36C25021Q0298 0003.docx

36C25021Q0298 36C25021Q0298

5. PROJECT NUMBER (if applicable)

CODE

7. ADMINISTERED BY

2. AMENDMENT/MODIFICATION NUMBER

CODE

6. ISSUED BY

8. NAME AND ADDRESS OF CONTRACTOR

4. REQUISITION/PURCHASE REQ. NUMBER

3. EFFECTIVE DATE

9A. AMENDMENT OF SOLICITATION NUMBER

9B. DATED

PAGE OF PAGES

10A. MODIFICATION

OF CONTRACT/ORDER NUMBER

10B. DATED

BPA NO.

1. CONTRACT ID CODE

FACILITY CODE

CODE

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers

E. IMPORTANT:

is extended,

(a) By completing Items 8 and 15, and returning __________ copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or electronic communication which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR

ACKNOWLEDGMENT TO BE RECEIVED AT

THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY is not extended.

12. ACCOUNTING AND APPROPRIATION DATA

(REV. 11/2016)

is required to sign this document and return ___________ copies to the issuing office is not, A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

15C. DATE SIGNED

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADM

INISTRATIVE CHANGES

SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by letter or electronic communication, provided each letter or electronic communication makes reference to the solicitation and this amendment, and is received prior to the opening hour and d ate specified.

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER

Contractor

16C. DATE SIGNED

14. DESCRIPTION OF AMENDMENT/MODIFICATION

16B. UNITED STATES OF AMERICA

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER

16A. NAME AND TITLE OF CONTRACTING OFFICER

15B. CONTRACTOR/OFFEROR

STANDARD FORM 3

PREVIOUS EDITION NOT USABLE

Prescribed by GSA - FAR (48 CFR) 53.243 (Type or print) (Type or print) (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

(Number, street, county, State and ZIP Code) (If other than Item 6) (Specify type of modification and authority) (such as changes in paying office, appropriation date, etc.)

(If required)

(SEE ITEM 11)

(SEE ITEM 13)

(X)

CHECK

ONE

13. THIS ITEM APPLIES ONLY TO

MODIFICATIONS OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

(Signature of person authorized to sign) (Signature of Contracting Officer) Department of Veterans Affairs Network Contracting Office 10 24 Frank Lloyd Wright Drive Lobby M, Suite M2200 Ann Arbor MI 48105 Y Department of Veterans Affair Network Contracting Office 10 24 Frank Lloyd Wright Drive Lobby M, Suite M2200 Ann Arbor MI 48105 To all Offerors/Bidders

36C25021Q0298 04-23-2021

X X X ** HOUR & DATE for Receipt of Offers is EXTENDED to: April 30, 2021 at 1:00 pm X The purpose of this Amendment is to answer additional questions received by offerors regarding the referenced solicitation. This amendment replaces B.2 Price Schedule and B.3 Statement of Work in their entirety.

Kristina L. Peart Contracting Officer Table of Contents

B.1 ADDITIONAL QUESTIONS ADDED ON 4/28/2021

Question 9: Is there an incumbent contractor currently providing these services? If so, could you please provide the contract number and/or name of the contractor?

Answer 9: Contractor: Lighthouse for The Blind of Houston Contract No.: GS-03F-085CA VA250-17-F-1286 Question 10: Could the VA specify the appropriate labor category to be utilized under the SCA? Or, alternatively, is it expected that the contractor submits a conformance package for the role? Does the agency believe this role is one for which the SCA is applicable?

Answer 10: SCA does apply. The role and position number is 12195 - Medical Transcriptionist Question 11: The Department of Labor Wage Determination provided is 2015-4787 for the state of Indiana. Could you explain why this particular Wage Determination was provided? It is our understanding that the appropriate Wage Determination would be utilized depending on where the work is being performed. Could you please confirm whether our understanding of this is accurate?

Answer 11: Items that need to be transcribed will be sent to wherever the contractor is located. Being that services will be performed remotely; the county and state of the awardee is currently unknown, so we have chosen to use the Wage Determination report for Marion County. The Wage Determination will be updated once we know the county and state of the awardee, until then we are utilizing the wage determination for Marion County, and will update to the correct wage determination Question 12: The solicitation states in Section 6 that, the “Contractor shall have the ability to: ii. Utilized FIPS 140-2 certificate software”. Could you please provide additional details as to what software must be utilized by the contractor and any additional details that would be informative relating to this requirement?

Answer 12: FIPS 1402 compatibility is built into the provided USB drives. As a result, Section 6 Item ii of the solicitation’s statement of work, referring to “Utilized FIPS 140-2 certificate software” have been removed and no longer applies. In addition, Section 6 Item i of the solicitation’s statement of work have been amended to state the following:

a. Contractor shall have the ability to:

i. Receive and ship digital audio files via UPS shipment, on VA-approved encrypted USB drive (or VA-approved equivalent mode)(that is FIPS 140-2 compliant), in Microsoft Windows Media Player compatible format, or VA-approved equivalent, B.2 PREVIOUSLY SUBMITTED QUESTIONS AND ANSWERS FROM ALL OFFERORS:

Question 1: Should the quote be priced by the dictated minute, by the line, by job or by something different?

Answer 1: The quote provided for this solicitation will be priced by the line.

Question 2: Do we submit a proposal to you via email or through beta.SAM.gov?

Answer 2: In regard to solicitation 36C25021Q0298, only responses that are emailed to Janel.Tate-Montgomery@va.gov will be considered.

Question 3: Is this work done remotely, or are you looking for on-site transcription staff for this RFQ?

Answer 3: All work will be done remotely.

Question 4: Where is Appendix C?

Answer 4: Appendix C has been included in B.4 VA Handbook 6500 6 Appendix C Transcription on page 10.

Question 5: What is the length of time for retention of records created?

Answer 5: Appendix C-Section 3. 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.

Also, the USB will need to be returned within 30 days of termination of the contract.

Question 6: Would the use of a network employing Windows 2019 RS with bit lock and FIPS-140-2 encryption to receive voice and transfer completed document be allowed, rather than physical transfers?

Answer 6: No. Audio files will be transferred using VA-approved, encrypted USB drives, provided by, and property of, Richard L Roudebush VAMC or VA-approved equivalent.

Question 7: Will formats be supplied?

Answer 7: Font used should be Calibri, Ariel, or Times New Roman. Text is single spaced with a line between speakers. No additional spacing between paragraphs.

Question 8: Would it be possible to see a redacted example of the finished transcript?

Answer 8: A redacted example of the finished transcript has been attached to this solicitation amendment.

B.3 PRICE/COST SCHEDULE

ITEM INFORMATION

Contractor shall provide research transcription service for multiple projects to the Richard L. Roudebush VA Medical Center, located at 1481 W. 10th Street, Indianapolis, IN 46202, for the period of May 1, 2021 through April 30, 2022 with two (2) one (1) year options to be exercised at the Government’s discretion.

Transcription Per line- Normal Priority Contract Period: Base POP Begin: 05-01-2021 POP End: 04-30-2022

Transcription Per line- Rush Priority Contract Period: Base POP Begin: 05-01-2021 POP End: 04-30-2022

Transcription Per line- Normal Priority Contract Period: Option 1 POP Begin: 05-01-2022 POP End: 04-30-2023

Transcription Per line- Rush Priority Contract Period: Option 1 POP Begin: 05-01-2022 POP End: 04-30-2023

Transcription Per line- Normal Priority Contract Period: Option 2 POP Begin: 05-01-2023 POP End: 04-30-2024

Transcription Per line- Rush Priority Contract Period: Option 2 POP Begin: 05-01-2023 POP End: 04-30-2024

B.4 STATEMENT OF WORK

1. General Overview Richard L Roudebush VA Medical Center, Research Service, located at 1481 W 10th Street, Indianapolis, IN 46202 requires research transcription services. Transcription services shall be provided for multiple projects. Contractor shall transcribe audio files (provided by researchers in Microsoft Windows Media Player compatible format, or equivalent) in Microsoft Word format to be analyzed by VA researchers. Services shall be provided for a period of one (1) year, beginning May 1, 2021 through April 30, 2022, with two (2) option years exercisable at the Government’s discretion.

2. Definitions and Acronyms Transcript - Verbatim record of recorded interviews, presented in Microsoft Word format, according to specifications of research team Audio - Recordings of interviews, focus groups, and other research-related activities, delivered in Microsoft Windows Media Player compatible format, or equivalent UPS - United Parcel Service VA - Department of Veterans Affairs VAMC - VA Medical Center USB - Universal Serial Bus

3. Place of Performance Richard L Roudebush VAMC, Research Service will provide audio files (as needed), loaded on VA-approved, encrypted USB thumb drives, via UPS shipment, including a packing list and prepaid return UPS label in each shipment. Contractor shall transcribe audio on each drive. Audio and corresponding Word format transcripts are to be shipped back on the same drive.

4. Period of Performance and Schedule

a. Contract period of performance dates:

b. Frequency of shipment:

i. Richard L Roudebush VAMC, Research Services will ship audio files on an as-needed basis.

5. Equipment List

a. Audio files will be transferred using VA-approved, encrypted USB drives, provided by, and property of, Richard L Roudebush VAMC or VA-approved equivalent.

b. Contractor is liable for any damage occurring to said drives when in contractor’s possession. Any damaged drive shall be replaced at Contractor expense.

6. Contractor Requirements

a. Contractor shall have the ability to:

i. Receive and ship digital audio files via UPS shipment, on VA-approved encrypted USB drive (or VA-approved equivalent mode), in Microsoft Windows Media Player compatible format, or VA-approved equivalent,

ii. Utilized FIPS 140-2 certificate software,

iii. Enter into a Business Associate Agreement (BAA) agreeing to comply with requirements of the Privacy and Security Rules as set forth by the Department of Veterans Affairs Veterans Health Administration,

iv. Enhance audio to ensure accurate transcription,

v. Transcribe digital files into Microsoft Word format, including the following, as specified by each research team:

1. Header (example):

Interviewee: [File name] Date\Time of Interview: [MM/DD/YYYY, HH:MM] Location of Interview: [As applicable] Transcriptionist: [Initials]

2. Single or double line spacing

3. INTERVIEWER and PARTICIPANT identification, as needed

4. Time stamps, as needed, e.g., [HH:MM:SS]

5. Identification of inaudible content, e.g., [Inaudible, HH:MM:SS]

6. Transcription free of spelling and grammatical errors, unless verbatim grammatical errors expressed by interviewer(s) or participant(s)

vi. Handle varying volumes of work, maintaining staff available to meet rush requirements or high-volume period needs,

vii. Accurately transcribe medical language and terminology,

viii. Omit speech disfluencies, e.g., “uh”, “like”, “uhm”, or “er” as requested,

ix. Include meaningful pauses, laughter, or disruptions, e.g., [thinking], [nurse enters room], or [laughs] when relevant, and

x. Maintain current status on any required VA training, e.g., VA Talent Management Systems (TMS), Privacy and HIPAA Training and VA Privacy and Information Security Awareness and Rules of Behavior.

b. Description of files:

i. VA will provide files:

1. Recorded in English (NOTE: Some participants will have regional accents),

2. Averaging approximately 60-minutes in length, although some may be as brief as 10 minutes, while others may extend to 2 hours in length,

3. Containing audio obtained in multiple settings, including, e.g.,:

a. One-on-one interviews (interviewer and research subject);

b. Two-on-one interviews (interviewers working in a team with one research subject);

c. One-on-two interviews (interviewer working with participant and spouse or partner);

d. Interviews completed by phone or internet; or

e. Focus groups consisting of 1-2 interviewers and 8-12 research subjects;

4. Including specification of formatting, e.g., line spacing, removal of speech disfluencies, etc. as described above.

ii. Contractor shall return files:

1. As per individual research team specific requirements within contractor abilities described above.

c. Volume and timing:

i. Contractor shall have the flexibility to handle varying volumes of work and shall have staff available to meet rush requirements or high-volume period needs.

ii. Files will be sent to contractor on an intermittent basis. Completed transcriptions shall be returned to and received by Richard L Roudebush VAMC within 21 calendar days from date of receipt of UPS delivery to contractor or VA-approved equivalent.

iii. Transcription service must have the ability to “rush” a job and have it completed and returned in 10 calendar days from date of receipt of UPS delivery to contractor. It is noted that additional charges shall apply for “rush” service.

iv. Audio files shall be returned to the Richard L Roudebush VAMC after transcription is complete.

v. Contractor shall bill only for contractor completed work, payable upon receipt and verification by Richard L Roudebush research personnel.

vi. Contractor shall estimate per 1 base and 2 option years

1. 78,850 lines at normal priority per year

2. 4,150 lines at rush priority per year

3. Priced by line, defined as “visible line of black text, Microsoft Word format, 12-point font, 1-inch margins”

4. Overall number of lines subject to research project requirements, some of which are not knowable at this juncture

5. Richard L Roudebush VAMC HSR&D will provide for all UPS shipment and return sipping as needed.

7. Reporting Requirements

a. Richard L Roudebush research staff will include a packing list, specifying file name, corresponding study, and rush or normal priority for each audio file.

b. Contractor shall provide a transcription itemization spreadsheet in Excel accompanying each contractor invoice.

i. Spreadsheet shall itemize billing according to file and study as indicated on the supplied packing list. This is to enable Richard Roudebush VAMC research staff to track overall spending by study.

ii. Invoices will not be paid without receipt and verification of corresponding itemization spreadsheet.

8. Applicable Documents

a. In the performance of the tasks associated with this contract, the Contractor shall comply with the following requirements.

i. Identify all applicable documents, regulations, industry standards, VA requirements, etc. If the regulation/standard/statute is not readily available for all potential offerors, provide a copy of it so it can be included in the solicitation and contract.

9. General Requirements

a. It shall be understood that, throughout performance of the contract, the Contractor’s personnel, while on VA property, shall adhere to all requirements and regulations that govern the VA Health Care System and its property.

b. Among all other requirements, the VA Health Care System and its property is now entirely smoke-free.

10. Security Requirements

a. Please see Appendix C

11. National Archives and Records Administration (NARA) Records Management Language for Contracts

a. Citations to pertinent laws, codes and regulations such as 44 U.S.C. Chapter 21, 29, 31 and 33; Freedom of Information Act (5 U.S.C. 552); Privacy Act (5 U.S.C. 552a); 36 CFR Part 1222 and Part 1228.

b. Contractor shall treat all deliverables under the contract as the property of the U.S. Government for which the Government Agency shall have unlimited rights to use, dispose of, or disclose such data contained therein as it determines to be in the public interest.

c. Contractor shall not create or maintain any records that are not specifically tied to or authorized by the contract using Government ‘IT’ equipment and/or Government records.

d. Contractor shall not retain, use, sell, or disseminate copies of any deliverable that contains information covered by the Privacy Act of 1974 or that which is generally protected by the Freedom of Information Act.

e. Contractor shall not create or maintain any records containing any Government Agency records that are not specifically tied to or authorized by the contract.

f. The Government Agency owns the rights to all data/records produced as part of this contract.

g. The Government Agency owns the rights to all electronic information (electronic data, electronic information systems, electronic databases, etc.) and all supporting documentation created as part of this contract. Contractor must deliver sufficient technical documentation with all data deliverables to permit the agency to use the data.

h. Contractor agrees to comply with Federal and Agency records management policies, including those policies associated with the safeguarding of records covered by the Privacy Act of 1974. These policies include the preservation of all records created or received regardless of format [paper, electronic, etc.] or mode of transmission [e-mail, fax, etc.] or state of completion [draft, final, etc.].

i. No disposition of documents will be allowed without the prior written consent of the Contracting Officer. The Agency and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by 18 U.S.C. 2701. Records may not be removed from the legal custody of the Agency or destroyed without regard to the provisions of the agency records schedules.

j. Contractor is required to obtain the Contracting Officer's approval prior to engaging in any contractual relationship (sub-contractor) in support of this contract requiring the disclosure of information, documentary material and/or records generated under or relating to this contract. The Contractor (and any sub-contractor) is required to abide by Government and Agency guidance for protecting sensitive and proprietary information

B.5 VA HANDBOOK 6500 6 APPENDIX C TRANSCRIPTION

VA INFORMATION AND INFORMATION SYSTEM SECURITY/PRIVACY LANGUAGE FOR INCLUSION INTO CONTRACTS, AS APPROPRIATE

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.

ACCESS TO VA INFORMATION AND VA INFORMATION SYSTEMS

1. A contractor/subcontrator 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.

1. 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.

Contract personnel who require access to national security programs must have a valid security clearance. National Industrial Security Program (NISP) was established by Executive Order 12829 to ensure that cleared U.S. defense industry contract personnel safeguard the classified information in their possession while performing work on contracts, programs, bids, or research and development efforts. The Department of Veterans Affairs does not have a Memorandum of Agreement with Defense Security Service (DSS). Verification of a Security Clearance must be processed through the Special Security Officer located in the Planning and National Security Service within the Office of Operations, Security, and Preparedness.

Custom software development and outsourced operations must be located in the U.S. to the maximum extent practical. If such services are proposed to be performed abroad and are not disallowed by other VA policy or mandates, the contractor/subcontractor must state where all non-U.S. services are provided and detail a security plan, deemed to be acceptable by VA, specifically to address mitigation of the resulting problems of communication, control, data protection, and so forth. Location within the U.S. may be an evaluation factor.

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.

VA INFORMATION CUSTODIAL LANGUAGE

1. 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).

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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 COTR.

INFORMATION SYSTEM DESIGN AND DEVELOPMENT

1. NA

NA

NA

NA

NA

NA

NA

1. NA

(a) NA

(b) NA

1. NA

1. NA

NA

1. NA

1. NA

1. NA

NA

NA

NA.

NA

INFORMATION SYSTEM HOSTING, OPERATION, MAINTENANCE, OR USE

1. For information systems that are hosted, operated, maintained, or used on behalf of VA at non-VA facilities, contractors/subcontractors are fully responsible and accountable for ensuring compliance with all HIPAA, Privacy Act, FISMA, NIST, FIPS, and VA security and privacy directives and handbooks. This includes conducting compliant risk assessments, routine vulnerablity scanning, system patching and change management procedures, and the completion of an acceptable contingency plan for each system. The contractor’s security control procedures must be equivalent, to those procedures used to secure VA systems. A Privacy Impact Assessment (PIA) must also be provided to the COTR and approved by VA Privacy Service prior to operational approval. All external Internet connections to VA’s network involving VA information must be reviewed and approved by VA prior to implementation.

1. Adequate security controls for collecting, processing, transmitting, and storing of Personally Identifiable Information (PII), as determined by the VA Privacy Service, must be in place, tested, and approved by VA prior to hosting, operation, maintenance, or use of the information system, or systems by or on behalf of VA. These security controls are to be assessed and stated within the PIA and if these controls are determined not to be in place, or inadequate, a Plan of Action and Milestones (POA&M) must be submitted and approved prior to the collection of PII.

1. Outsourcing (contractor facility, contractor equipment or contractor staff) of systems or network operations, telecommunications services, or other managed services requires certification and accreditation (authorization) (C&A) of the contractor’s systems in accordance with VA Handbook 6500.3, Certification and Accreditation and/or the VA OCS Certification Program Office. Government-owned (government facility or government equipment) contractor-operated systems, third party or business partner networks require memorandums of understanding and interconnection agreements (MOU-ISA) which detail what data types are shared, who has access, and the appropriate level of security controls for all systems connected to VA networks.

1. The contractor/subcontractor’s system must adhere to all FISMA, FIPS, and NIST standards related to the annual FISMA security controls assessment and review and update the PIA. Any deficiencies noted during this assessment must be provided to the VA contracting officer and the ISO for entry into VA’s POA&M management process. The contractor/subcontractor must use VA’s POA&M process to document planned remedial actions to address any deficiencies in information security policies, procedures, and practices, and the completion of those activities. Security deficiencies must be corrected within the timeframes approved by the government. Contractor/subcontractor procedures are subject to periodic, unannounced assessments by VA officials, including the VA Office of Inspector General. The physical security aspects associated with contractor/subcontractor activities must also be subject to such assessments. If major changes to the system occur that may affect the privacy or security of the data or the system, the C&A of the system may need to be reviewed, retested and re-authorized per VA Handbook 6500.3. This may require reviewing and updating all of the documentation (PIA, System Security Plan, Contingency Plan). The Certification Program Office can provide guidance on whether a new C&A would be necessary.

1. The contractor/subcontractor must conduct an annual self assessment on all systems and outsourced services as required. Both hard copy and electronic copies of the assessment must be provided to the COTR. The government reserves the right to conduct such an assessment using government personnel or another contractor/subcontractor. The contractor/subcontractor must take appropriate and timely action (this can be specified in the contract) to correct or mitigate any weaknesses discovered during such testing, generally at no additional cost.

1. VA prohibits the installation and use of personally-owned or contractor/subcontractor-owned equipment or software on VA’s network. If non-VA owned equipment must be used to fulfill the requirements of a contract, it must be stated in the service agreement, SOW or contract. All of the security controls required for government furnished equipment (GFE) must be utilized in approved other equipment (OE) and must be funded by the owner of the equipment. All remote systems must be equipped with, and use, a VA-approved antivirus (AV) software and a personal (host-based or enclave based) firewall that is configured with a VA-approved configuration. Software must be kept current, including all critical updates and patches. Owners of approved OE are responsible for providing and maintaining the anti-viral software and the firewall on the non-VA owned OE.

1. All electronic storage media used on non-VA leased or non-VA owned IT equipment that is used to store, process, or access VA information must be handled in adherence with VA Handbook 6500.1, Electronic Media Sanitization upon: (i) completion or termination of the contract or (ii) disposal or return of the IT equipment by the contractor/subcontractor or any person acting on behalf of the contractor/subcontractor, whichever is earlier. Media (hard drives, optical disks, CDs, back-up tapes, etc.) used by the contractors/subcontractors that contain VA information must be returned to the VA for sanitization or destruction or the contractor/subcontractor must self-certify that the media has been disposed of per 6500.1 requirements. This must be completed within 30 days of termination of the contract.

1. Bio-Medical devices and other equipment or systems containing media (hard drives, optical disks, etc.) with VA sensitive information must not be returned to the vendor at the end of lease, for trade-in, or other purposes. The options are:

1. Vendor must accept the system without the drive;

1. VA’s initial medical device purchase includes a spare drive which must be installed in place of the original drive at time of turn-in; or

1. VA must reimburse the company for media at a reasonable open market replacement cost at time of purchase.

1. Due to the highly specialized and sometimes proprietary hardware and software associated with medical equipment/systems, if it is not possible for the VA to retain the hard drive, then;

The equipment vendor must have an existing BAA if the device being traded in has sensitive information stored on it and hard drive(s) from the system are being returned physically intact; and

Any fixed hard drive on the device must be non-destructively sanitized to the greatest extent possible without negatively impacting system operation. Selective clearing down to patient data folder level is recommended using VA approved and validated overwriting technologies/methods/tools. Applicable media sanitization specifications need to be pre-approved and described in the purchase order or contract.

A statement needs to be signed by the Director (System Owner) that states that the drive could not be removed and that (a) and (b) controls above are in place and completed. The ISO needs to maintain the documentation.

SECURITY INCIDENT INVESTIGATION

1. 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 COTR 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.

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.

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.

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

1. 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.

1. 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.

1. 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.

Based on the determinations of the independent risk analysis, the contractor shall be responsible for paying to the VA liquidated damages in the amount of $_37.50 per affected individual to cover the cost of providing credit protection services to affected individuals consisting of the following:

(1) Notification;

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

(3) Data breach analysis;

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

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

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

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.

TRAINING

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

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;

1. Successfully complete the VA Cyber Security Awareness and Rules of Behavior training and annually complete required security training;

1. Successfully complete the appropriate VA privacy training and annually complete required privacy training; and

1. Successfully complete any additional cyber security or privacy training, as required for VA personnel with equivalent information system access

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.

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.

MARCH 12, 2010 VA HANDBOOK 6500.6 APPENDIX D

CONTRACTOR RULES OF BEHAVIOR

This User Agreement contains rights and authorizations regarding my access to and use of any information assets or resources associated with my performance of services under the contract terms with the Department of Veterans Affairs (VA). This User Agreement covers my access to all VA data whether electronic or hard copy ("Data"), VA information systems and resources ("Systems"), and VA sites ("Sites"). This User Agreement incorporates Rules of Behavior for using VA, and other information systems and resources under the contract.

1. GENERAL TERMS AND CONDITIONS FOR ALL ACTIONS AND ACTIVITIES UNDER THE CONTRACT:

a. I understand and agree that I have no reasonable expectation of privacy in accessing or using any VA, or other Federal Government information systems.

b. I consent to reviews and actions by the Office of Information & Technology (OI&T) staff designated and authorized by the VA Chief Information Officer (CIO) and to the VA OIG regarding my access to and use of any information assets or resources associated with my performance of services under the contract terms with the VA. These actions may include monitoring, recording, copying, inspecting, restricting access, blocking, tracking, and disclosing to all authorized OI&T, VA, and law enforcement personnel as directed by the VA CIO without my prior consent or notification.

c. I consent to reviews and actions by authorized VA systems administrators and Information Security Officers solely for protection of the VA infrastructure, including, but not limited to monitoring, recording, auditing, inspecting, investigating, restricting access, blocking, tracking, disclosing to authorized personnel, or any other authorized actions by all authorized OI&T, VA, and law enforcement personnel.

d. I understand and accept that unauthorized attempts or acts to access, upload, change, or delete information on Federal Government systems; modify Federal government systems; deny access to Federal government systems; accrue resources for unauthorized use on Federal government systems; or otherwise misuse Federal government systems or resources are prohibited.

e. I understand that such unauthorized attempts or acts are subject to action that may result in criminal, civil, or administrative penalties. This includes penalties for violations of Federal laws including, but not limited to, 18 U.S.C. §1030 (fraud and related activity in connection with computers) and 18 U.S.C. §2701 (unlawful access to stored communications).

f. I agree that OI&T staff, in the course of obtaining access to information or systems on my behalf for performance under the contract, may provide information about me including, but not limited to, appropriate unique personal identifiers such as date of birth and social security number to other system administrators, Information Security Officers (ISOs), or other authorized staff without further notifying me or obtaining additional written or verbal permission from me.

g. I understand I must comply with VA’s security and data privacy directives and handbooks. I understand that copies of those directives and handbooks can be obtained from the Contracting Officer's Technical Representative (COTR). If the contractor believes the policies and guidance provided by the COTR is a material unilateral change to the contract, the contractor must elevate such concerns to the Contracting Officer for resolution.

h. I will report suspected or identified information security/privacy incidents to the COTR and to the local ISO or Privacy Officer as appropriate.

2. GENERAL RULES OF BEHAVIOR

a. Rules of Behavior are part of a comprehensive program to provide complete information security. These rules establish standards of behavior in recognition of the fact that knowledgeable users are the foundation of a successful security program. Users must understand that taking personal responsibility for the security of their computer and the information it contains is an essential part of their job.

b. The following rules apply to all VA contractors. I agree to:

(1) Follow established procedures for requesting, accessing, and closing user accounts and access. I will not request or obtain access beyond what is normally granted to users or by what is outlined in the contract.

(2) Use only systems, software, databases, and data which I am authorized to use, including any copyright restrictions.

(3) I will not use other equipment (OE) (non-contractor owned) for the storage, transfer, or processing of VA sensitive information without a VA CIO approved waiver, unless it has been reviewed and approved by local management and is included in the language of the contract. If authorized to use OE IT equipment, I must ensure that the system meets all applicable 6500 Handbook requirements for OE.

(4) Not use my position of trust and access rights to exploit system controls or access information for any reason other than in the performance of the contract.

(5) Not attempt to override or disable security, technical, or…