36C26118Q0376-003.docx

36C26118Q0376

PAGE 1 OF

1. REQUISITION NO.

2. CONTRACT NO.

3. AWARD/EFFECTIVE DATE

4. ORDER NO.

5. SOLICITATION NUMBER

6. SOLICITATION ISSUE DATE

a. NAME

b. TELEPHONE NO. (No Collect Calls)

8. OFFER DUE DATE/LOCAL

TIME

9. ISSUED BY

CODE

10. THIS ACQUISITION IS

UNRESTRICTED OR

SET ASIDE:

% FOR:

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

WOMEN-OWNED SMALL BUSINESS

(WOSB) ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

8(A)

NAICS:

SIZE STANDARD:

11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

13a. THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

13b. RATING

14. METHOD OF SOLICITATION

RFQ

IFB

RFP

15. DELIVER TO

CODE

16. ADMINISTERED BY

CODE

17a. CONTRACTOR/OFFEROR

CODE

FACILITY CODE

18a. PAYMENT WILL BE MADE BY

CODE

TELEPHONE NO.

DUNS:

DUNS+4:

PHONE:

FAX:

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN OFFER 18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK BELOW IS CHECKED

SEE ADDENDUM

19.

20.

21.

22.

23.

24.

ITEM NO.

SCHEDULE OF SUPPLIES/SERVICES

QUANTITY

UNIT

UNIT PRICE

AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA

26. TOTAL AWARD AMOUNT (For Govt. Use Only) 27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

ARE

ARE NOT ATTACHED.

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

ARE

ARE NOT ATTACHED

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN _______________

29. AWARD OF CONTRACT: REF. ___________________________________ OFFER

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

DATED ________________________________. YOUR OFFER ON SOLICITATION

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED

SET FORTH HEREIN IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER) 30b. NAME AND TITLE OF SIGNER (TYPE OR PRINT) 30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER (TYPE OR PRINT) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

(REV. 2/2012)

PREVIOUS EDITION IS NOT USABLE

Prescribed by GSA - FAR (48 CFR) 53.212

7. FOR SOLICITATION

INFORMATION CALL:

STANDARD FORM 1449

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

640-18-2-504-0015

04-04-2018

RICO JOHNSON

916-923-4513 04-20-2018

12:00 PM PST

612MCP

Department of Veterans Affairs VA Sierra Pacific Network (VISN 21) VA Northern California HealthCare System 5342 Dudley Blvd, Bldg 209 McClellan CA 95652-2609

X

541611 $15 Million

X

N/A

VA Northern California Healthcare System 5342 Dudley Blvd., Bldg. 209

McClellan CA 95652

612MCP

Department of Veterans Affairs Department of Veterans Affairs VA Northern California HealthCare System 3230 Peacekeeper Way, Bldg. 209 McClellan CA 95652-1012

Department of Veterans Affairs FMS VA-9(101) Financial Services Center

PO Box 149971 Austin TX 78714-9971

The contractor shall provide LEAN CONSULTING SERVICE Service for the VA PALO ALTO Health Care System

SECTION B - CONTINUATION OF SF 1449 BLOCKS

B.1 CONTRACT ADMINISTRATION DATA

1. Contract Administration: All contract administration matters will be handled by the following individuals:

a. CONTRACTOR:

b. GOVERNMENT: Contracting Officer 36C261 Department of Veterans Affairs VA Sierra Pacific Network (VISN 21) VA Northern California HealthCare System 5342 Dudley Blvd, Bldg 209 McClellan CA 95652-2609

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

3. INVOICES: Invoices shall be submitted in arrears:

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

Department of Veterans Affairs FMS VA-9(101) Financial Services Center

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

B.2 PRICE/COST SCHEDULE

ITEM INFORMATION

Contract Period: Base POP Begin: 05-01-2018 POP End: 04-30-2019

B.3 DELIVERY SCHEDULE

Palo Alto Health Care System 3801 Miranda Ave.

Palo Alto, CA 94304

USA

1.00

TBD

Statement of Work – Palo Alto Health Care System Consultant Services

1. PROJECT TITLE: Lean Consultant Services to further develop VA Palo Alto Healthcare System’s (VAPAHCS) Lean Management System branded as the Service Improvement Model.

2. BACKGROUND: VAPAHCS has been on a seven year lean journey focused on implementing a management system as a standard for how business is conducted throughout the healthcare system. The purpose of this task order is to further the development of VAPAHCS’s Service Improvement Model (SIM). Consultant services are required to assist in the development and execution of the SIM roadmap which will guide the next evolution and continued deployment of SIM.

3. SCOPE

VAPAHCS requires expert consultant services in the areas of executive coaching for organizational performance, development, deployment, and management of strategic initiatives, and maturation of the existing lean management system. Consultants must be flexible to adapt to changing needs of the healthcare system and potential changes to the SIM roadmap.

The following table represents the facility’s Lean Maturity thus far:

FACILITY: PALO ALTO

Organizational Maturity Level

Level One - Little or No Evidence that Driver Exists

Level Two - Limited Evidence that Driver Exists

Year In

CRITICAL PILLARS

STRATEGIC

X

ORGANIZATIONAL CULTURE

X

INNOVATION AND

IMPROVEMENT

X

INFORMED DECISION MAKING

X

GLOBAL SCORE

I. Service Improvement Model (SIM) Overview:

SIM is a structured management system that is deployed systematically through the organization focused on immersing the organization in lean thinking and lean behaviors. SIM aligns large scale system improvement with micro-level improvement. This is accomplished by setting strategically aligned, long-term improvement goals and overseeing deployment horizontally and vertically through the organization. The methodology of the lean management system is based on three pillars:

A. Respect for People – training and direct participation within Lean activities, support front line staff as the primary problem solvers, and develop internal capacity and capability within the organization.

B. Strategic Alignment – Provide transparency throughout the organization with respect to organizational performance on goals and metrics. Transparency is supported through the use of Visual Management and Leader Standard Work creating alignment with organizational goals. Strategic alignment is organized, executed, and sustained via alignment of the following:

1. Value Stream Analysis (VSA) – horizontal/vertical improvement within product lines/care delivery/support systems

2. Rapid Process Improvement Workshops/Events/Projects – unit or department level improvement aligned to drive VSA improvement goals

3. Unit or team-based continuous improvement huddles

C. Strategic Deployment – ensures that transformational initiatives are tangible and relevant to front line staff and management systems supporting the initiatives are likewise aligned. Strategic deployment is integrated throughout the organization through the use of the Daily Management System which includes but is not limited to:

1. A3 Thinking and methodology

2. Visual Management

3. Leader Standard work

4. KPI Development and Management

II. Program Descriptions:

Lean Sensei will provide in-house facilitative skills, and Executive and Mid-Level mentoring and training, serving to guide and support deployment of the SIM. The primary objectives of the SIM is to enhance the knowledge, understanding and application of Lean principles and tools across the organization, facilitate an enterprise level leadership driven SIM Roadmap, facilitate and support execution of Value Stream Analysis (VSA) and associated Rapid Process Improvement Workshops/Events/Projects. The primary objectives also include training and engaging the organization in the development and use of Standard Work, Leader Standard Work, Continuous Daily Improvement, and A3 Thinking.

The contractor will provide hands-on technical and behavioral training and mentoring to advance SIM. This is accomplished via an Executive Level Sensei and a Mid-Level Sensei.

A. Executive Level Sensei – The executive level sensei is the principle mentor for Healthcare System Leadership and for the Systems Redesign/Lean POC supporting organizational progression through the Lean Management System deployment phases.

1. Primary goals and objectives are to:

a. Enhance Leaderships’ understanding of Lean as it pertains to creating and sustaining a culture of improvement,

b. Develop strategic alignment of organizational improvement and resources, and establish the requisite deployment structures.

2. The executive sensei facilitates the enterprise level strategic improvement plan guiding the Leadership team to design, execute, and monitor improvement efforts including development of the SIM Roadmap.

3. The sensei coaches through open dialogue, encouraging exploration, reflection and open-ended questions leading to “A-ha” moments. Critical to this role is direct modeling and transmission of central Lean tenets:

a. Respect for People,

b. Continuous Improvement,

c. Going to the Gemba,

d. Use of Standard Work and Learning to See.

4. Executive Coaching: Will provide at least 1 hour per week of individual coaching for each member of the Executive Team (7 members). This is in addition to coaching executives on specific improvement initiatives that may be identified at the enterprise level.

B. Mid-Level Sensei – The mid-level sensei facilitates and supports the direct transfer of Lean skills through facilitation and implementation of Rapid Process Improvement Events/Workshops/Projects, and Value Stream Analysis.

1. Primary goal is to enhance the knowledge, understanding and application of Lean principles and tools to front line staff, mid-level managers, and improvement staff.

2. The mid-level sensei supports pre-work assessment required of all Value Stream and Lean RPIW/improvement events, reviews data/materials/documents for relevance, applicability, and appropriateness providing corrective guidance on how to conduct process and value stream maps.

C. Executive and Mid-Level Sensei Collaboration

1. Senseis work collaboratively sharing information, materials, data, and conversations pertinent to successful deployment of the SIM throughout the healthcare system.

2. Sensei work collaboratively with the Chief, Office of Quality, Safety (QSV), and Value and Director, Office of Process Improvement (OPI)

3. Any issues or concerns impacting SIM deployment or where guidance is needed, senseis will contact the Chief, QSV

III. Scope of Work:

Contractor shall provide all labor, supervision, and other resources required to provide on-site facilitation, education, coaching, and mentoring support in order to further the deployment of SIM in accordance with this Statement of Work at the VA Palo Alto Health Care System. All services should be provided in person. Contractor will provide Executive-Level and Mid- Level Sensei personnel. Tasks Include:

A. Provide on-site SIM deployment support from planning through execution and sustainment.

B. Provide on-site SIM education, training and mentoring through direct engagement in Lean activity, modeling and oversight.

C. Provide 1 hour per week of individual, on-site coaching for each member of the Executive Team (7 members/ 7 hours) D. Develop Leadership’s Lean expertise, as well as internal subject matter expertise within the organization, including but not limited to Office of Process Improvement staff and mid-level manger staff.

E. Concepts used by the contractor must align with the SIM model of lean at VAPAHCS and must be able to adapt content, materials, trainings, etc. to align with SIM language, terminology and standards.

F.

G. The contractor shall alert Chief QSV of any events or emergencies impacting the fulfillment of duties or impacting a scheduled site visit as soon as it is known. Communication must be via telephone and not via email communication.

H. Executive Level Sensei Tasks:

· Executive coaching/mentoring, enterprise level strategic improvement work – SIM Roadmap, Value Stream Analysis, Leader Standard Work, CDI, and Visual Management. SIM deployment support, planning, technical assistance as subject matter expert on-site. Coaching/mentoring of OPI Director and Strategic Planner. Collaboration with Mid-Level Sensei and Chief QSV via telephone calls, meetings, submission of monthly standardized SIM sensei report, etc.

I. Mid-Level Sensei Tasks:

· Includes: Facilitation and support of SIM deployment within each site including: RPIW, work design and Value Stream Analysis support (separate from executive coaching), PDCA cycles support and coaching, mid- manager coaching, performance improvement staff coaching, Lean training preparation and support, participation in Chief QSV SIM Sensei meetings and submission of monthly standardized SIM Sensei report.

J. The contractor shall hold Monthly status meetings with Chief QSV to discuss the Monthly Status Report. The contractor shall keep minutes of monthly meeting and distribute for participant review no later than seven (7) calendar days after the meeting.

K. The contractor shall obtain electronic copies of documents generated during improvement work (e.g. A3s, Standard Work, planning documents and progress reports etc.) and upload to QSV sharedrive.

L. Transition-Out: The contractor shall facilitate a seamless transition from the incumbent to an incoming contractor or Government personnel at the expiration of the Task Order. This will be in the form of a formal document identifying each area of work, progress of the work, and plans for transition.

IV. Period of Performance:

The Performance Period of this Task Order is for one Base Period of twelve (12) months after award of the Task Order. Exact period of performance is determined at award of the Task Order.

V. Contractor Key Personnel Requirements:

A. Contractor shall use no more than one (1) key personnel individual to provide Executive and three (3) key personnel individual Mid-Level Sensei support at this site. When practicable, the same individual will provide Executive or Mid-Level Sensei services throughout the period of performance.

B. Sensei Personnel for performance of this contract must demonstrate the following:

1. Minimum of five (5) years of providing consulting services to large-complex healthcare organizations.

2. Minimum of ten (10) years experience facilitating large-scale enterprise level healthcare lean transformation.

3. Experience and ability to successfully teach Lean course materials to all levels of student knowledge and experience (beginning, intermediate, and advanced) to achieve course objectives.

4. Ability to plan, multi-task, and deliver services on schedule; ability to provide on-site support for work.

5. Contractor employees shall abide by the rules and regulations concerning the maintenance of personal standards for instructor integrity, grooming, conduct, speech, and fraternization.

6. Contractor employees must be able to write and speak in clear English so as the employees can be clearly understood by Government personnel.

7. Contractor employees shall present a professional appearance at all times and their conduct shall not reflect discredit upon the United States, the Department of Veterans Affairs (DVA), its policies, leadership or staff.

8. PERFERRED REQUIREMENT: Black Belt level certification (preferably from an American Society for Quality accredited institution)

C. The Government may, at its sole discretion, direct the contractor to remove any contractor employee from performance of this contract. Removal does not relieve the contractor of the responsibility to continue providing the services required under this task order. Within seven (7) calendar days, the Contracting Officer (CO) will provide the contractor with a written explanation to support any request to remove an employee. Any personnel the contractor offers as substitutes shall have the ability and qualifications equal to or better than the key personnel that are being replaced.

D. The contractor agrees that the key personnel shall not be removed, diverted, or replaced from work without approval of the CO. Any personnel the contractor offers as substitutes shall have the ability and qualifications equal to or better than the key personnel that are being replaced. Requests to substitute personnel shall be approved by the CO. All requests for approval of substitutions in key personnel shall be submitted to the Chief, QSV and the CO within 30 calendar days prior to making any change in key personnel. The request shall be written and provide a detailed explanation of the circumstances necessitating the proposed substitution. The contractor shall submit a complete resume for the proposed substitute and any other information requested by the CO needed to approve or disapprove the proposed substitution. The CO will evaluate such requests and promptly notify the contractor of approval or disapproval thereof in writing.

VI. Lean Management System Core Materials:

A. SIM orientation and training will be provided to selected contractor through a variety of methods including but not limited to face to face orientation and printed/electronic materials. Access to all materials including Lean educational presentation materials, forms, templates, Lean event specific materials, agendas, and any Lean training supplies will be provided to the contractor by QSV.

VII. Contract Deliverables:

1. Contractor will provide 30 days (240 hours) of consulting services per month

2. Monthly Status Report – Due 15 Calendar Days after completion of Report Period

a. Current Value Stream or work design/improvement projects. Contractor will provide an overall Project Work Plan that includes current state assessment and planning, work redesign, and milestones for implementation. Status during reporting period (Note: Include documentation of activities performed i.e. Meeting Minutes, Class Evaluations and Rosters, RPIE/RPIW materials or minutes, etc.)

i. Ongoing Activities ii.Completed Activities iii.New Activities identified iv.A3 Reports

b. Upcoming Value Streams/improvement work/A3s Identified and Progress towards implementation

c. Problems and Corrective Actions Taken (include potential issues or concerns with proposed resolutions)

d. Changes in Personnel, to include Security Clearance

e. Government actions required

f. Progressed SIM Schedule

g. Upon completion of events listed in the table below, contractor shall include the deliverable(s) listed for that event in the Monthly Status Report for that reporting period.

Support

Executive Sensei Support (1)

Management system infrastructure

· Complete development of governance structure

· Monthly transformation report summarizing activity & sensei role

· Revise enterprise master calendar

· Submission of tangible outputs and/or documented evidence of activity (e.g.

· Develop enhanced version of executive visibility system

· Develop next version of Operations Huddle to support daily performance

· Support SIM Education/Training program in collaboration with OPI staff.

· Curriculum development and coaching of internal staff developing the internal training program.

Enterprise master calendar, governance structure document, project plan, A3 etc.)

Strategy deployment

· Develop enterprise strategy (3-5 year plan)

· Enterprise A3 or monthly transformation report summarizing activity & sensei role

· Coaching development of Strategic A3s/charters

· Deploy enterprise strategy

· Development of a SIM Roadmap as a Strategic Initiative

· Submission of tangible outputs and/or documented evidence of activity (e.g. Outline of tactics and progress report on tactics, A3, meeting minutes, agendas, examples, etc.)

· Develop tactics at service level

· Check progress on tactics

· Link to VISN and VHA strategy

· Develop standard work for the processes above

Leader coaching

· Coach each executive team member on lean leader mindset & behaviors. Provide one hour per week of coaching to all 7 Executive Team members

· Monthly transformation report summarizing activity & sensei role

· Support the executives in developing and standardizing lean leader practices (leader standard work)

· Submission of tangible outputs and/or documented evidence of activity (e.g. A3, meeting minutes, agendas, examples, org charts, rosters and evaluations from lean training provided to leaders etc.)

· Support evolution/clarity in roles & responsibilities using Responsible/Accountable/Consulted/Informed (RACI) charts driven by clinical dyad position implementation and other org chart changes

Mid-Level Sensei Support (2)

Strategy execution: Stability* & financial viability

· Support the development and deployment of Strategic Initiatives by coaching Strategic A3 development, providing data analysis, deployment planning, and implementation.

· Monthly transformation report summarizing activity & sensei role

· Current Strategic Initiatives include: Reduction of Hospital Acquired Infections, Reduction in Adjusted Length of Stay, Activation of the new San Jose Outpatient Clinic, Model of Care, Continuous Organizational Readiness.

· Support strategic activities as needed and appropriate as strategy unfolds

· Ensure approaches and tactics in support of enterprise strategy are consistent with lean mindset and practices

· Submission of tangible outputs and/or documented evidence of activity (e.g. Overall output from Strategic Initiatives , KPI report, A3, examples, etc.)

· Provide staffing model analysis based on work redesign and skill task alignment to meet performance needs.

· Monthly transformation report summarizing activity & sensei role

· Submission of tangible outputs and/or documented evidence of activity (e.g. project plan, project progress report, A3, meeting minutes, agendas, staffing models examples, etc.)

Practitioner coaching

· Coach Office of Process Improvement (OPI) specialists on lean principles, practices, consulting skills, and tools

· Monthly transformation report summarizing activity & sensei role

· Consult and coach Chief, Quality, Safety, Value on his/her role as internal lean coach to the Executive Team/Director

· Coaching Director, Office of Process Improvement (OPI) on development of office to be able to support SIM deployment. This includes coaching the building internal OPI standard work, tools, etc. in order to train and assess OPI staff skill sets.

· Submission of tangible outputs and/or documented evidence of activity (e.g. SIM strategy, A3, meeting minutes, agendas, examples, rosters and evaluations from lean training etc.)

· Consult on Service Improvement Model (SIM) strategy for the organization including necessary infrastructure for success

· Coordinate with SIM Promotion Team to prepare for SIM Planning Meeting with VAPAHCS Director.

· Attend SIM Planning and Strategic Planning Leadership Board Planning Meetings for coaching.

· Attend weekly Strategic Planning Leadership Board Meeting, Strategic Planning Retreats, and other lean transformation meetings for coaching as requested.

· Coach middle managers on lean mindset, behaviors, practices and tools

· Support organizational on-going lean learning in general

· Support SIM Education/Training program in collaboration with OPI staff. Include curriculum development and coaching of internal staff developing the internal training program.

Special Delivery Instructions:

1. Instructional Material: All materials shall be provided in softcopy and hardcopy format.

1. Softcopy format: Softcopy materials shall be in Microsoft Excel, Microsoft PowerPoint, or Microsoft Word format.

1. Hardcopy format:

0. The material shall be legible (especially tables and figures).

0. Materials shall be provided in compact, durable formats (for example, double sided when possible).

3. Transition-Out Plan / Close Out Report – Due 30 calendar days prior to expiration of Task Order

a. The Transition-Out plan shall demonstrate how the contractor will coordinate with an incoming contractor for a seamless transition that provides for minimal disruption of the SIM activities ongoing.

b. The Transition-Out plan will address the following at minimum: i.History and background of the site lean journey

ii. Project Management Processes

iii. Points of Contact

iv. Location of Technical and Project Management documentation

v. Status of ongoing Technical Initiatives and historical perspective of all initiatives

vi. Value Stream Schedules and Milestones

vii. Government actions required

VIII. Travel:

VAPAHCS is comprised of 11 sites within commuting distance. Services will primarily be provided at the main campus in Palo Alto, CA. Travel to other sites may be required as part of this contract. Travel would be limited to less than 15% of the time. Contractor is responsible for travel to VAPAHCS sites to provide consulting services as required by this contract.

IX. Security:

Contractors will require access to VA facilities and VA network systems for performance of duties and will be required to obtain a VA Personal Identity Verification (PIV) card.

HSPD-12 directs all federal agencies and departments to issue identity cards to provide government workers, contractors, and affiliates with a credential that provides the attributes of security, authentication, trust, and privacy and can be used to verify identities in order to enter federal buildings or gain access to federal computer networks.

PIV Cards may be issued to employees, contractors, and affiliates, including foreign nationals, who have a verified need to access VA physical and/or logical resources for a period of more than 180 concurrent or aggregate days in a 365 day period and require unsupervised access to VA facilities or information systems.

All contractor employees who require access to the Department of Veterans Affairs’ computer systems shall be the subject of a background investigation and must receive a favorable adjudication from the VA Office of Security and Law Enforcement prior to contract performance. The contractor must take the required TMS training to get access to the computer system. This requirement is applicable to subcontractor personnel requiring the same access.

1. Position Sensitivity – The position sensitivity has been designated as Low Risk.

2. Background Investigation – The level of background investigation commensurate with the required level of access is a National Agency Check with Written Inquiries.

3. Contractor Responsibilities -

a) The contractor shall prescreen all personnel, to include non-U.S. Nationals requiring access to the computer systems to ensure they are able to pass the Special Agreement Check, and are able to read, write, speak and understand the English language. The term “United States National” includes both U.S. Citizens and U.S. non-citizen nationals (i.e. American Samoans).

b) The contractor shall submit the following information to the CO within 5 days of receipt of contract award:

c) (i) Applicant’s full name to include complete middle names

(ii) SSN

(iii) Date of birth (DOB) and place of birth to include city, state, country

(iv) Occupation

(v) Email address of company’s POC to send results and resolve issues

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

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

f) The required TMS training for computer access is: Privacy and HIPAA training, VA Privacy and Information Security Awareness and Rules of Behavior.

SECTION C - CONTRACT CLAUSES

C.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es):

http://www.acquisition.gov/far/index.html http://www.va.gov/oal/library/vaar/

(End of Clause)

C.2 LIMITATIONS ON SUBCONTRACTING-- MONITORING AND COMPLIANCE (JUN 2011)

This solicitation includes . Accordingly, any contract resulting from this solicitation will include this clause. The contractor is advised in performing contract administration functions, the CO may use the services of a support contractor(s) retained by VA to assist in assessing the contractor's compliance with the limitations on subcontracting or percentage of work performance requirements specified in the clause. To that end, the support contractor(s) may require access to contractor's offices where the contractor's business records or other proprietary data are retained and to review such business records regarding the contractor's compliance with this requirement. All support contractors conducting this review on behalf of VA will be required to sign an “Information Protection and Non-Disclosure and Disclosure of Conflicts of Interest Agreement” to ensure the contractor's business records or other proprietary data reviewed or obtained in the course of assisting the CO in assessing the contractor for compliance are protected to ensure information or data is not improperly disclosed or other impropriety occurs. Furthermore, if VA determines any services the support contractor(s) will perform in assessing compliance are advisory and assistance services as defined in FAR 2.101, Definitions, the support contractor(s) must also enter into an agreement with the contractor to protect proprietary information as required by FAR 9.505-4, obtaining access to proprietary information, paragraph (b). The contractor is required to cooperate fully and make available any records as may be required to enable the CO to assess the contractor's compliance with the limitations on subcontracting or percentage of work performance requirement.

C.3 IT CONTRACT SECURITY

VA INFORMATION AND INFORMATION SYSTEM SECURITY/PRIVACY

1. GENERAL

Contractors, contractor personnel, subcontractors, and subcontractor personnel shall be subject to the same Federal laws, regulations, standards, and VA Directives and Handbooks as VA and VA personnel regarding information and information system security.

2. ACCESS TO VA INFORMATION AND VA INFORMATION SYSTEMS

a. A contractor/subcontractor shall request logical (technical) or physical access to VA information and VA information systems for their employees, subcontractors, and affiliates only to the extent necessary to perform the services specified in the contract, agreement, or task order.

b. All contractors, subcontractors, and third-party servicers and associates working with VA information are subject to the same investigative requirements as those of VA appointees or employees who have access to the same types of information. The level and process of background security investigations for contractors must be in accordance with VA Directive and Handbook 0710, Personnel Suitability and Security Program. The Office for Operations, Security, and Preparedness is responsible for these policies and procedures.

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

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

e. The contractor or subcontractor must notify the Contracting Officer immediately when an employee working on a VA system or with access to VA information is reassigned or leaves the contractor or subcontractor's employ. The Contracting Officer must also be notified immediately by the contractor or subcontractor prior to an unfriendly termination.

3. VA INFORMATION CUSTODIAL LANGUAGE

a. Information made available to the contractor or subcontractor by VA for the performance or administration of this contract or information developed by the contractor/subcontractor in performance or administration of the contract shall be used only for those purposes and shall not be used in any other way without the prior written agreement of the VA. This clause expressly limits the contractor/subcontractor's rights to use data as described in Rights in Data - General, FAR 52.227-14(d) (1).

b. VA information should not be co-mingled, if possible, with any other data on the contractors/subcontractor's information systems or media storage systems in order to ensure VA requirements related to data protection and media sanitization can be met. If co-mingling must be allowed to meet the requirements of the business need, the contractor must ensure that VA's information is returned to the VA or destroyed in accordance with VA's sanitization requirements. VA reserves the right to conduct on site inspections of contractor and subcontractor IT resources to ensure data security controls, separation of data and job duties, and destruction/media sanitization procedures are in compliance with VA directive requirements.

c. Prior to termination or completion of this contract, contractor/ subcontractor must not destroy information received from VA, or gathered/ created by the contractor in the course of performing this contract without prior written approval by the VA. Any data destruction done on behalf of VA by a contractor/subcontractor must be done in accordance with National Archives and Records Administration (NARA) requirements as outlined in VA Directive 6300, Records and Information Management and its Handbook 6300.1 Records Management Procedures, applicable VA Records Control Schedules, and VA Handbook 6500.1, Electronic Media Sanitization. Self-certification by the contractor that the data destruction requirements above have been met must be sent to the VA Contracting Officer within 30 days of termination of the contract.

d. The contractor/subcontractor must receive, gather, store, back up, maintain, use, disclose and dispose of VA information only in compliance with the terms of the contract and applicable Federal and VA information confidentiality and security laws, regulations and policies. If Federal or VA information confidentiality and security laws, regulations and policies become applicable to the VA information or information systems after execution of the contract, or if NIST issues or updates applicable FIPS or Special Publications (SP) after execution of this contract, the parties agree to negotiate in good faith to implement the information confidentiality and security laws, regulations and policies in this contract.

e. The contractor/subcontractor shall not make copies of VA information except as authorized and necessary to perform the terms of the agreement or to preserve electronic information stored on contractor/subcontractor electronic storage media for restoration in case any electronic equipment or data used by the contractor/subcontractor needs to be restored to an operating state. If copies are made for restoration purposes, after the restoration is complete, the copies must be appropriately destroyed.

f. If VA determines that the contractor has violated any of the information confidentiality, privacy, and security provisions of the contract, it shall be sufficient grounds for VA to withhold payment to the contractor or third party or terminate the contract for default or terminate for cause under Federal Acquisition Regulation (FAR) part 12.

g. If a VHA contract is terminated for cause, the associated BAA must also be terminated and appropriate actions taken in accordance with VHA Handbook 1600.01, Business Associate Agreements. Absent an agreement to use or disclose protected health information, there is no business associate relationship.

h. The contractor/subcontractor must store, transport, or transmit VA sensitive information in an encrypted form, using VA-approved encryption tools that are, at a minimum, FIPS 140-2 validated.

i. The contractor/subcontractor's firewall and Web services security controls, if applicable, shall meet or exceed VA's minimum requirements. VA Configuration Guidelines are available upon request.

j. Except for uses and disclosures of VA information authorized by this contract for performance of the contract, the contractor/subcontractor may use and disclose VA information only in two other situations: (i) in response to a qualifying order of a court of competent jurisdiction, or (ii) with VA's prior written approval. The contractor/subcontractor must refer all requests for, demands for production of, or inquiries about, VA information and information systems to the VA contracting officer for response.

k. Notwithstanding the provision above, the contractor/subcontractor shall not release VA records protected by Title 38 U.S.C. 5705, confidentiality of medical quality assurance records and/or Title 38 U.S.C. 7332, confidentiality of certain health records pertaining to drug addiction, sickle cell anemia, alcoholism or alcohol abuse, or infection with human immunodeficiency virus. If the contractor/subcontractor is in receipt of a court order or other requests for the above mentioned information, that contractor/subcontractor shall immediately refer such court orders or other requests to the VA contracting officer for response.

l. For service that involves the storage, generating, transmitting, or exchanging of VA sensitive information but does not require C&A or an MOU-ISA for system interconnection, the contractor/subcontractor must complete a Contractor Security Control Assessment (CSCA) on a yearly basis and provide it to the COR.

4. INFORMATION SYSTEM DESIGN AND DEVELOPMENT

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

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

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

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

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

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

g. The contractor/subcontractor agrees to:

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

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

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

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

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

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

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

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

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

i. The vendor shall ensure the security of all procured or developed systems and technologies, including their subcomponents (hereinafter referred to as "Systems"), throughout the life of this contract and any extension, warranty, or maintenance periods. This includes, but is not limited to workarounds, patches, hotfixes, upgrades, and any physical components (hereafter referred to as Security Fixes) which may be necessary to fix all security vulnerabilities published or known to the vendor anywhere in the Systems, including Operating Systems and firmware. The vendor shall ensure that Security Fixes shall not negatively impact the Systems.

j. The vendor shall notify VA within 24 hours of the discovery or disclosure of successful exploits of the vulnerability which can compromise the security of the Systems (including the confidentiality or integrity of its data and operations, or the availability of the system). Such issues shall be remediated as quickly as is practical, but in no event longer than 3 days.

k. When the Security Fixes involve installing third party patches (such as Microsoft OS patches or Adobe Acrobat), the vendor will provide written notice to the VA that the patch has been validated as not affecting the Systems within 10 working days. When the vendor is responsible for operations or maintenance of the Systems, they shall apply the Security Fixes within 3 days.

l. All other vulnerabilities shall be remediated as specified in this paragraph in a timely manner based on risk, but within 60 days of discovery or disclosure. Exceptions to this paragraph (e.g. for the convenience of VA) shall only be granted with approval of the contracting officer and the VA Assistant Secretary for Office of Information and Technology.

5. INFORMATION SYSTEM HOSTING, OPERATION, MAINTENANCE, OR USE

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

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

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

d. The contractor/subcontractor's system must adhere to all FISMA,…