36C25520Q0038-001.pdf

DEPARTMENT OF VETERANS AFFAIRS MEDICAL CENTERS

BOILER PLANTS

STATEMENT OF WORK

Project Title Inspection of Boilers and Boiler Plant Safety Device Testing

1. Introduction:

A. The John J. Pershing Veterans Affairs Medical Center (VAMC) have a central 3 Low pressure boilers in the boiler plant to provide steam for heating and air conditioning, domestic hot water and kitchens. SPS/Endo has 2 small high pressure boilers for sterilization.

B. Boiler plant safety, reliability, efficiency and equipment longevity are paramount concerns of VAMC management. Boilers and feedwater deaerators are pressurized devices containing steam and hot water. They can fail catastrophically causing injuries and death and massive property damage. Regular inspections by experts are an essential part of a program to address these concerns. Malfunctioning burners or controls can cause catastrophic events resulting in injuries and death and massive property damage.

Inaccurate or inadequate data management and monitoring systems can fail to warn of unsafe or inefficient performance. Regular inspections, testing and calibration by expert technicians are an essential part of a program to address these concerns.

C. This “Statement of Work” describes the requirements for the boiler inspections to be performed by “Qualified Professional Inspectors” under contract. This “Statement of Work” also describes the requirements for the inspection, testing and calibration of the boiler plant burners, controls, and instruments by qualified burner and instrument technicians.

D. A separate document lists the facilities where the inspections will be required, lists the boilers to be inspected at each facility and provides a schedule for the inspections and safety testing. Other pressure vessels may be included in the inspection and testing requirements.

E. “Qualified Professional Inspectors” as defined below shall perform internal and external inspections on high pressure (over 15 psig) steam boilers and internal inspections on feedwater deaerators and other pressure vessels.

F. The terms of this contract will be for one year with four option years (subject to the availability of funds).

2. “Qualified Professional Inspector” is defined as any one or combination of:

A. A boiler inspector who has a valid commission from the National Board of Boiler and Pressure Vessel Inspectors (NB).

B. A boiler inspector who has qualified by passing a written examination under the laws, rules and regulations of a jurisdiction of a state.

C. A boiler inspector who is regularly employed as a boiler inspector by a jurisdiction which has adopted and administers one or more sections of the American Society of Mechanical Engineers (ASME) Boiler and Pressure Vessel Code as a legal requirement, and has a representative serving as a member of the ASME Conference Committee.

D. A boiler inspector who is regularly employed by an insurance company which has been licensed or registered by the appropriate authority of a State of the United States to write boiler or pressure vessel insurance.

3. Technician Qualifications:

A. Technicians shall have completed at least a one-year trade school and have five years successful experience in this field. The experience shall be largely with institutional and industrial boiler plants similar in design to the VAMC plant. The VAMC facility manager/engineer may define and accept equivalent qualifications.

B. Technicians shall demonstrate familiarity with and ready access to the current versions of the following references.

NFPA 85, Boiler and Combustion Systems Hazard Code.

VHA Boiler Plant Safety Device Test Manual, 5th Edition.

C. Technicians shall be equipped with portable electronic flue gas analyzers and other test instruments necessary for the required tests and calibrations, all calibrated within one month of the site visits. At facilities with programmable digital controls, the technicians must be capable of programming the controls and have the appropriate hardware and software for this.

4. Qualifications for Non-Destructive-Testing Technicians:

The technicians shall be certified as being qualified Level II technicians in the non-destructive testing methods to be utilized. The certification shall be in accordance with the requirements of the American Society for Non-Destructive Testing (ASNT).

5. Reference Materials:

The “Qualified Professional Inspector” shall demonstrate familiarity with and ready access to the current versions of the following codes and manuals:

ASME Boiler and Pressure Vessel Code:

Section I - Power Boilers Section IV - Heating Boilers Section VI - Care and Operation of Heating Boilers Section VII - Care of Power Boilers

ASME B31.1, Power Piping Code ASME CSD-1, Controls and Safety Devices for Automatically Fired Boilers ANSI/NB-23, National Board Inspection Code NFPA 85, Boiler and Combustion Systems Hazards Code VHA Boiler Plant Safety Device Testing Manual, 5th Ed.

6. Boiler Safety Device Testing and Inspection Requirements:

A. Annual internal and external inspections are required for each boiler.

B. A generalized annual schedule of visits for the boiler plant is as follows…

1) February Internal inspection Boiler #1

2) February External inspection Boiler #3

3) February Annual Internal Electric High pressure Boiler #1

4) February Annual External Electric High pressure Boiler #2

5) February Annual Safety Devices testing Boiler #3

6) February Semi-annual Safety Device testing Boiler #2

7) June Annual Safety Device testing Boiler #1

8) June Semi Annual Safety Device testing Boiler #3

9) June Annual Internal inspection Boiler #2

10) June Annual External inspection Boiler #1

11) June Annual Internal Electric High pressure Boiler #2

12) June Annual External Electric High pressure Boiler #1

13) June Annual Internal D.A Tank inspection

14) October Annual Internal inspection Boiler #3

15) October Annual Safety Device testing Boiler #2

16) October Semi-annual Safety Device testing Boiler #1

17) October Annual External inspection Boiler #2

18) October Annual Condensate tank Inspection

At least two weeks’ notice to VAMC is required prior to an inspection and when the Contracting Officer’s Representative (COR) or his/her designate is available on site to monitor the inspections. To maintain steam service only one boiler at a time will be scheduled for internal inspections per inspection visit. Thus, five visits will be necessary every year to inspect all the boilers internally and perform Annual and Semi-Annual testing.

C. Coordinate the inspection schedule with the COR so that VAMC can prepare the boilers for the inspections in advance and have personnel available to monitor the inspections.

D. The COR is Gary L Robertson (Maintenance & Operations Supervisor) (573) 778-4704, John J. Pershing VAMC.

E. Boilers scheduled for internal inspection will be prepared for the inspection by VAMC prior to the scheduled arrival of the inspector. This includes cooling the boilers to near ambient temperature and having all manways, handholes and furnace access doors open; the boilers cleaned of loose materials waterside and fireside; electrical “lock-out, tag-out” in place; connecting piping isolated; proper illumination provided; compliance with “confined space” access requirements including having safety personnel present in the boiler plant. Similar advance preparations will be made to the feedwater deaerator when it is scheduled for internal inspection.

F. VAMC will comply with any other requirements of the inspector that are considered reasonable by VAMC and have been presented in writing at least two weeks prior to the scheduled inspection.

G. The boiler inspector shall comply with the guidelines in the current issue of the

NATIONAL BOARD INSPECTION CODE, Part RB, Inservice Inspection of Pressure- Retaining Items, and ASME Boiler and Pressure Vessel Code, Section VI or VII as applicable. In addition to those guidelines, the inspections shall comply with all VAMC requirements as listed in this document.

H. The inspector must completely enter the internal spaces of the boiler or feedwater deaerator and visually inspect all internal surfaces that can be accessed.

I. Methods for testing safety devices shall comply with VHA Boiler Plant Safety Device Testing Manual, 5th Edition.

J. Summary of the minimum inspection requirements for boilers:

1) Review the boiler history including: operating conditions, date of last inspection, current inspection certificate, ASME stamping on boiler, National Board registration number, history of repairs and modifications. Review boiler logs, water test reports, and reports on tests performed on the burner controls and interlocks.

2) Assess the external parts of the boilers and boiler accessories and piping and valves for safety, accessibility, proper maintenance and operation, cleanliness, and compliance with codes.

3) Inspect for evidence of leakage of combustion gases or fluids, externally and internally, including all gaskets.

4) Inspect foundations for signs of stress such as cracking or movement.

5) Inspect boilers externally and internally for defects including bulges, blisters, cracks, wasted or eroded material, warping, general corrosion, grooving and pitting, damaged insulation.

6) Inspect all accessible internal surfaces for waterside and fireside deposits, including scaling, sediment, debris, carbon deposits.

7) Examine all stays and stayed plates.

8) Inspect gas side baffles.

9) Inspect internal drum surfaces and steam separating internals.

10) Inspect soot blowers and verify proper alignment.

11) Inspect tubes, tube ends and tube alignment. Check for sagging tubes.

12) Verify that all nozzles of internal piping such as feedwater admission and bottom blowoff collection are clear with no obstructions.

13) Inspect seating surfaces of manways and handholes.

14) Check that boiler structure is plumb and level with no excessive deformations.

15) Check for missing items such as bolts and nuts.

16) Examine all valve and pipe connections to the pressure vessel.

17) Inspect refractory including burner throat, expansion joint, bull ring, furnace seals, furnace walls and floor.

18) Verify proper alignment of burner assembly.

19) Inspect furnace for evidence of flame impingement.

20) Test operation of water level gage glass.

21) Perform mechanical and electrical inspection of disassembled low water cutouts (disassembly by VA). After reinstallation, test operation to the extent possible.

Test low water cutouts on hot boilers by lowering water level gradually.

22) Verify that steam pressure gage is properly calibrated.

23) Test operation of high steam pressure cutouts on hot boilers by raising steam pressure.

24) Inspect safety valve installations and verify that the valves have proper capacity and set pressure and valves, drains and vents are properly installed. Verify that valve locking seals are not broken. On boilers that are hot, perform an operation test under pressure to confirm operation at proper set pressures. Operate boiler with burner at high fire to verify adequate steam flow capacity of the safety valves (“accumulation test”).

25) Inspect piping connected to the boilers for evidence of leakage, provision for expansion, provision of adequate support, proper alignment, evidence of detrimental conditions.

26) Inspect piping to the water column, low water cutoffs and alarms, gage glass.

Verify that interior of piping is clear of obstructions.

27) Inspect valves on boiler feedwater, blowdown, drain and steam systems.

28) Provide recommendations for non-destructive testing when the inspections indicate that this is necessary to assure continued safety and reliability under current operating conditions.

7. Boiler Plant Inspection, Testing and Calibration requirements:

A. Technicians shall provide all tools and labor necessary to perform inspection, tuning, testing, calibrating, and adjustments of burners and boiler and boiler plant controls as specified below. This shall be done every six months in accordance with a schedule provided by VAMC. VAMC may extend the schedule for burners in limited service.

B. Instrumentation, monitoring and data management systems as listed below shall be calibrated every six months.

C. Provide at least two weeks notice to the Contracting Officer’s Technical Representative (COTR) prior to performing the work. Work cannot be scheduled during heavy steam load periods. Only one boiler at a time can be out of service for the inspection, testing and calibration procedures. Work must be conducted when the COTR or his/her designate is available on site to monitor the work.

The COTR is:

Gary L Robertson Maintenance & Operations Supervisor John J. Pershing VAMC

(573) 778-4704 Gary.Robertson2@va.gov

D. VAMC will have the boilers that are to be serviced prepared for the technicians upon their scheduled arrival. This includes having the boilers clean of soot and loose scale; fully warmed and at normal steam pressure; steam exhaust silencer system operable; all boiler, burner and fuel train pressure gages and thermometers calibrated; fuel meters in accurate operation (pressure/temperature correction factors provided, if applicable);

boiler steam flow, stack temperature and flue gas oxygen instruments operating.

E. VAMC will comply with any other requirements of the test personnel that are considered reasonable by VAMC and have been presented in writing at least two weeks prior to the scheduled testing.

F. The inspections, testing and calibrations shall comply with:

1) The recommendations and requirements of VHA Boiler Plant Safety Devices Testing

Manual, 5th Edition.

2) The written recommendations of the equipment manufacturers.

3) The requirements and recommendations of NFPA 85 Boiler and Combustion

Systems Hazards Code including applicable appendices.

4) Burner performance requirements in this document.

G. A summary of the work is as follows:

1) Review boiler plant log sheets and alarm and trouble reports.

2) Review records that show combustion performance (flue gas oxygen and carbon monoxide).

3) Perform overall visual inspection of systems. Verify that systems comply with referenced codes and VAMC requirements stated in this contract.

4) Test and record the operation and set points of all burner/boiler safety interlock devices. Refer to list below. Verify that the set points and operating points are within approximately 20% of normal operating parameters. Make adjustments as necessary and record the new settings. The operation of a device must result in burner shutdown and/or proper alarm operation.

5) Verify accuracy of instrumentation listed below. Verify that all devices are properly selected for the application in terms of type, size, set point range, performance, code approval. Calibrate all instruments that are not within manufacturer’s specifications for accuracy.

6) Immediately inform COTR of any recommended repairs or modifications.

H. All of interlocks and safety devices to be inspected and tested on each boiler/burner/equipment, are contained in the VHA Boiler Plant Safety Devices Testing Manual, 5th Edition, along with testing procedures.

I. List of instrumentation and controls to be inspected and calibrated:

1) Steam flow transmitters (all).

2) Steam flow recorders/computer readout.

3) Flue gas oxygen sampling, analyzing and recorder/computer readout.

4) Boiler and economizer stack temperature transmitters and recorder/computer readout.

5) Master steam pressure and combustion controllers.

6) Boiler outlet draft controllers.

7) Boiler water level controllers.

8) Feedwater deaerator and condensate storage tank water level controllers including overflow.

9) All boiler plant safety devices which require testing in the VHA Boiler Plant Safety

Devices Testing Manual, 5th Edition.

8. Safety Device Testing Report Requirements:

A. Provide complete written report of the inspection fully describing all tests performed, all findings, and recommendations. The report shall have two sections the first section will be in a table form that with four columns:

a. The first column labeled “FUNCTION” did the device pass or fail.

b. The second column labeled “Device” list the device number and description in accordance with the VHA Boiler Plant Safety Devices Testing Manual, 3rd Edition.

c. The third labeled “Deficiencies-Recommendations”

d. The fourth column labeled “corrective actions” list any corrective actions taken during the inspection.

The next section shall be in paragraph/bulleted form and list each device individual in accordance to the VHA Boiler Plant Safety Devices Testing Manual, 5th Edition. Plus the section must reference the correct Master Specification and Standard Detail for that device. See sample below.

5.1. Condensate Storage Tank High Water Alarm

Purpose: High water level may be an indication of condensate transfer pump failure that could lead to low water condition in the feedwater deaerator and in the boilers. There may be a failure of make-up water controls.

Recommended set point: 4 inches below overflow level and 2/3 of tank height.

Potential hazards due to failure of high water alarm: Feedwater deaerator running dry and, consequently, boiler feed pumps running dry will cause overheating and damage to pumps and potential for plant shut down. Failure of make-up water controls (in open position) could lead to significant cost from waste of water and condensate from the tank overflow if this occurs over a long time period.

Recommended type of device: Conductivity probe type switch. Float type switches have high failure rate in this application where they are exposed to flash steam that causes seals to harden and prevent float movement.

VA Master Specification section: 23 50 11 (old 15625).

www.va.gov/facmgt/standard/ VA Standard Detail: SD232111-05.pdf www.va.gov/facmgt/standard/ Failure rate of float types: 48% (BEI study of VA boiler plants).

Make and Model: Mercoid Float Did it function properly: No Category & Action Time Limit: Upon Failure or Within 5 Years

Comments: Float type switches are not allowed for high water alarms. The VA recommended switch type is a conductivity probe type switch. Install the VA recommended switch and set to alarm at 2/3 of the tank height. There are valves that can isolate this alarm. These valves must be made lockable only in the operating position.

B. Furnish report within one week of each facility inspection in “Microsoft Word” format by email to the COTR and to the VA Headquarters office designated.

C. All safety-related deficiencies shall be immediately reported to the COTR, Boiler Plant Supervisor and/or Chief Engineer during the inspection visit.

9. Boiler Inspection Report Requirements:

1. Provide complete written report fully describing all inspections and tests performed, findings, and recommendations. The condition of all items inspected shall be stated whether acceptable or deficient. All deficiencies shall be fully described along with recommendations for methods of correction. Utilize National Board Forms NB-6 and NB- 7, or other similar forms acceptable to owner.

2. Provide sketches and photographs as necessary and as requested by owner to show areas identified as not acceptable for continued service or requiring repair.

3. Include test data and calculations. Show locations and extent of all non-destructive testing by sketches.

4. Furnish report within one week of each facility inspection in “Microsoft Word” format by email to the COTR and to the VA Headquarters office designated in the attachment.

5. All safety-related deficiencies shall be immediately reported to the COTR during the inspection visit.

6. Provide recommendations on need for re-inspections after correction of deficiencies.

Cost of re-inspections shall be extra cost negotiated with VA Contracting Officer.

10. Boiler Plant inspection and Safety Device Testing Location:

John J. Pershing VA Medical Center

1500 North Westwood Blvd. Building #7

Poplar Bluff, MO 63901

(573) 778-4704

COR:

Gary L Robertson

Maintenance & Operations Supervisor

Cell: (573) 429-4430

Equipment serviced:

Boiler#1: Kewannee Classic Boiler Corporation

MBH: 300 Horsepower MWSP 200 psi Low pressure converter.

Boiler#2: Kewannee Classic Boiler Corporation

MBH: 300 Horsepower MWSP 200 psi

Low pressure converted

Boiler#3: Hurst boiler Low pressure

250 Horsepower

Boiler #4 High Pressure-AMSCO Powerpack Electric Steam Boiler

Model# CH10-861-500 Serial# 25447 National Board# 17070

Boiler #5 High Pressure-AMSCO Powerpack Electric Steam Boiler

Model# CH10-861-500 Serial# 32961 National Board# 4484

Deaerator

Condensate Tank

Performance Period: The contractor shall complete the work required under this Scope of Work (SOW) within 14 days of the notice to proceed.

Hours of Operations Business hours for the VAMC follow:

• Administrative hours: Monday through Friday, 8:00 a.m. ‐ 4:30 p.m.

• National Holidays: The 10 holidays observed by the Federal Government are:

o New Year’s Day o Martin Luther King’s Birthday o Presidents Day o Memorial Day o Independence Day o Labor Day o Columbus Day o Veterans Day o Thanksgiving o Christmas o Any other day specifically declared by the President of the United States to be a national Holiday.

• Off‐Duty hours: Friday through Monday, 4:30 p.m. ‐ 8:00 a.m.; Monday through Thursday, 4:30 pm – 8:00 am.

Identification, Parking, Smoking, and VA Regulations

1. Contractor’s personnel shall wear visible identification at all times while on the premises of the VA. Identification shall include, as a minimum, the employee’s name, position, and the contractor’s trade name.

2. It is the responsibility of the contractor to park in the appropriate designated parking areas. Information on parking is available from VA Police Service. VA will not invalidate or make reimbursement for parking violations of the contractor under any conditions.

3. Possession of weapons is prohibited. Enclosed containers, including tool kits, shall be subject to search. Violations of VA regulations may result in citation answerable in the United States (Federal) District Court, not local district, state, or municipal court.

4. Smoking is prohibited on all VA property.

5. Possession of weapons is prohibited. Enclosed containers, including tool kits, shall be subject to search. Violations of VA regulations may result in citation answerable in the United States(Federal) District Court, not a local district, state or municipal court.

6. Facility security requirements. Upon arrival at the VA Medical Center all contractor personnel are required to report to the VA Medical Center Police for a temporary ID and check in. This check‐in process is mandatory. When the service is completed all contractor personnel are required to check out with VA Medical Center Police.

7. Read and sign VA Privacy for personnel without access to VA computer System or direct access or use to VA sensitive Information.

VA Privacy Training for Personnel without Access to VA Computer Systems or Direct Access or Use to VA Sensitive Information

The Department of Veterans Affairs, VA must comply with all applicable privacy and confidentiality statutes and regulations. One of the requirements in VA is to have all personnel trained annually on privacy requirements. “Privacy” represents what must be protected by VA in the collection, use, and disclosure of personal information whether the medium is electronic, paper or verbal.

This document satisfies the “basic” privacy training requirement for a contractor, volunteer, or other personnel only if the individual does not use or have access to any VA computer system such as Time and Attendance, PAID, CPRS, VistA Web, VA sensitive information or protected health information (PHI), whether paper or electronic. You will find this training outlines your roles and responsibility for protecting VA sensitive information (medical, financial, or educational) that you may incidentally or accidentally see or overhear.

If you have direct access to protected health information or access to a VA computer system where there is protected health information such as CPRS, VistA Web, you must take “Privacy and HIPAA Focused Training” (TMS 10203). “VA Privacy and Information Security Awareness and Rules of Behavior” (TMS 10176) is always required in order to use or gain access to a VA computer systems or VA sensitive information, whether or not protected health information is included. Both trainings are located within the VA Talent Management System (TMS): https://www.tms.va.gov

What is VA Sensitive Information/Data?

All Department information and/or data on any storage media or in any form or format, which requires protection due to the risk of harm that could result from inadvertent or deliberate disclosure, alteration, or destruction of the information. The term includes not only information that identifies an individual but also other information whose improper use or disclosure could adversely affect the ability of an agency to accomplish its mission, proprietary information, and records about individuals requiring protection under applicable confidentiality provisions.

What is Protected Health Information?

The HIPAA Privacy Rule defines protected health information as Individually Identifiable Health Information transmitted or maintained in any form or medium by a covered entity, such as VHA.

What is an “Incidental” Disclosure?

An incidental disclosure is one where an individual’s information may be disclosed incidentally even though appropriate safeguards are in place. Due to the nature of VA communications and practices, as well as the various environments in which Veterans receive healthcare or other services from VA, the potential exists for a Veteran’s protected health information or VA sensitive information to be disclosed incidentally.

https://www.tms.va.gov/

For example:

• You overhear a healthcare provider’s conversation with another provider or patient even when the conversation is taken place appropriately.

• You may see limited Veteran information on sign-in sheets or white boards within a treating area of the facility.

• Hearing a Veteran’s name being called out for an appointment or when the Veteran is being transported/escorted to and from an appointment.

Safeguards You Must Follow To Secure VA Sensitive Information:

• Secure any VA sensitive information found in unsecured public areas (parking lot, trash can, or vacated area) until information can be given to your supervisor or Privacy Officer.

You must report such incidents to your Privacy Officer timely.

• Don’t take VA sensitive information off facilities grounds without VA permission unless the VA information is general public information, i.e., brochures/pamphlets.

• Don’t take pictures using a personal camera without the permission from the Medical Center Director.

• Any protected health information overheard or seen in VA should not be discussed or shared with anyone who does not have a need to know the information in the performance of their official job duties, this includes spouses, employers or colleagues.

• Do not share VA access cards, keys, or codes to enter the facility.

• Immediately report lost or stolen Personal Identity Verification (PIV) or Veteran Health

Identification Cards (VHIC), any VA keys or keypad lock codes to your supervisor or VA police.

• Do not use a VA computer using another VA employee’s access and password.

• Do not ask another VA employee to access your own protected health information. You must request this information in writing from the Release of Information section at your facility.

What are the Six Privacy Laws and Statutes Governing VA?

1. Freedom of Information Act (FOIA) compels disclosure of reasonably described VA records or a reasonably segregated portion of the records to any person upon written request unless one or more of the nine exemptions apply.

2. Privacy Act of 1974 provides for the confidentiality of personal information about a living individual who is a United States citizen or an alien lawfully admitted to U.S. and whose information is retrieved by the individual’s name or other unique identifier, e.g.

Social Security Number.

3. Health Insurance Portability and Accountability Act (HIPAA) provides for the improvement of the efficiency and effectiveness of health care systems by encouraging the development of health information systems through the establishment of standards and requirements for the electronic transmission, privacy, and security of certain health information.

4. 38 U.S.C. 5701 provides for the confidentiality of all VA patient and claimant information, with special protection for their names and home addresses.

5. 38 U.S.C. 7332 provides for the confidentiality of drug abuse, alcoholism and alcohol abuse, infection with the human immunodeficiency virus (HIV) and sickle cell anemia medical records and health information.

6. 38 U.S.C. 5705 provides for the confidentiality of designated medical-quality assurance documents.

What are the Privacy Rules Concerning Use and Disclosure?

You are not authorized to use or disclose protected health information. In general, VHA personnel may only use information for purposes of treatment, payment or healthcare operations when they have a need-to-know in the course of their official job duties. VHA may only disclose protected health information upon written request by the individual who is the subject of the information or as authorized by law.

How is Privacy Enforced?

There are both civil and criminal penalties, including monetary penalties that may be imposed if a privacy violation has taken place. Any willful negligent or intentional violation of an individual’s privacy by VA personnel, contract staff, volunteers, or others may result in such corrective action as deemed appropriate by VA including the potential loss of employment, contract, or volunteer status.

Know your VA/VHA Privacy Officer and Information Security Officer. These are the individuals to whom you can report any potential violation of protected health information or VA sensitive information, or any other concerns regarding privacy of VA sensitive information.

YOU ARE RESPONSIBLE FOR PROTECTING THE CONFIDENTIAL

INFORMATION OF OUR VETERANS

Contract Personnel (Print Name) Date

Contract Personnel Signature

Print Name of Contract Agency

Print Name of VHA Contracting Officer Representative

PROVIDE A COPY OF THIS FORM TO YOUR CONTRACTING OFFICER

REPRESENTATIVE.

RECORDS MANAGEMENT OBLIGATIONS

1. 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.

2. 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:

a. includes Department of Veterans Affairs, Veterans Health Administration records.

b. does not include personal materials.

c. applies to records created, received, or maintained by Contractors pursuant to their Department of Veterans Affairs, Veterans Health Administration contract.

d. may include deliverables and documentation associated with deliverables.

3. REQUIREMENTS

a. 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.

b. 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.

c. 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.

d. John J. Pershing VA Medical Center and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Records may not be removed from the legal custody of John J. Pershing VA Medical Center or destroyed except for in accordance with the provisions of the agency records schedules and with the written concurrence of the Head of the Contracting Activity. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by 18 U.S.C. 2701.

In the event of any unlawful or accidental removal, defacing, alteration, or destruction of records, Contractor must report to John J. Pershing VA Medical Center. The agency must report promptly to NARA in accordance with 36 CFR 1230.

e. The Contractor shall immediately notify the appropriate Contracting Officer upon discovery of any inadvertent or unauthorized disclosures of information, data, documentary materials, records or equipment. Disclosure of non-public information is limited to authorized personnel with a need-to-know as described in the [contract vehicle]. The Contractor shall ensure that the appropriate personnel, administrative, technical, and physical safeguards are established to ensure the security and confidentiality of this information, data, documentary material, records and/or equipment is properly protected. The Contractor shall not remove material from Government facilities or systems, or facilities or systems operated or maintained on the Government’s behalf, without the express written permission of the Head of the Contracting Activity. When information, data, documentary material, records and/or equipment is no longer required, it shall be returned to John J. Pershing VA Medical Center’s control or the Contractor must hold it until otherwise directed. Items returned to the Government shall be hand carried, mailed, emailed, or securely electronically transmitted to the Contracting Officer or address prescribed in the contract. Destruction of records is EXPRESSLY PROHIBITED unless in accordance with Paragraph (4).

f. The 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, contracts. The Contractor (and any sub-contractor) is required to abide by Government and John J. Pershing VA Medical Center’s guidance for protecting sensitive, proprietary information, classified, and controlled unclassified information.

g. The Contractor shall only use Government IT equipment for purposes specifically tied to or authorized by the contract and in accordance with John J. Pershing VA Medical Center’s policy.

h. The Contractor shall not create or maintain any records containing any non-public John J. Pershing VA Medical Center’s information that are not specifically tied to or authorized by the contract.

i. The 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 from public disclosure by an exemption to the Freedom of Information Act.

j. The John J. Pershing VA Medical Center owns the rights to all data and records produced as part of this contract. All deliverables under the contract are the property of the U.S. Government for which John J. Pershing VA Medical Center shall have unlimited rights to use, dispose of, or disclose such data contained therein as it determines to be in the public interest. Any Contractor rights in the data or deliverables must be identified as required by FAR 52.227-11 through FAR 52.227-20.

k. Training. All Contractor employees assigned to this contract who create, work with, or otherwise handle records are required to take VHA-provided records management training. The Contractor is responsible for confirming training has been completed according to agency policies, including initial training and any annual or refresher training.

4. FLOWDOWN OF REQUIREMENTS TO SUBCONTRACTORS

a. The Contractor shall incorporate the substance of this clause, its terms and requirements including this paragraph, in all subcontracts under this contract, and require written subcontractor acknowledgment of same.

b. Violation by a subcontractor of any provision set forth in this clause will be attributed to the Contractor.

Records

Management for Everyone

TOPICS OF TRAINING

Welcome

Laws, Regulations and Policies

What is a Federal Record?

The Records Life Cycle

Roles and Responsibilities

How to Manage VA Records

Course Summary

This training is intended for all VA employees and contractors who create or have access to materials that are considered VA records. It also explains the roles and responsibilities of those who have administrative responsibilities for records management.

Laws, Regulations and Policies

What is a Federal Record?

The Records Life Cycle

Roles and Responsibilities

How to Manage VA Records

The consequences of incorrect records management can range from minor inconvenience to major catastrophe. The way federal records are managed can benefit—or damage— millions of people.

When you have completed this lesson, you will understand the laws, regulations, and policies that VA must follow when managing records.

Federal records management is good business practice, and it's the law. This timeline gives a brief overview of some of the key laws and regulations that dictate how records must be managed by all federal agencies.

These two laws and later updates provide the legal and policy framework and designate authorities for federal information and records management.

The National Archives and Records Administration sets the guidelines and rules that agencies must follow to manage their records life cycle. The General Services Administration ensures that federal agencies manage records economically and efficiently.

Willfully violating or failing to comply with laws that govern federal records management and privacy and information security can result in civil or criminal penalties. You can avoid penalties by applying what you learn from this course when you come in contact with federal records.

Whose job is it to manage federal records? Everyone who works for the federal government in any capacity, whether as an employee, volunteer, or contractor, needs to know and understand the general requirements and principles of records management.

The Federal Records Act of 1950 and the Paperwork Reduction Act of 1980 provide the legal and policy framework for federal information and records management.

Managing records in accordance with laws, regulations, and policies is very important for all of the reasons you see here

Laws, Regulations and Policies

What is a Federal Record?

The Records Life Cycle

Roles and Responsibilities

How to Manage VA Records

Not all information handled at work is considered a record. This lesson clarifies how to identify and handle any materials that are records.

When you have completed this lesson, you will understand various types of records and recall the definition of a record.

Recognizing and understanding the legal definition of records within the context of records management is important.

Records may be in any format or medium such as paper, film, disk, maps, photographs, or other physical type or form. The method of recording information may be manual, mechanical, photographic, electronic (such as email), or any combination of these or other technologies.

As you can see, a record can be found in practically any media, shape, or form.

VA must manage all email records in an electronic format, and VA must eventually transfer all permanent electronic records to NARA.

VA and all other federal agencies must comply with guidance for managing email records.

VA routinely archives all email traffic; however, email accounts for certain users designated as Capstone Officials contain official emails that must also be treated as permanent records.

Not every email is considered an official record. An email that contains official VA business is considered an official record; personal emails are not official records.

Not all email messages are records. To determine whether an email message is a record, follow the steps in this diagram. You can download the diagram as a job aid from Resources.

All employees should understand how to tell the difference between records and nonrecords to prevent mishandling or inappropriate destruction. If you are unsure whether something is a record or a nonrecord, treat it as a record and consult your Records Officer.

Here are types of nonrecords.

Personal files must be kept separate from records or any other agency business information. Here are some examples of personal files.

Generally, offices that create the record must make their own determinations whether or not to incorporate working files into the record.

Documentary materials are records when they meet both of these criteria (1) They were made or received by a federal government agency while conducting business. (2) They are appropriate for preservation either as evidence of the agency's organization, functions, and activities or because of the value of the information they contain.

The statement is false. While all VA email messages are archived as electronic records, personal emails that do not contain official business are not considered official records and are not transferred to NARA.

Your choices are: Records, personal files, nonrecords.

Records and nonrecords are both types of business information, and both are VA property.

Records are evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the government. Nonrecords are documentary materials that do not meet the definition of a record. Personal files are owned by individuals and are not used to conduct VA business.

You should now understand the legal definition of records and be able to recognize the difference between records and nonrecords. Review these key terms before you move to the next lesson.

Laws, Regulations and Policies

What is a Federal Record?

The Records Life Cycle

Roles and Responsibilities

How to Manage VA Records

Records management can be complex. Managing records is made easier by understanding and mastering the flow of the records life cycle.

Understanding the records life cycle will help you manage your records program efficiently and effectively.

The records life cycle helps identify the order of tasks that must be completed to manage

Creation is the first phase of the records life cycle.

After material has been identified as a record and scheduled, it must be maintained and disposed of according to the approved schedule and related NARA requirements.

A records control schedule, or RCS, indicates whether records are temporary or permanent.

The schedule provides specific guidance on how long records must be retained. It also contains instructions for disposition of records.

File plans are an essential component of the recordkeeping system and are important for successful records management.

The retention period is the required length of time temporary records must be retained.

Remember, all records are considered temporary unless declared permanent by NARA.

When records are no longer needed for business use, they may be stored locally or transferred to other NARA‐approved storage.

Disposition is the third phase of the records life cycle.

The Department of Justice disseminates information regarding litigation holds to the federal agencies. The VA Office of General Counsel may implement a litigation hold on records that are in VA’s custody. Be very careful not to destroy or transfer any records subject to a litigation hold. Note: Records that have met their disposition and retention period and are still in your custody are subject to the litigation hold.

Use these forms and follow these steps to transfer records to a federal records center or a VA records center for temporary storage.

Federal records centers, the VA Records Center Vault (RCV) and commercial records storage facilities that meet NARA standards are options for storing records when they are not ready for disposition and are not actively being used. The administration or staff office in possession of the records, in consultation with the Records Officer, must decide the most cost effective and efficient option.

A records series is a convenient way of grouping file units or documents to permit their management as a group. The unit to be inventoried is normally the records series, not individual documents or file folders.

Choices are:

Litigation Hold Records Control Schedule Records Series Retention period

A Records series is a group of records arranged according to a filing system or kept together because they have a common subject or function or similar common element. A records control schedule is a document that governs retention period and disposition. Retention period is the required length of time temporary records must be retained.

Litigation holds are a legal hold that temporarily suspends the NARA‐approved records disposition authority for the records.

Three processes are essential to implementing a records program: conducting the records inventory, creating and updating the records schedule, and creating and updating the file plans.

Conducting a records inventory, creating a records control schedule, and creating a file plan are three interrelated processes for managing records.

You must ensure that those who handle records know there is a special handling required when VA sensitive information is contained in records.

Be aware of risks to privacy and information security throughout the records life cycle.

Managing records throughout their life cycle requires an understanding of the key terms and concepts discussed in this lesson. Review these key terms before you move to the next lesson. Be sure to understand these key terms before advancing to the next lesson

Laws, Regulations and Policies

What is a Federal Record?

The Records Life Cycle

Roles and Responsibilities

How to Manage VA Records

Records management can be complex. By mastering basic definitions, concepts, and procedures, all VA employees can meet their basic records management responsibilities.

Here is what you will learn in this lesson.

Remember to reach out to your Records Officers and Records Liaisons to assist and advise others in order to help ensure requirements are met. It is important that you take your role as Records Officer or Records Liaison seriously, and help VA manage records correctly.

Records management personnel handle the most technical records program tasks. As users of records, all employees are responsible for making and keeping records of their work.

Everyone must understand and apply basic records management principles and concepts.

VA’s most senior Records Officers include the VA Records Officer and Records Officers for each of VA’s administrations. Here is more information about these responsibilities.

As a Facility Records Officer, I work with the facility director to ensure our facility is using the file plan consistently. I also ensure all records are retained until the records control schedule permits disposition. When legal holds are required, I make sure the appropriate staff is notified. The Records Liaison and I work together to make sure everyone in the facility is using the correct procedures.

As a Records Liaison, my job is to support the Facility Records Officer. I help with the initial records inventory, and I make sure the inventory remains current and records are stored in the designated areas. This means constantly communicating with employees in the unit to be sure I am alerted when any record location changes. I work with employees and train them on proper shipping procedures for moving temporary records to storage or disposing of records as required by the RCS.

As an employee, I have a lot of my own work to do! So I need to have an easy and efficient way to manage records. Last week, I was asked to locate an old record for a court case.

Thanks to the records management training on how to maintain files, finding it was no problem!

Here are a few practices to keep in mind when managing VA records.

Administration or Staff Office Records Office Records Liaison Facility Records Officer

Administration and Staff office Records Officers implement the records program within an administration or Staff office. The Records Liaison maintains current information about the location of an Administration and Staff office. The Facility Records Officer implements the records program in one facility or field location of an Administration or Staff office.

In this lesson, we discussed how the roles and responsibilities of Records Officers and Liaisons are related to the identification and management of VA’s records. We also talked about the records management responsibilities of all employees.

Laws, Regulations and Policies

What is a Federal Record?

The Records Life Cycle

Roles and Responsibilities

How to Manage VA Records

VA’s…