Attachment C Updated Interpreter Services PWS.pdf

ATTACHMENT A: PERFORMANCE WORK STATEMENT

1. General: Bay Pines VA Healthcare System (VAHCS) uses on-site American Sign Language (ASL) interpreting services to facilitate communication at events and meetings such as work-related meetings, training sessions, safety talks, discussions on work related procedures, policies and assignments, human resources actions, conferences, team building events and any other event attended by deaf or hard of hearing persons. Additionally, ASL interpreting services shall be provided to patients, their families, and visitors for the offices and agencies associated with the Bay Pines VAHCS for public events. The assignments are primarily performed at the various Bay Pines VAHCS locations outlined below in this

Performance Work Statement (PWS).

1.1 Description of Assignments: This is a non-personal service to provide ASL Interpreters for our deaf and hard of hearing employees, along with visitors for the offices and agencies associated with the Bay Pines VAHCS. The Government shall not exercise any supervision or control over the contract assignment providers performing the assignments described herein. As employees of the Contractor, such contract assignment providers shall be accountable solely to the Contractor who, in turn shall be responsible to the Government. These services shall be available upon request 365 days a year, 24 hours per day, 7 days per week for the Bay Pines VAHCS.

1.2 Locations:

C.W. Bill Young VAMC

10000 Bay Pines Blvd

Bay Pines, FL 33744

Bradenton Community-Based Outpatient Clinic

5520 S.R. 64

Bradenton, FL 34208

Palm Harbor Community-Based Outpatient Clinic

35209 US Highway 19 North

Palm Harbor, FL 34684

Sarasota Community-Based Outpatient Clinic

5682 Bee Ridge Road, Suite 100

Sarasota, FL 34233

St. Petersburg Community-Based Outpatient Clinic

840 Dr. MLK Jr. Street N

St. Petersburg, FL 33705

Lee County VA Healthcare Center

2489 Diplomat Parkway East

Cape Coral, FL 33909

Naples Community-Based Outpatient Clinic

800 Goodlette-Frank Road North, Suite 120

Naples, FL 34102

Sebring Community-Based Outpatient Clinic

5901 US Highway 27 South

Sebring, FL 33870

Port Charlotte Community-Based Outpatient Clinic

4161 Tamiami Trail, Suite 401

Port Charlotte, FL 33952

Largo Business Office

8550 Ulmerton Road

Largo, FL 33771

**Additional facilities may be added based on Bay Pines VA Healthcare System requirements.

2. Objectives: The contractor shall provide on-site coverage for Deaf and Hard of Hearing employees and visitors at various locations on an “as needed” basis during normal working hours, which shall be defined as between 6:00 AM to 7:00 PM EST Monday through Friday, except for Federal holidays as well as occasional after-hours work. This will be a requirements type contract. Contractor will also provide consultative services to managers and employees on effective communication and engagement to ensure an inclusive environment for Deaf and Hard of Hearing employees.

3. Scope:

3.1. Interpreter Assignment Scheduling

3.1.1. The appointed Contracting Officer Representative (COR) is the main point of contact and deciding authority for all sign language assignments. If the COR, or appointed Alternate COR is out of the office or otherwise not available, then an official representative of the Human Resources (HR) office shall be contacted. Additionally, the assigned Contract Specialist and Contracting Officer will be the succession of personnel that the Contractor may contact for actions concerning the scheduled assignments for the contract.

3.1.2. For all non-urgent business: If the COR and Alternate COR are unavailable, the Contractor shall contact and inform the HR office staff of anything pertaining to sign language interpreting assignments. For urgent business, the Contractor may contact the other personnel designated. All points of contact will be provided at time of award.

3.1.3. Primary means for assignment arrangements is an email generated by the Bay Pines VAHCS

SharePoint support request system; however, telephone coordination is also acceptable. All telephone arrangements will be followed up by an email within 2 hours.

3.1.4. When possible, all interpreter assignments will be coordinated a minimum of two (2) business days in advance of assignment request date and time. In order to allow the Contractor maximum opportunity to fill the assignments, all requested assignments known well in advance will be submitted to the Contractor as soon as the COR has determined that contract support will be required.

3.1.5. Prior to the end of the business day (7:00 PM EST) the Contractor will provide at least one email acknowledging the receipt of all proposed assignment(s) from the COR that were issued prior to 4:00

PM EST of that same day. Any proposed assignment(s) that were issued after 4:00 PM shall be acknowledged via an e-mail from the Contractor to the COR no later than 10:00 AM the following business day. For clarity, a Contractor may “roll up” multiple requests in one confirmation e-mail at the end of the day. This roll up shall include the number of requests received by the Contractor. It is not necessary to reply to each individual request separately.

3.1.6. If the Contractor does not respond with acknowledgement of receipt of the proposed assignment within allotted time expressed in para 3.1.5, the Government reserves the right to direct the proposed assignment to another Contractor. Note that the Contractor shall provide 50% or more of the services, but shall use fully qualified/pre-approved subcontractors when needed to ensure all assignments are filled. COR shall approve sub-contractors prior to performance of services.

3.1.7. If the Government should submit a request for interpreters with less than two (2) business days advanced notice, the Contractor shall attempt to provide an interpreter from their staff, but the

Government understands that the Contractor may not always be able to comply with such requests.

The Contractor must notify the Government of its inability to provide a staff interpreter via email as soon as possible, but shall offer fully qualified/pre-approved subcontractors when needed to ensure all assignments are filled. If acceptance of these types of assignments is not made by mutual agreement, the Government reserves the right to pursue alternate means to fulfill the assignment.

3.1.8. If an interpreter assignment is for one and a half hour (1.5) assignment or less in duration, one

(1) interpreter for such assignments shall be provided. Interpreters shall receive a 15-minute break after every 45 minutes of continuous interpreting.

3.1.9. Unless it is specifically requested by the COR, all assignments scheduled for longer than three hours (3), shall have two (2) interpreters assigned to ensure quality and effective communication over the entire duration of the assignment.

3.1.10. If the Contractor believes due to the circumstances surrounding the assignment that more than the number of interpreters authorized above are required to provide adequate interpreter assignment, additional interpreters may be assigned, but only after the Contractor has consulted with and obtained prior approval by email from the COR. The number of additional interpreters provided for any assignment or event shall be kept to the minimum necessary to provide quality and effective assignment. Confirmation of the number of interpreters that rendered services shall be reported to the COR.

3.1.11. Contractor shall have a working knowledge of and daily access to email and telephones, and shall be staffed sufficiently during business hours identified in paragraph 3.1.12 below to assign interpreters, and handle scheduling issues as they arise by telephone or email during the day.

3.1.12. Contractor shall be staffed adequately enough between the hours of 8:00 AM thru 5:00 PM of each business working day to receive and answer calls and e-mails for future and short notice interpreter assignments. To facilitate short notice assignment requests within two business days, the

Contractor shall provide the COR with one or more of the following: a 24-hour on-call pager(s), cell number(s), e-mail(s), and/or phone number(s) that the Contractor shall either answer immediately or respond to within two hours. Because it is for short notice request(s), if the Contractor chooses to not respond within the two-hour requirement, then the COR may contact another Contractor to attempt to fill the assignment.

3.1.14. Each Wednesday, by 3:00 PM EST, the Contractor shall provide to the COR, via email, verification of assigned interpreters for the upcoming week’s scheduled assignments (The following

Monday thru Friday). All requests that were submitted within the last two business days (current week’s Monday and Tuesday) would not have to be included if Contractor is still working those open assignments. However, the Contractor must notify the COR immediately upon knowledge of inability to fill an assignment request; the Contractor shall not wait until 3:00 PM on Wednesdays to inform the

COR of such instances so as to allow the COR to attempt to fill the assignment via other options. If any additional assignment requests are added for the following week after the initial report on

Wednesday, the Contractor shall provide an updated schedule not later than 1:00 PM) on Friday of the current week. If Contractor scheduling of assignments is not confirmed within the listed time constraints, the Government reserves the right to pursue alternate means to fulfill the assignment.

3.1.15. If more than two weeks advanced notice provided to the Contractor for request for assignments, the Contractor shall include the confirmation of all scheduled interpreters for future assignments in the weekly Wednesday report, not just the following week’s assignments.

Example: If the Contractor is given a request six (6) weeks in advance, the Contractor shall include the

“assigned” interpreter for that future assignment in every Wednesday report as a confirmed scheduled interpreter. As stated above, the COR will make a determination for required contract support and provide as much advanced notice to the Contractor as possible but is limited to the date the COR is made aware of the requirement.

3.2. Business Protocol

3.2.1. The Contractor shall provide their professional portfolio of their services to the COR. The portfolio shall include the names of interpreters that meet the Government’s requirements, a copy of their Registry of Interpreters for the Deaf (RID) card. Before any interpreter works at a Bay Pines

VAHCS event their professional folio must be sent and reviewed by the COR.

3.2.2. The sign language interpreter(s) certification information shall be kept up to date and current copies of all applicable documents including, but not limited to updated/renewed credentials shall be on file with the Contractor and if needed made available upon request to the Government COR to become part of the official file.

3.2.3. The Contractor and the sign language interpreter(s) shall not act as agents or employees of the

Federal Government.

3.2.4. The Contractor and the sign language interpreter(s) shall not discuss personal business;

distribute personal business cards or promote themselves or the Contractor while on assignment in order to develop clientele from assignment(s) originating from the Federal Government.

3.2.5. The Contractor and the sign language interpreter(s) shall adhere to the Bay Pines employee codes of conduct.

3.3. Interpreter Qualifications and Requirements

3.3.1. Contractor shall have interpreters on staff that can use American Sign Language (ASL), Signed

English (SE), and Manually Coded English (MCE) to perform interpreting for Deaf and/or Hard of

Hearing employees and applicants.

-Ability to Interpret Voice to Sign Language;

-Ability to Interpret Sign Language to Voice.

-Possess strong listening, research, memory, and American Sign Language skills.

-Ability to sign in many various situations, including but not limited to meetings, small groups, large groups, and one-on-one.

-Ability to perform in a challenging, creative, formal, and virtual working environment.

-Ability to sign in a work training environment involving various technical terms and acronyms specific to this government agency.

-Excellent customer service skills. Ability to establish and maintain positive working relationships (to include but not limited to) veterans, leadership, stakeholders, and peers.

3.3.2. Certifications for all Contractor supplied interpreters must be obtained from a recognized certifying organization. Interpreters need to be nationally certified by either NAD (National

Association of the Deaf), RID (Registry of Interpreters for the Deaf), ASLPI (American Sign Language

Proficiency Interview), or an equivalent certification program.

Or

Meet minimum education requirements by possessing: an undergraduate or graduate degree from an accredited college or university with a major study in a field related to either interpretation or

American Sign Language (ASL) studies.

The Contractor’s employees and sub-contractors shall abide by all state and local laws, current and future, in regard to certification of all interpreters. From time to time Bay Pines VAHCS will require interpreters that are qualified to interpret in a legal setting.

3.3.3. The Contractor shall provide quality assignments of Nationally Certified sign language interpreter(s) that practice the knowledge of and adherence to the tenets of the National Association of the Deaf (NAD) NAD-RID Code of Professional Conduct. The complete version of the NAD-RID Code of Professional Conduct may be found at the following web address: http://www.rid.org/ethics/code-of-professional-conduct/

3.3.4. All parties involved agree that all information obtained while on assignment(s) shall be kept strictly confidential and shall not be used or disclosed to others after completed assignment(s). All interpreters shall be required to sign non-disclosure agreements and turn it in to the COR prior to performing any assignment under this contract at any location.

3.3.5. Sign language interpreters must possess fluency of sign language on the entire sign language continuum to effectively facilitate communication between Deaf and Hard of Hearing employees and hearing employees.

3.3.6. Many of the services in the Bay Pines VAHCS deal with language and acronyms that are technical in nature, relate to complex medical issues, or are unique to the Government. If requested by the

Contractor, the COR will provide a written list of standard acronyms or language specifically used by the department or program office that is the subject of a request for an interpreter. The Contractor must take this unique environment into consideration when providing interpreters.

When possible, the Contractor should supply interpreters with professional backgrounds through education or life experience (such as military assignment, or technical degrees) that enhance their capacity to communicate technical information in a Government or medical setting.

3.3.7. Sign language interpreter(s) supplied under this contract shall have the ability to accurately interpret in a variety of settings, have the ability to keep pace with communications in conferences, meetings, seminars, training classes, etc., and have the ability to abstract, select and highlight information within context when dealing with complicated concepts, idioms, etc.

http://www.rid.org/ethics/code-of-professional-conduct/ http://www.rid.org/ethics/code-of-professional-conduct/

3.3.8. The sign language interpreter(s) supplied under this contract shall have the ability to negotiate with speakers as “colleagues” to mediate pace of communication as necessary and appropriate; or voice interpret when a Deaf or Hard of Hearing person’s speech is not easily understood.

3.3.9. Sign language interpreter(s) supplied under this contract shall have the knowledge and diversity of culture and skill required to prepare for each interpreting assignment, including knowledge needed to assist in setting up an environment that is conducive to meeting the communication needs of both the hearing and Deaf or Hard of Hearing participants in an assigned event or assignment.

3.3.10. Sign language interpreters supplied under this contract shall have the ability to assess and adapt to the language needs of the Deaf or Hard of Hearing consumer and to apply analytical skills necessary to determine which communication modes the Deaf or Hard of Hearing consumer is using.

3.3.11. Sign language interpreter(s) supplied under this contract shall be professionally dressed. They shall be well groomed and dressed in an acceptable manner that is appropriate to the situation which usually involves business meetings or platform interpreting. Contractor will provide a copy of their internal dress code.

3.3.12. The Government COR will evaluate and rate the Contractor’s performance in meeting the requirements of this contract in the Contractor Performance Assessment Reporting System (CPARS). If applicable, the ratings may include these areas: Quality, Schedule, Cost Control, Management, Regulatory, etc.

3.3.13. Each sign language interpreter supplied pursuant to this contract will be evaluated periodically and/or randomly by the COR and/or possibly by the Contract Specialist/Officer assigned to the contract to help ensure quality control of the interpreters supplied in accordance the PWS and contract. Additionally, the Government Deaf and Hard of Hearing employees served by an assigned interpreter may fill out evaluation forms upon completion of the assignment.

3.3.14. The Contractor shall be notified following any evaluation if there is something observed that is deemed not in compliance with the terms and conditions of the contract, and given the opportunity to address the matter appropriately with a Corrective Action Plan (CAP) or other measure deemed appropriate by the Contracting Officer or COR, as an agent of the Contracting Officer.

3.4. Assignments

3.4.1. Assignments may be scheduled by the Government under this contract for any time or day in accordance with the contract and the appropriate CLINs.

3.4.2. All assignments shall begin at the scheduled start time.

3.4.3. Unless otherwise instructed by the COR, all sign language interpreter(s) provided under this contract shall stay on the assignment(s) for the indicated time; regardless of the length of an assignment. Prior to each scheduled event, the sign language interpreter(s) provided pursuant to this contract shall make personal contact with the supported employee. This can be done onsite prior to the commencement of the event. At the time of the scheduled event, the sign language interpreter(s) shall report to the Government contact person identified for the assignment to check in.

3.4.4. In the event an interpreter supplied under this contract arrives to an assignment that has been canceled, the interpreter shall go to the HR Office, Building 37, 1st Floor, Room #112 to either be released or reassigned.

3.4.2. All assignments shall not exceed their original stop time.

3.4.9. When multiple assignments are scheduled back to back (but still 1 to 2 hours each) under this contract using the same sign language interpreter(s), there shall be no separate billings by the

Contractor for those assignment; e.g. if an interpreter is working three (3) separate assignments all 1 to 2 hour each or less (and all within walking distance of each other) and each individual assignment is basically right after the previous one, then the Contractor can just bill for a six (6) hour period.

However, if the same interpreter is working multiple assignments that are only 1 hour each back to back, then the contractor cannot bill the two-hour minimum for each…only the last assignment could be billed for the two-hour minimum.

3.4.10. For any assignment(s) under this contract for six (6) or more hours in duration, the assigned interpreters shall follow the break schedule of the deaf person(s) they are assigned to work with.

3.4.11. If an interpreter(s) has a morning assignment and then a separate follow on afternoon assignment and there is a break in time between the assignment, the interpreter(s) may leave and come back to and from the assigned area(s) but may not bill for any additional mileage for that day.

3.5. Client Non-Attendance (“No Show”)

3.5.1. In the event a Government client (Deaf or Hard of Hearing employee) is late for a scheduled assignment, the interpreter assigned to the event may consider the client to be a “no show” if the client has not arrived within thirty (30) minutes after the scheduled start time.

3.5.2. In the event the client is a “No Show”, the interpreter(s) assigned shall report to the COR (or HR office in the absence of the COR) for either reassignment or release. The interpreter may not leave the assigned campus until the departure has been approved by the COR or HR office.

3.6. Interpreter Attendance and Non-Attendance (“No Show”)

3.6.1. Sign language interpreter(s) provided by the Contractor shall allow sufficient time to get through security and report to the site of the covered meeting or event on time. Multiple instances of unexcused tardiness shall not be tolerated. The Government reserves the right to rely on such instances of tardiness as the basis for placing interpreters on a “Not to Send” list. Only the Contracting

Officer can make the determination to have a particular interpreter on said list, and will justify it in writing to the Contractor. If an instance of tardiness/delay by an interpreter is anticipated due to some known or reported circumstances (e.g. like they call because of an accident that has a road blocked), the Contractor must inform the COR of the anticipated delay so that the customer can be informed and possibly the meeting time adjusted to allow for the delay.

3.6.1.1. “Excusable Delay” is a delay that is beyond the Contractor’s (sub-contractor’s) control. Such as in instances when driving to an assignment, an interpreter gets stuck in traffic due to an accident that has the current route blocked and no alternates are available (such accidents can be verified).

Instances of an interpreter just leaving too late in order to get to the assignment on time are not excusable. All instances will be evaluated on a case by case basis by the COR and or Contracting

Officer.

3.6.2. If a sign language interpreter provided under this contract is late by more than fifteen (15) minutes for a scheduled meeting or event, the Government may treat the interpreter as a “no show” and be relieved of responsibility for payment if the Government cancels the meeting or event. If the

Government elects to proceed with the meeting or event on a delayed basis due to the late arrival of the assigned interpreter, the sign language interpreter shall be required to interpret the meeting or event. The Contractor shall not bill for an amount payable to the Contractor under this contract for a time increment equal to the duration of the tardiness of the interpreter, regardless of the duration of the assignment to include the 2-hour minimum. The Contractor shall bill for the actual time of service provided for the assignment based on 15-minute increments.

3.6.3. If there is a no show by a sign language interpreter provided under this contract, the

Government will not pay any invoice submitted with respect to that assignment. Repeated offenses shall be reported to the Contracting Officer and reflected on monthly COR report.

3.6.4. The Contractor may replace a scheduled interpreter for an assignment if they have provided notice to the COR that the originally assigned interpreter will be unacceptably delayed or will not be able to make the assignment at all. As long as an approved (COR must approve in each instance) interpreter is provided in a timely manner for the assignment, the Contractor may bill as to the original assignment.

3.7. Cancellations

3.7.1. The Government will only deal directly with the Contractor and not with interpreters supplied by the Contractor for all cancellations whether Government or Contractor.

3.7.2. If a scheduled sign language interpreter(s) supplied by the Contractor is not available to cover the scheduled meeting or event, and the Contractor is unable to provide an acceptable replacement, the Contractor shall notify the COR of the situation as soon as the Contractor is made aware of the situation. Delivery of this notice does not relieve the Contractor of its obligation to provide the qualified personnel necessary to fulfill the assignment(s), and the scheduled event cancellation will be annotated in the monthly COR performance report for the assigned contractor.

3.7.3. All Contractor cancellations (and any potential cancellations) shall be submitted to the COR via email. Telephone calls are permitted for timely notification, but follow-up emails confirming assignment cancellations are required. Though not considered to be quite as severe as a blatant “No

Show”, multiple cancellations will be reflected in a negative contractor performance report in the monthly COR report for the assigned contractor for this contract, and para 3.6.4. will apply.

3.7.4. Assignments to be performed under this contract may be cancelled by the COR or HR representative by email, not less than twenty-four (24) hours in advance of the scheduled start time for the meeting or event, Monday through Friday, with no penalty or charges for the cancelled assignments. If a previously scheduled assignment(s) is/are canceled by the COR, and the COR has given the Contractor the 24-hour notice herein described, no invoice for payment shall be submitted by the Contractor and the Government shall have no obligation to make any payment with respect to the cancelled assignment.

3.7.5. If the Government provides less than twenty-four (24) hours advance notice of a cancellation(s) of an assigned meeting or event scheduled longer than two (2) hours, then the contractor may submit an invoice for a cancellation fee of $100.

3.7.6. The Government may reschedule any assigned request with two (2) hours advance notice to the contractor. If the assigned meeting or event, is not rescheduled within 10 business days then the

Contractor may submit an invoice for all labor charges incurred by the Contractor which shall not exceed the cost for the initial day of a meeting or event scheduled for multiple days.

3.7.7. Interpreters provided under this contract shall not report to work or to a scheduled meeting or event if the meeting or event is cancelled due to the closure of the assigned location because of inclement weather or an emergency. In such cases, due to official closure, the Contractor may not bill for any cancelled events.

3.8. Billing

3.8.2. The monthly invoices submitted by the Contractor shall be submitted in a format that is a

Microsoft Office compatible format and agreed to by the COR. The invoice shall contain the following:

1. Invoice Number

2. Date of assignment

3. Assignment start/stop time

4. Interpreter’s name

5. Name of Deaf or Hard of Hearing client (NA for patients)

6. Location (Building and Room number when applicable)

7. If the assignment was canceled within 24 hours

8. Interpreter Fee

9. Total charge

3.8.3 The monthly invoices submitted by the Contractor shall follow the calendar and shall include the time from the first day of the month through the last day of the month, with each monthly invoice being due by the end of the first week of the following month.

3.9. Security Requirements

3.9.1. The Contractor is responsible for obtaining appropriate access badges for all staff interpreters and all sub-contractors in accordance with the security access policies and procedures for the Bay

Pines VAHCS and other assigned areas. Contractor personnel shall not receive permanent badges for access to post.

3.9.2 Contractor personnel shall adhere to all local security policies and regulations while on Bay Pines

VAHCS property.

3.10 Deliverables

001 – Interpreter Confirmation Email – As required

002 – Verification of Assigned Interpreters – Weekly

003 – Invoice Verification - Monthly

4. PERFORMANCE AND QUALITY STANDARDS

Performance Objective (The required service)

Standard Performance Threshold

(This is the maximum error rate) Method of

Surveillance

Remedy

PRS #1

Interpreter arrives on time to scheduled events.

The interpreter is ready and seated when the meeting begins.

99% Compliance Customer, COR and supervisor feedback.

Non-payment commensurate with the services not provided established in the PWS.

PRS #2

Interpreter services are provided. Additional interpreters are provided on short notice when requested.

Requests received more than 5 days in advance shall be filled, requests less than 5 days shall be filled and requests received less than 24 hours are filled by the Contractor.

98% fill rate for over 5 days 90% fill rate for less than 5 days 85% fill rate for less than 24 hours

COR monitoring through 100% inspection

Non-payment commensurate with the services not provided established in the PWS.

PRS #3

Sign language interpreters provide clear interpreting services.

Both the Deaf or Hard of Hearing employees/guests and the hearing employees experience effective communication.

Zero deviation from standard Customer, COR and supervisor feedback.

Non-payment commensurate with the services not provided established in the PWS.

PRS #4

Contractor shall send only qualified interpreters.

Contractor shall send only Nationally Certified interpreters to Bay Pines VAHCS.

100% compliance The COR will check on each interpreter's credentials.

Non-payment commensurate with the services not provided established in the PWS.

PRS #5

Contractor responds to emails in a timely fashion.

All emails are replied to according to PWS unless otherwise specified.

Zero deviation from standard COR monitoring through 100% inspection

Non-payment commensurate with the services not provided established in the PWS.

VA ACQUISITION REGULATION SOLICITATION PROVISION AND CONTRACT CLAUSE

NOTE: This clause will undergo official rule making by the Office of Acquisitions and Logistics.

The below language will be submitted for public review through the Federal Register. The final wording of the clause may be changed from what is outlined below based on public review and comment. Once approved, the final language in the clause can be obtained from the Office of Acquisitions and Logistics Programs and Policy.

1. SUBPART 839.2 – INFORMATION AND INFORMATION TECHNOLOGY SECURITY

REQUIREMENTS

839.201 Contract clause for Information and Information Technology Security:

a. Due to the threat of data breach, compromise or loss of information that resides on either VA-owned or contractor-owned systems, and to comply with Federal laws and regulations, VA has developed an Information and Information Technology Security clause to be used when VA sensitive information is accessed, used, stored, generated, transmitted, or exchanged by and between VA and a contractor, subcontractor or a third party in any format (e.g., paper, microfiche, electronic or magnetic portable media).

b. In solicitations and contracts where VA Sensitive Information or Information Technology will be accessed or utilized, the CO shall insert the clause found at 852.273-75, Security.

Requirements for Unclassified Information Technology Resources.

2. 852.273-75 - SECURITY REQUIREMENTS FOR UNCLASSIFIED INFORMATION

TECHNOLOGY RESOURCES (INTERIM- OCTOBER 2008)

As prescribed in 839.201, insert the following clause:

The contractor, their personnel, and their subcontractors shall be subject to the Federal laws, regulations, standards, and VA Directives and Handbooks regarding information and information system security as delineated in this contract.

• Appendix C: #1, #2a, b, e, #3a, d, e, f, g, j, k #6 (all), #7(all), #9(all)

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.

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.

e. 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.

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. If a VHA contract is terminated for cause, the associated BAA must also be terminated and appropriate actions taken in accordance with VHA Handbook 1600.01, 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.

6. 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.

7. LIQUIDATED DAMAGES FOR DATA BREACH

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

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

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

(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 $______ 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.

9. 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-day's 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.

10. 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 VA Cyber Security Awareness and Rules of Behavior training and annually complete required security training;

(3) Successfully complete the appropriate VA privacy training and annually complete required privacy training; and

(4) Successfully complete any additional cyber security or privacy training, as required for VA personnel with equivalent information system access [to be defined by the VA program official and provided to the contracting officer for inclusion in the solicitation document – e.g., any role-based information security training required in accordance with NIST Special Publication 800-16, Information Technology Security Training Requirements.]

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

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.

RECORDS MANAGEMENT OBLIGATIONS

A. Applicability

This clause applies to all Contractors whose employees create, work with, or otherwise handle Federal records, as defined in Section B, regardless of the medium in which the record exists.

B. Definitions

“Federal record” as defined in 44 U.S.C. § 3301, includes all recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them.

The term Federal record:

1. includes Bay Pines VA Healthcare System records.

2. does not include personal materials.

3. applies to records created, received, or maintained by Contractors pursuant to their Bay Pines

VA Healthcare System contract.

4. may include deliverables and documentation associated with deliverables.

C. Requirements

1. Contractor shall comply with all applicable records management laws and regulations, as well as

National Archives and Records Administration (NARA) records policies, including but not limited to the Federal Records Act (44 U.S.C. chs. 21, 29, 31, 33), NARA regulations at 36 CFR Chapter XII

Subchapter B, and those policies associated with the safeguarding of records covered by the

Privacy Act of 1974 (5 U.S.C. 552a). These policies include the preservation of all records, regardless of form or characteristics, mode of transmission, or state of completion.

2. In accordance with 36 CFR 1222.32, all data created for Government use and delivered to, or falling under the legal control of, the Government are Federal records subject to the provisions of 44 U.S.C. chapters 21, 29, 31, and 33, the Freedom of Information Act (FOIA) (5 U.S.C. 552), as amended, and the Privacy Act of 1974 (5 U.S.C. 552a), as amended and must be managed and scheduled for disposition only as permitted by statute or regulation.

3. In accordance with 36 CFR 1222.32, Contractor shall maintain all records created for

Government use or created in the course of performing the contract and/or delivered to, or under the legal control of the Government and must be managed in accordance with Federal law. Electronic records and associated metadata must be accompanied by sufficient technical documentation to permit understanding and use of the records and data.

4. Bay Pines VA Healthcare System and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including…