36C25521Q0481.docx

Sources Sought Notice Sources Sought Notice

GENERAL INFORMATION

SET-ASIDE

Network Contracting Office (NCO) 15 3450 S 4th Street Trafficway

Leavenworth KS 66048

POINT OF CONTACT*

Contracting Officer Laura Ferguson Laura.Ferguson@va.gov N/A

PLACE OF PERFORMANCE

1500 N. Westwood Blvd

Poplar Bluff MO

ADDITIONAL INFORMATION

DESCRIPTION

THIS IS NOT A SOLICITATION. This is a Sources Sought (SS) notice issued in accordance with FAR 15.201(e) to conduct market research. This SS is issued solely for information and planning purposes - it does not constitute a Request for Quote (RFQ) or a promise to issue a RFQ in the future. This sources sought does not commit the Government to contract for any supply or service whatsoever. The Department of Veterans Affairs (VA) is not, at this time, seeking quotes and will not accept unsolicited quotes. Responders are advised that the U.S. Government will not pay for any information or administrative costs incurred in response to this SS; all costs associated with responding to this SS will be solely at the interested vendor's expense. Not responding to this SS does not preclude participation in any future RFQ, if any is issued. Any information submitted by respondents to this SS is strictly voluntary. All submissions become Government property and will not be returned. This announcement is based upon the best information available and is subject to future modification.

I. OVERVIEW:

The Department of Veterans Affairs, Network Contracting Office (NCO) 15, has a requirement for one or more solutions to import and burn DICOM CDs/DVDs for the purpose of providing images and reports to patients and outside facilities and importing them into the medical record at the John J. Pershing VA Medical Center located in Poplar Bluff, MO.

Please see the attached Statement of Work.

II. VETERANS FIRST CONTRACTING PROGRAM: The Dept. of Veteran’s Affairs is dedicated to the Veterans First Contracting Program and encourages any certified Service Disabled Veteran Owned Small Business (SDVOSB) or Veteran Owned Small Business (VOSB) capable of furnishing the required services to respond. In accordance with Veterans Affair Acquisition Regulation (VAAR) sections 819.7005 and 819 7006, if a sufficient number of eligible SDVOSB or VOSB firms are identified during market research the acquisition will be set-aside for SDVOSB or VOSB participation.

III. INFORMATION REQUESTED FROM INDUSTRY:

Please submit your response (capability statement) in accordance with the following:

1) No more than 5 pages (excluding transmittal page). Include the name, email address and phone number of the appropriate representative of your company;

2) Address if your firm has the capability to perform the installation and maintenance services listed above;

3) Address how long it would take from the date of contract award for you to commence furnishing services;

4) Indicate whether your company, subcontractors, teaming partners, joint ventures have a Federal Socio-Economic status, e.g., Small Business, Service-Disabled Veteran Owned Small Business, Veteran Owned Small Business, Woman-Owned Small Business, Disadvantaged Small Business, and Hub Zone.

5) If Service- Disabled or Veteran Owned Small Business, is your company and/or partners registered in VA’s VetBiz repository?

6) Mark your response as “Proprietary Information” if the information is considered business sensitive;

7) NO MARKETING MATERIALS ARE ALLOWED IN RESPONSE TO THIS SS. The Government will not review any other information or attachments included, that are in excess of the 5-page limitation.

Submit your response via email to Laura.Ferguson@va.gov Submit your response by 4:30 P.M. Central Time on 07/20/2021.

STATEMENT OF WORK

John J. Pershing VA Medical Center Importer and CD/DVD Burner Solution

Introduction: John J. Pershing VA Medical Center is seeking one or more solutions to import and burn DICOM CDs/DVDs for the purpose of providing images and reports to patients and outside facilities and importing them into the medical record. The solution shall include both the hardware and software components. The importer and CD/DVD burner solution shall perform the functionality as detailed below.

The importers and CD/DVD burners will be required for each of the following VA facilities:

· John J. Pershing VAMC 1500 N. Westwood Blvd Poplar Bluff, MO 63901

Requirements (shall meet or exceed):

Import Requirements:

1. Proposed solution shall be able to perform both archive and modality worklist queries for study reconciliation

2. Proposed solution shall be able to auto-route imported studies to specified DICOM destinations, either prior to or following study reconciliation

3. Describe the solution’s ability to import encrypted DICOM CDs/DVDs

4. Describe the solution’s ability to provide virus scanning of CD/DVDs prior to import

5. Proposed solution shall provide for unlimited media importing software licenses

6. It is preferred to have the ability to view images prior to import

7. Proposed solution shall provide the ability for more than one simultaneous user to perform importing

8. It is preferred that the proposed solution can include or exclude structured reports and presentation states for study imports

CD/DVD Burning Requirements:

1. John J. Pershing VA Medical Center requires the following number of CD burners:

CD burners

2. User Interface

a. Provide ability to burn CD/DVDs from a web client for multiple concurrent users

b. It is preferred to be able to sort query results by patient last name

c. It is preferred to have the ability to provide usage data

d. It is preferred to have the ability to audit usage by user

e. Queue functionality

i. Scheduled – Indicates the date and time a job is scheduled to run in the future

ii. Pending – Indicate the order current jobs will run

iii. Running – Indicates the jobs that are currently running

iv. Completed – Indicates the jobs completed in the last 24 hours

v. Failed – Indicates the jobs that have failed in the last 24 hours

vi. Priority

1. Provide ability to change the priority of Scheduled or Pending jobs

2. Provide ability to set priority when queuing a job utilizing the user interface

3. Prefer the ability to send to a high priority DICOM node

f. Queue details

i. Patient Name (0010,0010)

ii. Patient ID (0010,0020)

iii. Accession Number (0008,0050)

iv. Study Description (0008,1030)

v. Study Date (0008,0020)

vi. Number of images (application provided)

vii. Completed time (application provided)

3. Provide input bin(s) for at least 100 discs

4. Provide an output drawer that can store at least 10 discs and an output bin that can store at least 50 discs

5. Provide ability to remove completed discs without interrupting other burning jobs

6. Proposed solution must print necessary disc information on the surface of the media via an integrated high-resolution inkjet or a comparable technology. The necessary disc information includes the following information:

a. Patient Name (0010,0010)

b. List of Studies

i. Study Description (0008,1030)

ii. Study Date (0008,0020)

iii. Modality type (0008,0060)

iv. Provide notation that additional studies are available on the disk if not all studies can be listed

c. CD/DVD creation date (application provided)

d. Facility Name

i. Institution Name (0008,0080) or application configurable

e. VA provided logo, specific to each station (i.e. John J. Pershing VAMC, Kansas City VAMC, etc.)

f. Preferred to be able to provide user notes on the label at the time of job submission

g. It is preferred to have the ability to burn a disc without a label

7. Proposed solution shall include the physical PC and shall not be Windows XP or earlier or Windows Server 2003 or earlier

8. Proposed solution shall accept study reports via HL7 and include on the disk

9. It is preferred that the proposed solution provides a burner monitor that shows the status of the ink/drives

10. It is preferred that the proposed solution can manage privileges by users or groups

11. Proposed solution should automatically span multiple CD/DVDs for a single patient and/or study

12. Proposed solution should select a CD or DVD based on volume of information to be applied to the media

13. Proposed solution shall provide an image viewer capable of the following:

a. Displaying all images and reports contained on the CD/DVD

b. Windowing and Leveling

c. Scrolling

d. Zooming and Panning

e. Laterality and Spatial Cross-Referencing

f. Annotations identifying the patient and study information as defined in the DICOM tags

g. Cine of single and multi-frame images

h. It is preferred that the image viewer can perform measurements

i. It is preferred that the burner could use a VA-provided image viewer in place of the provided viewer

14. Describe the ability to perform disc encryption that is both DICOM and FIPS 140-2 compliant and whether it can be toggled on or off per request

15. All studies requiring CD/DVD burning will be DICOM transferred or queried and retrieved from a DICOM Storage SCU/SCP

16. Proposed solution shall be able to query a DICOM SCP as a DICOM SCU - Study Root Query - 1.2.840.10008.5.1.4.1.2.2.1

17. Proposed solution shall be able to retrieve from a DICOM SCP as a DICOM SCU Study Root Retrieve - 1.2.840.10008.5.1.4.1.2.2.2

18. Describe the ability to integrate with Active Directory or LDAP

19. Each vendor is to respond with a CD burner that meets the criteria listed above. However, if additional models are offered, please include all other models offered by your company in the optional section on the quotes.

Training Requirements:

1. PACS Administrator Training

a. The vendor shall provide user, power-user, and system administrator training for operational support of the proposed solution at each site

2. Biomedical Technical Training

a. Provide technical training for maintenance and service for biomedical engineering personnel at each site

b. Service manuals at each site

c. Training should at minimum address the following topics:

i. Commissioning and preventative maintenance

ii. Troubleshooting

Installation:

1. Proposal shall include complete installation and configuration

Warranty:

1. Maintenance and customer support shall be included for the first year with pricing listed for one-year options for the next 4 years

a. Maintenance and support shall include software upgrades and technical support

b. Maintenance and support shall include overnight swaps of CD/DVD burner hardware

c. Proposed solution shall provide a configuration utility for transferring the configuration from existing to replacement hardware should hardware replacement be necessary

d. The VA shall retain all hard drives

Information to be provided by each vendor:

1. Screenshots detailing the order reconciliation process for importing CD/DVDs

2. DICOM conformance statement for the import functionality

3. IHE Integration Statement for the import functionality

4. DICOM conformance statement for the burning functionality

5. IHE Integration Statement for the burning functionality

6. Details on approved CD/DVD media for use with this solution

7. Physical dimensions for the burner and associated components

8. Completed copy of the Manufacturer Disclosure Statement for Medical Device Security (MDS2) and VA Form 6550 Pre-Procurement Assessment.

9. The contractor shall adhere to VA national site-to-site VPN or work with the VA Office of Cyber and Information Security and John J. Pershing VA MEDICAL CENTER Information Security Officers to establish a client-based VPN

VA INFORMATION AND INFORMATION SYSTEM SECURITY/PRIVACY language FOR Inclusion into CONTRACTS

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.

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).

If VA determines that the contractor has violated any of the information confidentiality, privacy, security, and other 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.

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.

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. Successfully complete the appropriate VA privacy training and annually complete required privacy training (See below 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 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, 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.

7. ADDITIONAL Requirements

a. The COR is responsible for coordinating with the Police prior to contractor arrival to identify the names of contractor personnel so that Police can ensure sufficient number of contractor badges are available for issuance prior to beginning work. COR is also responsible for signing out and signing in temporary contractor badges.

b. The COR is also responsible for maintaining copies of signed Privacy training for all contractors according to RCS 10-1.

c. Any work performed outside of official VA business hours after hours will require escorts.

d. Escort duties for un-cleared contractors are strictly limited to government officials, specifically VA employees. At no time are contractors allowed to escort other contractors.

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.

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.

1. 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.

1. 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.

1. 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.

1. 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.

1. 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

Employee Signature

Print Name of Contract Agency, if contractor

Print Name of VHA Department/Supervisor/Local COR

1. Contractor shall comply with all applicable records management laws and regulations, as well as National Archives and Records Administration (NARA) records policies, including but not limited to the Federal Records Act (44 U.S.C. chs. 21, 29, 31, 33), NARA regulations at 36 CFR Chapter XII Subchapter B, and those policies associated with the safeguarding of records covered by the Privacy Act of 1974 (5 U.S.C. 552a). These policies include the preservation of all records, regardless of form or characteristics, mode of transmission, or state of completion.

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

3. In accordance with 36 CFR 1222.32, Contractor shall maintain all records created for Government use or created in the course of performing the contract and/or delivered to, or under the legal control of the Government and must be managed in accordance with Federal law. Electronic records and associated metadata must be accompanied by sufficient technical documentation to permit understanding and use of the records and data.

4. JJP VAMC 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 JJP VAMC 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 JJP VAMC. The agency must report promptly to NARA in accordance with 36 CFR 1230.

5. 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 [FACILITY] 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 vehicle]. Destruction of records is EXPRESSLY PROHIBITED unless in accordance with Paragraph (4).

6. 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 JJP VAMC guidance for protecting sensitive, proprietary information, classified, and controlled unclassified information.

7. The Contractor shall only use Government IT equipment for purposes specifically tied to or authorized by the contract and in accordance with JJP VAMC policy.

8. The Contractor shall not create or maintain any records containing any non-public JJP VAMC information that are not specifically tied to or authorized by the contract.

9. 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.

10. John J Pershing VAMC 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 JJP VAMC 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.

11. 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.

a. COR will provide Contractor with “Records Management for Everyone” to review and attest completion.

Flow down of requirements to Subcontractors

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

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

I certify that I have read and understand the Records Management for Everyone Training.

Employee Signature

Sources Sought Notice image1.emf

Records Management for Everyone.pdf

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.

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

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.

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

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.

VA’s records management program can be understood by looking at its major components.

In this lesson you, will learn about the components of the VA records management program and how NARA communicates through bulletins and notices.

The VA records program consists of five program components identified by NARA: control and organization, evaluation, training, promotion, and implementation. In the diagram, notice that program implementation is supported by the other four program components.

Select more information to reveal a brief description of each of the five program components.

Control and organization is the first records program component and is the foundation for other components. The Secretary of VA has ultimate responsibility for ensuring the program is implemented and complies with all requirements.

Evaluation involves periodic records program reviews at all levels within VA. The VA CIO is responsible for VA‐wide reviews. Each administration and staff office reviews its organization, facility, and local programs.

Training is both a VA‐wide and a localized component of the records program.

VA leaders must communicate about records management and promote records management awareness within the organization. They must also remind everyone of how to manage records properly and illustrate the benefits of doing so. They must also remind everyone of the penalties and consequences of poor records management.

VA Handbook 6300 requires periodic communication of criminal and civil penalties for willfully destroying records and information not authorized for destruction.

Day‐to‐day implementation of the records program takes place within each Administration and Staff office.

The VA Records Officer is responsible for the overall implementation of the VA Records Management Program. Administration and Staff office records management actions rely on guidance from the VA Records Officer.

Control and Organization is the foundation for all other VA Records Program components

VA Records Officer Records Liaison Administration or Staff Office Chief

Administration and Staff Office Chief appoints a Records Officer and ensures the Administration or Staff office implements a records program for the operating unit.

VA Records Officer is responsible for Department‐wide implementation of the VA Records Management Program.

Records Liaison is responsible for supporting the Facility Records Officer.

You should now be familiar with the five VA records program components, responsibilities of those who administer the program, NARA bulletins and notices, and where to get more information.

In this lesson, we’ll briefly review highlights of the course. Let’s begin with the reasons why proper records management is important for VA.

The records life cycle helps identify the order in which tasks must be completed to manage

Every VA employee comes in contact with business information necessary to their work.

Business information includes both records and nonrecords. In addition, individuals may have personal files present in the workplace. Knowing how to handle each type of record is necessary for proper records management.

The VA records program matches five program components identified by NARA.