contractor. They shall follow up on the status of document request already made by the agency and to obtain contact information for pertinent Agency witnesses. The contract investigator shall provide the Local EEO Manager/Liaison with the names of Responding Management Officials (RMO)s and request a local Subject Matter Expert (SME) as needed.

When the local EEO Manager/Liaison indicates requested documents have been submitted, follow up shall be made with the ORM & DI Investigations Contracting Team group email. In circumstances where additional documents are determined to be necessary or requested documents are missing from the submission, the local EEO Manager/Liaison shall be contacted by the contractor investigator to obtain the documents or an explanation as to their omission. Two attempts shall be made to obtain documents. If the two attempts are unsuccessful, the contractor investigator shall note the omission in the summary and cite exhibit containing the evidence of the attempts.

Email correspondence to all relevant witnesses should be titled “Official Correspondence” and shall not include any reference to the complainant’s name and case number. The contract investigator shall use the complainant’s last name and last six of complaint number as necessary in the body of the email. Emails containing PII shall be sent encrypted. All introductory correspondence shall include an explanation for the correspondence and a copy of the assignment letter. The signatory block of the assigned investigator shall include a reference to the Prime Contractor.

The local EEO Manager/EEO Liaison shall be contacted by email if an RMO or SME fails to provide testimony or fails to return the signed affidavit or interrogatory after expiration of notice of non-compliance as provided by the contract investigator. The COR shall be notified when either the complainant or RMO fails to provide testimony prior to the submission of the ROI after two valid attempts have been made.

Documents received after investigation is submitted, documents shall be uploaded to the government exchange server in the complainant’s file. An email shall be sent to the contract investigation email. All documents shall be in a PDF format, redacted and searchable.

9.0 DELIVERABLES TABLE

10.0 GOVERNMENT-FURNISHED PROPERTY

There will be no Government-furnished property and/or equipment.

11.0 TRAVEL REQUIREMENTS

No travel required

12.0 SKILL OR RELEVANT EXPERIENCE REQUIREMENT

Individuals serving as EEO investigators must satisfy the mandatory training requirements set forth by EEOC (EEOC MD-110). All new EEO investigators, including contract and collateral duty investigators, must have completed at least thirty-two (32) hours of investigator training before conducting investigations. The continuing eight hours of investigator training every year is intended to keep EEO investigators informed of developments in EEO practice, law, and guidance, as well as to enhance and develop investigatory skills.

13.0 ENCRYPTED E-MAIL COMMUNICATIONS WITH THE VA

Contractors have a responsibility to protect sensitive and confidential information that they possess. When communicating with VA employees via electronic mail, Public Key Infrastructure (PKI) will be used to send all sensitive information, personal health information and personally identifiable information.

14.0 VA INFORMATION AND INFORMATION SYSTEM SECURITY/PRIVACY REQUIREMENTS 14.1 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.

14.2 ACCESS TO VA INFORMATION AND VA INFORMATION SYSTEMS

a. A contractor/subcontractor shall request logical (technical) or physical access to VA information and VA information systems for their employees, subcontractors, and affiliates only to the extent necessary to perform the services specified in the contract, agreement, or task order.

b. All contractors, subcontractors, and third-party servicers and associates working with VA information are subject to the same investigative requirements as those of VA appointees or employees who have access to the same types of information. The level and process of background security investigations for contractors must be in accordance with VA Directive and Handbook 0710, Personnel Suitability and Security Program. The Office for Operations, Security, and Preparedness is responsible for these policies and procedures.

c. The contractor or subcontractor must notify the Contracting Officer immediately when an employee working on a VA system or with access to VA information is reassigned or leaves the contractor or subcontractor’s employ. The Contracting Officer must also be notified immediately by the contractor or subcontractor prior to an unfriendly termination.

14.3 VA INFORMATION CUSTODIAL LANGUAGE

a. Information made available to the contractor or subcontractor by VA for the performance or administration of this contract or information developed by the contractor/subcontractor in performance or administration of the contract shall be used only for those purposes and shall not be used in any other way without the prior written agreement of the VA. This clause expressly limits the contractor/subcontractor's rights to use data as described in Rights in Data - General, FAR 52.227-14(d) (1).

b. VA information should not be co-mingled, if possible, with any other data on the contractors/subcontractor’s information systems or media storage systems in order to ensure VA requirements related to data protection and media sanitization can be met. If co-mingling must be allowed to meet the requirements of the business need, the contractor must ensure that VA’s information is returned to the VA or destroyed in accordance with VA’s sanitization requirements. VA reserves the right to conduct on-site inspections of contractor and subcontractor IT resources to ensure data security controls, separation of data and job duties, and destruction/media sanitization procedures are in compliance with VA directive requirements.

c. Prior to termination or completion of this contract, contractor/subcontractor must not destroy information received from VA, or gathered/created by the contractor in the course of performing this contract without prior written approval by the VA. Any data destruction done on behalf of VA by a contractor/subcontractor must be done in accordance with National Archives and Records Administration (NARA) requirements as outlined in VA Directive 6300, Records and Information Management and its Handbook 6300.1 Records Management Procedures, applicable VA Records Control Schedules, and VA Handbook 6500.1, Electronic Media Sanitization. Self-certification by the contractor that the data destruction requirements above have been met must be sent to the VA Contracting Officer within 30 days of termination of the contract.

d. The contractor/subcontractor must receive, gather, store, back up, maintain, use, disclose and dispose of VA information only in compliance with the terms of the contract and applicable Federal and VA information confidentiality and security laws, regulations and policies. If Federal or VA information confidentiality and security laws, regulations and policies become applicable to the VA information or information systems after execution of the contract, or if NIST issues or updates applicable FIPS or Special Publications (SP) after execution of this contract, the parties agree to negotiate in good faith to implement the information confidentiality and security laws, regulations and policies in this contract.

e. The contractor/subcontractor shall not make copies of VA information except as authorized and necessary to perform the terms of the agreement or to preserve electronic information stored on contractor/subcontractor electronic storage media for restoration in case any electronic equipment or data used by the contractor/subcontractor needs to be restored to an operating state. If copies are made for restoration purposes, after the restoration is complete, the copies must be appropriately destroyed.

f. If VA determines that the contractor has violated any of the information confidentiality, privacy, and security provisions of the contract, it shall be sufficient grounds for VA to withhold payment to the contractor or third party or terminate the contract for default or terminate for cause under Federal Acquisition Regulation (FAR) part 12.

g. The contractor/subcontractor must store, transport, or transmit VA sensitive information in an encrypted form, using VA-approved encryption tools that are, at a minimum, FIPS 140-2 validated.

h. The contractor/subcontractor’s firewall and Web services security controls, if applicable, shall meet or exceed VA’s minimum requirements. VA Configuration Guidelines are available upon request.

i. Except for uses and disclosures of VA information authorized by this contract for performance of the contract, the contractor/subcontractor may use and disclose VA information only in two other situations: (i) in response to a qualifying order of a court of competent jurisdiction, or (ii) with VA’s prior written approval. The contractor/subcontractor must refer all requests for, demands for production of, or inquiries about, VA information and information systems to the VA contracting officer for response.

j. Notwithstanding the provision above, the contractor/subcontractor shall not release VA records protected by Title 38 U.S.C. 5705, confidentiality of medical quality assurance records and/or Title 38 U.S.C. 7332, confidentiality of certain health records pertaining to drug addiction, sickle cell anemia, alcoholism or alcohol abuse, or infection with human immunodeficiency virus. If the contractor/subcontractor is in receipt of a court order or other requests for the above-mentioned information, that contractor/subcontractor shall immediately refer such court orders or other requests to the VA contracting officer for response.

k. For service that involves the storage, generating, transmitting, or exchanging of VA sensitive information but does not require C&A or an MOU-ISA for system interconnection, the contractor/subcontractor must complete a Contractor Security Control Assessment (CSCA) on a yearly basis and provide it to the COR.

14.4 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.

14.5 LIQUIDATED DAMAGES FOR DATA BREACH

(a) date of occurrence;

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

(3) Number of individuals affected or potentially affected;

(4) Names of individuals or groups affected or potentially affected;

(5) 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;

(6) Amount of time the data has been out of VA control;

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

(8) Known misuses of data containing sensitive personal information, if any;

(9) Assessment of the potential harm to the affected individuals;

(10) Data breach analysis as outlined in 6500.2 Handbook, Management of Security and Privacy Incidents, as appropriate; and

(11) 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 the 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:

(1) Notification;

(2) One year of credit monitoring services consisting of automatic daily monitoring of at least 3 relevant credit bureau reports;

(3) Data breach analysis;

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

(5) One year of identity theft insurance with $20,000.00 coverage at $0 deductible; and

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

14.6 TRAINING

a. 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:

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

2. Successfully complete the appropriate VA Privacy & Information Security Awareness (TMS Course number 10176) and Rules of Behavior and annually complete required privacy training; and

d. Please access TMS through the following link: https://www.tms.va.gov/SecureAuth35/ , click on the “CREATE NEW NON-EMPLOYEE USER” button. Select “VA Central Office (VACO)” on the Self-Enrollment Screen and follow the prompts to create your TMS profile. Project Manager shall send COR an email when profile is created, so that your account can be validated and assignment of required course(s). Please note, however, that it can take as long as 24 hours to fully validate an account after it has entered all of the required information.

14.7 CONTRACTOR PERSONNEL SECURITY

a. All contract employees who require access to the VA site(s) and/or access to VA local area network (LAN) systems shall be the subject of a background investigation and must receive a favorable adjudication from the VA Security and Investigations Center (SIC). These requirements are applicable to all sub-contractor personnel requiring the same NACI Background Investigation.

b. The level of background security investigation will be in accordance with VA Directive 0710 dated June 4, 2010 and is available at: http://www.va.gov/vapubs/viewPublication.asp?Pub_ID=487&FType=2>.

14.8 BACKGROUND INVESTIGATION

a. The contract employee level of background investigation required for this effort is: Public Trust / Moderate Risk Contractor.

14.9 CONTRACTOR RESPONSIBILITIES

a. The contractor shall bear the expense of obtaining background investigations. Only the prime contractor is responsible for obtaining background investigations, not the sub-contractor. The cost of the background investigations is as follows: Background Investigations (B1) $3,638; Minimum Background Investigations (MBI) $866; Periodic Reinvestigations (PRI) $1,115; National Agency Check with Written Inquiries (NACI) $243; National Agency check with Law and Credit (NACLC) $266. The VA will pay for investigations processed through the VA SIC and conducted by the Office of Personnel Management (OPM) in advance, however, the contractor shall reimburse the full cost of background investigations to VA within 30 days of Bill of Collections from VA. The VA shall send up to three plus one final delinquent notice to the contractor. If the contractor does not adhere to the Bill of Collections, future invoices may be subject to be offset by VA to recoup background investigation costs.

b. Immediately after contract or task order award, the contractor must submit a completed Attachment F (Contractor Background Investigation Request Worksheet) for all contract employees working the contract, who have access to VA facilities, VA systems, or privacy data, to the COR.

c. The contractor and contractor point of contact (POC) will receive an email notification from SIC identifying the website link that includes detailed instructions regarding completion of the background clearance application process and what level of background was requested. Reminder notifications will be sent if the complete package is not submitted by the due date.

d. The contractor shall prescreen all personnel who require access to VA site(s) and/or access to VA LAN systems to ensure they maintain a U.S. citizenship or Alien Registration that authorizes them to work in the U.S. and are able to read, write, speak and understand the English language.

e. Contractors who have current favorable background investigation conducted by OPM or Defense Security Service (DSS) may be accepted through reciprocation. However, it does not relieve the contractor from submitting a completed Attachment B form & D immediately after contract or task order award for all contract employees working on the contract to the COR.

f. Contract performance shall not commence before SIC confirmation that it received the investigative documents, that they are complete, and that the security investigation has been released to OPM for scheduling of the background investigation. Once the contractor's background investigation has been released to OPM for scheduling of the background investigation, contract performance may commence. The COR will notify and forward the contractor a copy of the Certificate of Eligibility (4236) to the contractor when the investigation has been favorably completed and adjudicated. The contractor, if notified of an unfavorable adjudication by the Government, shall withdraw the employee from consideration from working under the contract. Failure to comply with the contractor personnel security requirements may result in termination of the contract for default.

g. If the security clearance investigation is not completed prior to the start date of the contract, the contract employee may work on the contract with an initiated status while the security clearance is being processed. However, the contractor will be responsible for the actions of those contract and sub-contract employees they provide to perform & work for the VA. In the event damage arises from work performed by contractor personnel, under the auspices of the contract, the contractor will be responsible for resources necessary to remedy the incident.

h. Should the contractor use a vendor other than OPM or DSS to conduct investigations, the investigative company must be certified by OPM&DSS to conduct contractor investigations. The Vendor Cage Code number must be provided to the VA SIC, which will verify the information and conclude whether access to the Government's site(s) and/or VA LAN systems can be.

i. The investigative history for contractor personnel working under this contract must be maintained in the databases of either OPM or the Defense Industrial Security Clearance Organization (DISCO).

14.10 GOVERNMENT RESPONSIBILITIES

a. After the COR has received Attachment B form(s) from the Contractor, SIC will send an e-mail notification to the contractor and their POC identifying the website link that includes detailed instructions regarding completion of the background clearance application process and what level of background was requested. SIC will also send reminder notifications to the contractor and their POC if the complete package is not submitted by the due date.

b. Upon receipt of required investigative documents, SIC will review the investigative documents for completion and initiate the background investigation by forwarding the investigative documents to OPM to conduct the background investigation. If the investigative documents are not complete, SIC will return the package to the contractor with corrective instructions.

c. The VA will pay for investigations processed through the VA SIC and conducted by OPM in advance, however, the contractor shall reimburse the full cost of background investigations to VA within 30 days of Bill of Collections from the VA. The VA shall send up to three plus one final delinquent notice to the contractor. If the contractor does not adhere to the Bill of Collections, future invoices may be subject to be offset by the VA to recoup background investigation costs and may be considered grounds for default. The COR will notify and forward the contractor a copy of the Certificate of Eligibility (4236) when the investigation has been favorably completed and adjudicated.