36C24820Q0531-003.docx

36C24820Q0531

PAGE 1 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

673-20-3-5094-0324 36C24820Q0531 03-24-2020 Keila President Keila President 03-30-2020 2:00 pm EST 36C248 Department of Veterans Affairs Network Contracting Office 8 (NCO 8) 8875 Hidden River Pkwy Suite 525 Tampa

FL

33637 X X 624190 $12 Million N/A X Department of Veterans Affairs James A. Haley Veterans Hospital (90C) 13000 Bruce B. Downs Blvd Tampa

FL

33612 36C248 Department of Veterans Affairs Network Contracting Office 8 (NCO 8) 8875 Hidden River Pkwy Tampa

FL

33637

Department of Veterans Affairs Financial Services Center P.O. Box 149971 Austin

TX

78714-9971 See CONTINUATION Page Requirement performed in accordance with Performance Work Statement.

Schedule of Services located on pages x.

Past Performance Questionnaire due on 3/30/2020

@ 2:00 PM EST.

Solicitation due on 3/30/2020 @ 2:00 PM EST Solicitation is set-aside 100 percent for SDVOSB.

See CONTINUATION Page X X

ONE

Paul Jarrett 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:

b. GOVERNMENT: Contracting Officer 36C248 Department of Veterans Affairs Network Contracting Office 8 (NCO 8)

8875 Hidden River Pkwy Suite 525 Tampa FL 33637

2. CONTRACTOR REMITTANCE ADDRESS: All payments by the Government to the contractor will be made in accordance with:

3. INVOICES: Invoices shall be submitted in arrears:

4. GOVERNMENT INVOICE ADDRESS: All Invoices from the contractor shall be submitted electronically in accordance with VAAR Clause 852.232-72 Electronic Submission of Payment Requests.

Department of Veterans Affairs Financial Services Center

P.O. Box 149971 Austin TX 78714-9971 ACKNOWLEDGMENT OF AMENDMENTS: The offeror acknowledges receipt of amendments to the Solicitation numbered and dated as follows:

B.2 PRICE/COST SCHEDULE

ITEM INFORMATION

ESPRY (EAP), to provide additional services to our James A. Haley Veterans Hospital and Clinics, to include New Port Richey, Brooksville, Lakeland and Zephyrhills, Florida. These services with enhance the current ESPRY (EAP) services to provide a work/life program designed to assist employees and family member with balancing their work obligations and personal responsibilities. These extra services include FINANCIAL services to include; Certified Financial Planner, Certified Public Accountants and Professional Financial Expert to provide financial services. LEGAL services to include a simple will at no cost and a 25% discount on attorney's hourly rate; legal advice and consultation provided by attorneys regarding many different types of cases. . ELDER CARE REFERRALS assist with Nursing facilities, Cancer Centers etc. PRENTAL PROGRAMS of pregnancy and becoming parents. PARENTING issues, ADOPTION information, EDUCATION, CHILD CARE referrals, SUMMER CARE RESOURCES, SPECIAL NEEDS AND PET CARE SERVICES.

ESPRY (EAP), to provide additional services to our James A. Haley Veterans Hospital and Clinics, to include New Port Richey, Brooksville, Lakeland and Zephyrhills, Florida. These services with enhance the current ESPRY (EAP) services to provide a work/life program designed to assist employees and family member with balancing their work obligations and personal responsibilities. These extra services include FINANCIAL services to include; Certified Financial Planner, Certified Public Accountants and Professional Financial Expert to provide financial services. LEGAL services to include a simple will at no cost and a 25% discount on attorney's hourly rate; legal advice and consultation provided by attorneys regarding many different types of cases. . ELDER CARE REFERRALS assist with Nursing facilities, Cancer Centers etc. PRENTAL PROGRAMS of pregnancy and becoming parents. PARENTING issues, ADOPTION information, EDUCATION, CHILD CARE referrals, SUMMER CARE RESOURCES, SPECIAL NEEDS AND PET CARE SERVICES.

ESPRY (EAP), to provide additional services to our James A. Haley Veterans Hospital and Clinics, to include New Port Richey, Brooksville, Lakeland and Zephyrhills, Florida. These services with enhance the current ESPRY (EAP) services to provide a work/life program designed to assist employees and family member with balancing their work obligations and personal responsibilities. These extra services include FINANCIAL services to include; Certified Financial Planner, Certified Public Accountants and Professional Financial Expert to provide financial services. LEGAL services to include a simple will at no cost and a 25% discount on attorney's hourly rate; legal advice and consultation provided by attorneys regarding many different types of cases. . ELDER CARE REFERRALS assist with Nursing facilities, Cancer Centers etc. PRENTAL PROGRAMS of pregnancy and becoming parents. PARENTING issues, ADOPTION information, EDUCATION, CHILD CARE referrals, SUMMER CARE RESOURCES, SPECIAL NEEDS AND PET CARE SERVICES.

ESPRY (EAP), to provide additional services to our James A. Haley Veterans Hospital and Clinics, to include New Port Richey, Brooksville, Lakeland and Zephyrhills, Florida. These services with enhance the current ESPRY (EAP) services to provide a work/life program designed to assist employees and family member with balancing their work obligations and personal responsibilities. These extra services include FINANCIAL services to include; Certified Financial Planner, Certified Public Accountants and Professional Financial Expert to provide financial services. LEGAL services to include a simple will at no cost and a 25% discount on attorney's hourly rate; legal advice and consultation provided by attorneys regarding many different types of cases. . ELDER CARE REFERRALS assist with Nursing facilities, Cancer Centers etc. PRENTAL PROGRAMS of pregnancy and becoming parents. PARENTING issues, ADOPTION information, EDUCATION, CHILD CARE referrals, SUMMER CARE RESOURCES, SPECIAL NEEDS AND PET CARE SERVICES.

ESPRY (EAP), to provide additional services to our James A. Haley Veterans Hospital and Clinics, to include New Port Richey, Brooksville, Lakeland and Zephyrhills, Florida. These services with enhance the current ESPRY (EAP) services to provide a work/life program designed to assist employees and family member with balancing their work obligations and personal responsibilities. These extra services include FINANCIAL services to include; Certified Financial Planner, Certified Public Accountants and Professional Financial Expert to provide financial services. LEGAL services to include a simple will at no cost and a 25% discount on attorney's hourly rate; legal advice and consultation provided by attorneys regarding many different types of cases. . ELDER CARE REFERRALS assist with Nursing facilities, Cancer Centers etc. PRENTAL PROGRAMS of pregnancy and becoming parents. PARENTING issues, ADOPTION information, EDUCATION, CHILD CARE referrals, SUMMER CARE RESOURCES, SPECIAL NEEDS AND PET CARE SERVICES.

B.3 DELIVERY SCHEDULE

12.00

12.00

12.00

12.00

12.00

36C24820Q0531

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PERFORMANCE WORK STATEMENT

Employee Assistance Program

I. General: The James A. Haley Veterans Hospital in Tampa, Florida, has a requirement to provide programs and services by an independent, local counseling service for assessment, referral and limited counseling, with costs paid by the James A. Haley Veterans’ Hospital. Costs of additional counseling services will be paid by employees or their health insurance providers. Referrals of employees and/or eligible family members may be self-referral or by any supervisor of the James A. Haley Veterans’ Hospital.

II. Background: The employee assistance program has been made available for all current James A. Haley Veterans’ Hospital employees at no additional cost. This program serves employees who are experiencing personal problems that may be affecting their job performance, attendance, or conduct. EAP counselors provide assessment, referral and short-term counseling services to employees with family or marital difficulties, alcohol or drug dependency, financial, emotional or other problems.

III. Period of Performance:

Base Year: April 1, 2020 to March 31, 2021 Option Year 1: April 1, 2021 to March 31, 2022 Option Year 2: April 1, 2022 to March 31, 2023 Option Year 3: April 1, 2023 to March 31, 2024 Option Year 4: April 1, 2024 to March 31, 2025

IV. Objective of the Employee Assistance Program (EAP}: The contractor shall provide access to appropriate prevention, treatment and rehabilitation programs and services for employees of the James A. Haley Veterans' Hospital and its outlying clinics in New Port Richey, Brooksville, Lakeland, South Hillsborough and Zephyrhills, Florida (hereafter referred to as the James A. Haley Veterans’ Hospital) with alcohol, drug, mental, emotional, family or other personal problems that adversely affect job performance and to provide guidance for supervisors to effectively handle problems of employees that adversely affect job performance. EAP is toll-free and provides access twenty-four (24) hours a day, seven (7) days a week including any federal holidays for counseling and crisis intervention.

V. Policies: The James A. Haley Veterans’ Hospital, as an employer, recognizes mental and emotional disorders, alcoholism and drug abuse as treatable health conditions.

A. The program will be available to all employees who choose to subscribe to the program. Strict confidentiality is required as not to jeopardize an employee’s job security, promotion opportunities or reputation.

B. All records and discussions of personal problems will be kept confidential and will not jeopardize an employee's job security, promotional opportunities or reputation. All individual records will be kept by the contractor and will not be forwarded to the participating agency without the written consent of the employee. Statistical data provided to the James A. Haley Veterans’ Hospital and the clinics will be compiled in such a way that the identity of individual employees cannot be ascertained. If it is impossible to provide statistical data and still protect the identity of the employee, protection of the employee's identity shall take precedence.

C. Since problems at home may affect job performance, coverage will be extended to members of the employee's families when appropriate. Coverage of family members is appropriate when the family member has a problem connected with the employee's alcohol or drug abuse or when the employee has a personal problem that may be helped by seeing the family member or when the personal problems of the family member is affecting the employee's ability to function on the job.

D. Supervisors may use the program to refer employees to the program or to obtain guidance when personal problems of subordinate staff cause unsatisfactory job performance. It is the intent of the program to provide for intervention only when problems affect job performance or reflect discredit to the participating agency.

These policies do not alter nor replace any existing administrative policies or contractual agreements of the James A. Haley Veterans’ Hospital. They are intended merely to assist the James A. Haley Veterans’ Hospital in carrying out existing policies.

VI. Program Requirements: The contract is expected to provide, at a minimum, the following:

A. Diagnostic services, to include up to six visits problem for evaluation, assessment and initial counseling directed toward identifying and assessing the complexity of personal problems which may affect job performance.

B. Referral services, to include motivational counseling and referral to competent care and follow up directed toward appropriate community resources, within the employee's means, for employees and dependents whose problems warrant additional treatment.

C. Management consultation services, to include telephone consultation for the purpose of assisting supervisors to determine and implement a course of action for dealing with an employee with performance problems that may be connected with mental, emotional, drug, alcohol or personal problems within the scope of this contract.

D. Training, orientation and promotional materials to include:

1. Introductory and annually thereafter, informational brochures highlighting EAP topics of employee interest. The brochures shall include, but not be limited to, how to obtain EAP services, what services are available and who is covered under the program. Materials shall emphasize the confidential nature of the EAP program.

2. An EAP website that can be accessed at home or work so employees have another avenue to be educated and seek topics of interest.

3. A supervisory training flyer that will include, but is not limited to, the following topics:

(a) availability of advice and consultations for supervisors, basic distinction between supervision and counseling, general principals of crisis management, need for supervisors to emphasize privacy and confidentiality, voluntary vs. involuntary referral (alternative to administrative adverse action), methods of reporting breakdown or adequacy or continuity of treatment, basic concepts of mental health, illness, alcoholism and substance abuse, treatment methods and prognosis. The video shall be submitted for approval within 60 days and in final form within 90 days after the date of contract.

(b) An employee orientation flyer shall be provided. The flyer will contain how to obtain EAP services, what services are available and for whom. The flyer shall emphasize the confidential nature of the EAP program.

(c) Orientation sessions for employees will be held at the hospital and clinics which shall include, but not be limited to, how to obtain EAP services, what services are available and for whom. The orientations will emphasize the confidential nature of the EAP program.

(d) Training sessions for supervisors shall include, but not be limited to, the following topics: Availability of advice and consultation for supervisors, basic distinction between supervision and counseling, general principles of crisis management, need for supervisors to emphasize privacy and confidentiality, voluntary vs. involuntary referral (alternative to administrative adverse action), methods of reporting breakdown or adequacy or continuity of treatment, basic concepts of mental health, illness, alcoholism and substance abuse, treatment methods and prognosis. The government reserves the right of final review and approval of all informational materials to be distributed to employees and supervisors.

E. Statistical Reporting Required:

1. Quarterly, within 30 days after the end of the quarter, the contractor shall provide a summary status report and individual status reports on all active cases, cases dropped, cases disposed or resolved. For each of the categories, alcohol, other drugs and emotional/other (which shall be further sub-classified into emotional/ psychological/psychiatric, marital, other family, financial, legal, smoking, weight and other or such other categories approved by the government).

(a) The information shall be classified as follows:

i. Number of self-initiated (voluntary) referrals

ii. Number of management initiated (involuntary) referrals

iii. Number of referrals as a result of drug testing

iv. Number of those helped (restoration of job performance)

v. Number of those who were not helped

vi. Number of those where it is too soon to tell

vii. Total number of new or re-opened cases

viii. Utilization rate (annualized in quarterly reports)

(b) In order to reduce the possibility (or perception by employees of the possibility) that information extracted from statistical data could be used to identify employees; data provided by the Contractor will be limited to the above data elements.

VII. Program Assessment:

A. The contractor shall provide an assessment plan to assess employees' and supervisors' perception of the Employee Assistance Program. The plan shall be provided to the government for approval before implementation and implemented not later than 6 months after contract award. The plan can be implemented earlier if approved by the government. At a minimum the assessment shall include:

1. A method of surveying program users, including employees, family members and supervisors about their experience and overall satisfaction with the services provided (survey shall preserve the anonymity of the users from the government).

2 A balance summary of employee and supervisor comments (without identifying employees) about experience with the program.

B. A summary of activities, including statistics of program utilization and the education and outreach activities carried out by the contractor.

C. Major problems and/or obstacles encountered and how these were resolved or handled

D. Major successes of the program

E. An executive summary of the findings

VIII. Administrative Capability:

Contractor must have the ability to administer/manage program staff, respond to and maintain compliance with applicable regulations, rules and policies; provide efficient and effective liaison with the Contracting Officer's Representative and assesses established health insurer's programs or services of other social service agencies for referral potential.

IX. Licenses and Qualifications:

A. All personnel under this contract shall be employees or assignees of the contractor who shall be responsible for validation of their qualifications to perform the services herein described.

B. The EAP staff will have demonstrated ability to work in an industrial/business setting, and to advise supervisors and managers on dealing with troubled employees and, at a minimum, shall possess the following qualifications:

1. Doctorate or Masters in Mental health field from an accredited college or university (psychologist, social worker, psychiatric nurse, psychiatrist or physician).

2. Licensed by the State to provide mental health services.

3. Five years or more of postgraduate experience providing assessments, short-term solution focused counseling and referring clients with a broad range of behavioral problems, including substance abuse.

4. At least two years direct EAP experience dealing with employee work performance problems and substance abuse.

5.At least three years of practice in their community to ensure knowledge of local resources.

6. Shall meet applicable state requirements as to licensure and/or qualifications which are necessary to practice within the applicable state.

X. Confidentiality of Records and Referrals:

The contractor agrees to comply with requirements to the confidential nature of patient records in accordance with Section 333 of Public Law 91-616 (as amended by PL 92-282), Section 408 of PL 92-255, and Federal Regulations of the Special Action Office for Drug Abuse Prevention (21 CFR Part 1401). The government agrees to provide the contractor with a copy or website address of these requirements upon written request. The contractor will ensure the physical security of records and prevention of disclosure of the records, reports, or other private information of employees, except with the employee's informed written consent.

XI. Exclusions:

Medications and physical examinations are not to be considered a part of the independent counseling services for the EAP and shall not be provided under this contract. Employees shall be advised that the government will not reimburse through this program for physical examinations, drugs or other medical treatments.

XII. Invoicing

A. Invoices are to be submitted monthly in arrears, citing the contract number and purchase order number for the James A. Haley Veterans' Hospital to:

Department of Veterans Affairs Financial Services Center P.O. Box 149971 Austin TX 78714-9971

B. The contractor is specifically prohibited from invoicing for anything not covered under this contract; i.e., physical examinations, medications or other medical treatment.

All telephone calls with employees or significant others, consultations between contract counselor and other individuals, contractor employee travel, employees not keeping appointments (no shows) or services not specifically authorized in contract costs are part of the fixed monthly costs.

XIII. QUALITY ASSURANCE SURVELLIANCE PLAN (QASP)

Employee Assistance Program

IV.

Responding to callers 24 hours/7days Toll-free

IV

VI.

VI D

Customer inquiry Negative CPARS

VIII

Termination

XI.

Customer Comments Negative CPARS Termination

With Sensitive Data and Training

VA INFORMATION AND INFORMATION SYSTEM SECURITY/PRIVACY LANGUAGE

ACCESS TO VA INFORMATION AND VA INFORMATION SYSTEMS:

a. 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.

b. 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.

c. 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.

d. 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.

Contractor Personnel Security Requirements:

All contractor employees who require access to the Department of Veterans Affairs’ computer systems shall be the subject of a background investigation and must receive a favorable adjudication from the VA Office of Security and Law Enforcement prior to contract performance. This requirement is applicable to all subcontractor personnel requiring the same access. If the investigation is not completed prior to the start date of the contract the contractor will be responsible for the actions of those individuals that provide or perform work for the VA.

1. Position Sensitivity – The position sensitivity has been designated as ( low ) risk.

2. Background Investigation – The level of background investigation commensurate with the required level of access is National Agency Check (NACI) with written inquiries.

3. Contractor Responsibilities

a. The contractor shall bear the expense of obtaining background investigations. If the investigation is conducted by the Office of Personnel Management (OPM), the contractor shall reimburse the VA within 30 days.

The web site which provides information on the cost of the security investigation is:

www.opm.gov\extra\investigate – Select Federal Investigations Notices (FIN 01-01)

b. The contractor shall prescreen all personnel requiring access to the computer systems to ensure they maintain a U.S. citizenship and are able to read, write, speak, and understand the English language.

c. The contractor will provide to the Contracting Officer prior to award the following: (1) List of names of contract personnel. (2) Social security numbers of contractor personnel. (3) Home address of contractor personnel or the contractor address.

The Contracting Officer will submit the above information to the Office of Security and Law Enforcement, Washington, D.C. The Office of Security and Law Enforcement will provide the necessary investigative forms (these forms are indicated in paragraph 3.d. below) to the contractor’s personnel, coordinate the background investigations with OPM and notify the Contracting Officer and contractor of the results of the investigation.

d. The contractor shall submit or have their employees submit the following required forms to the VA Office of Security and Law Enforcement within 30 days of receipt:

(i) Standard From 85P, Questionnaire for Public Trust Positions

(ii) Standard Form 85P-S, Supplemental Questionnaire for Selected Positions

(iii) FD 258, U.S. Department of Justice Fingerprint Applicant Chart

(iv) VA Form 0710, Authority for Release of Information Form

(v) Optional Form 306, Declaration for Federal Employment

(vi) Optional Form 612, Optional Application for Federal Employment

d. The contractor, when notified of an unfavorable determination by the Government, shall withdraw the employee from consideration from working under the contract.

e. Failure to comply with the contractor personnel security requirements may result in termination of the contract for default.

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 onsite 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. If a VHA contract is terminated for cause, the associated BAA must also be terminated and appropriate actions taken in accordance with VHA Handbook 1600.1, Business Associate Agreements. Absent an agreement to use or disclose protected health information, there is no business associate relationship.

h. 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.

i. 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.

j. 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.

k. 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.

l. 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.

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.

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. However, it is the policy of the VA to forego collection of liquidated damages in the event the contractor provides payment of actual damages in an amount determined to be adequate by the agency.

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:

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

(2)Description of the event, including:

(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 for 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.

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.

TRAINING:

a. All contractor employees and subcontractor employees requiring access to VA information and VA information systems shall complete VA Privacy and Information Security Awareness and Rules of Behavior Training and Privacy and HIPAA Training and HIPAA Training 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 Rules of Behavior before being granted access to VA information and its systems.

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

c. 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 such time as the training and documents are complete.

The Certification and Accreditation (C&A) requirements do not apply and a Security Accreditation Package is not required for this SOW.

*** IF APPLICABLE***

INFORMATION SYSTEM DESIGN AND DEVELOPMENT

a. Information systems that are designed or developed for or on behalf of VA at non-VA facilities shall comply with all VA directives developed in accordance with FISMA, HIPAA, NIST, and related VA security and privacy control requirements for Federal information systems. This includes standards for the protection of electronic PHI, outlined in 45 C.F.R. Part 164, Subpart C, information and system security categorization level designations in accordance with FIPS 199 and FIPS 200 with implementation of all baseline security controls commensurate with the FIPS 199 system security categorization (reference Appendix D of VA Handbook 6500, VA Information Security Program). During the development cycle a Privacy Impact Assessment (PIA) must be completed, provided to the COTR, and approved by the VA Privacy Service in accordance with Directive 6507, VA Privacy Impact Assessment.

b. The contractor/subcontractor shall certify to the COTR that applications are fully functional and operate correctly as intended on systems using the VA Federal Desktop Core Configuration (FDCC), and the common security configuration guidelines provided by NIST or the VA. This includes Internet Explorer 7 configured to operate on Windows XP and Vista (in Protected Mode on Vista) and future versions, as required.

c. The standard installation, operation, maintenance, updating, and patching of software shall not alter the configuration settings from the VA approved and FDCC configuration. Information technology staff must also use the Windows Installer Service for installation to the default “program files” directory and silently install and uninstall.

d. Applications designed for normal end users shall run in the standard user context without elevated system administration privileges.

e. The security controls must be designed, developed, approved by VA, and implemented in accordance with the provisions of VA security system development life cycle as outlined in NIST Special Publication 800-37, Guide for Applying the Risk Management Framework to Federal Information Systems, VA Handbook 6500, Information Security Program and VA Handbook 6500.5, Incorporating Security and Privacy in System Development Lifecycle.

f. The contractor/subcontractor is required to design, develop, or operate a System of Records Notice (SOR) on individuals to accomplish an agency function subject to the Privacy Act of 1974, (as amended), Public Law 93-579, December 31, 1974 (5 U.S.C. 552a) and applicable agency regulations. Violation of the Privacy Act may involve the imposition of criminal and civil penalties.

g. The contractor/subcontractor agrees to:

(1) Comply with the Privacy Act of 1974 (the Act) and the agency rules and regulations issued under the Act in the design, development, or operation of any system of records on individuals to accomplish an agency function when the contract specifically identifies:

(a) The Systems of Records (SOR); and

(b) The design, development, or operation work that the contractor/subcontractor is to perform;

(2) Include the Privacy Act notification contained in this contract in every solicitation and resulting subcontract and in every subcontract awarded without a solicitation, when the work statement in the proposed subcontract requires the redesign, development, or operation of a SOR on individuals that is subject to the Privacy Act; and

(3) Include this Privacy Act clause, including this subparagraph (3), in all subcontracts awarded under this contract which requires the design, development, or operation of such a SOR.

h. In the event of violations of the Act, a civil action may be brought against the agency involved when the violation concerns the design, development, or operation of a SOR on individuals to accomplish an agency function, and criminal penalties may be imposed upon the officers or employees of the agency when the violation concerns the operation of a SOR on individuals to accomplish an agency function. For purposes of the Act, when the contract is for the operation of a SOR on individuals to accomplish an agency function, the contractor/subcontractor is considered to be an employee of the agency.

(1) “Operation of a System of Records” means performance of any of the activities associated with maintaining the SOR, including the collection, use, maintenance, and dissemination of records.

(2) “Record” means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, education, financial transactions, medical history, and criminal or employment history and contains the person’s name, or identifying number, symbol, or any other identifying particular assigned to the individual, such as a fingerprint or voiceprint, or a photograph.

(3) “System of Records” means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.

i. The vendor shall ensure the security of all procured or developed systems and technologies, including their subcomponents (hereinafter referred to as “Systems”), throughout the life of this contract and any extension, warranty, or maintenance periods.