36C26218R0254-002.docx

36C26218R0254

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

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. 52.212-3 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

605-18-1-046-0007

36C26218R0254 01-27-2018 Sandra Fusco 562-766-2226 02-13-2018

00262 Department of Veterans Affairs Network Contracting Office 22 4811 Airport Plaza Drive Suite 600 Long Beach CA 90815

X xx

518210 $32.5 Million

N/A

Department of Veterans Affairs VA Loma Linda Healthcare System 11201 Benton Street

Loma Linda CA 92357 00262 Department of Veterans Affairs Network Contracting Office 22 4811 Airport Plaza Drive Suite 600 Long Beach CA 90815

Department of Veterans Affairs Financial Services Center P.O. Box 149971

Austin TX 78714-9971

See CONTINUATION Page

See enclosed schedule of services and price.

See CONTINUATION Page

XX

x

Sandra Fusco

Table of Contents

SECTION B - CONTINUATION OF SF 1449 BLOCKS

B.1 CONTRACT ADMINISTRATION DATA

(continuation from Standard Form 1449, block 18A.)

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

a. CONTRACTOR:

b. GOVERNMENT: Contracting Officer 36C262 Sandra Fusco Department of Veterans Affairs Network Contracting Office 22 4811 Airport Plaza Drive, Suite 600 Long Beach CA 90815

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.

ACKNOWLEDGMENT OF AMENDMENTS: The offeror acknowledges receipt of amendments to the Solicitation numbered and dated as follows:

B.2 NOTIFICATION TO OFFERORS

1. The VA Loma Linda Healthcare System (VALLHS) requires Cancer Tumor Registry Services as described herein.

2. In order to be considered for award, Offerors shall complete and return all information designated in the enclosed FAR clause 52.212-1, Addendum to 52.212-1 regarding proposal submission. Failure to do so may preclude the offeror from further consideration.

3. TECHNICAL INQUIRES: Direct all technical inquiries via email only to the contracting officer, Sandra Fusco at Sandra.Fusco@va.gov by February 1, 2018. Questions will be answered via an amendment to this solicitation and will be posted to www.fbo.gov on or about February 5, 2018.

4. DUNS NUMBER: Provide the Dun and Bradstreet Number assigned to your firm in the space provided below: (refer to Provision 52.212-1, Instructions to Offerors – Commercial Items):

5. This requirement is set aside 100% for Veteran Owned Small Business (VOSB), therefore only VOSBs verified in the VA’s Vendor Information Pages (VIP) site at https://www.vip.vetbiz.gov/, at the time of proposal submission will be considered for award.

6. Limitations on Subcontracting. Subcontracting limitations will be measured in terms of the amount spent in subcontracts. Subcontracts with similarly situated VOSBs will be excluded from the calculation. These changes were finalized by the Small Business Administration (SBA) effective 6/30/2016 (see SBA’s Small Business Government Contracting and National Defense Authorization Act of 2013 Amendments, Federal Register of 5/31/2016). The changes resulting from the SBA published regulations have not yet been incorporated in the FAR. Until such time as the FAR is updated with these new requirements, the SBA published regulations govern. Consequently, the July 25, 2016 VA Acquisition Regulation Class Deviation (issued via PPM 2016-05) specifically states in Attachment 10, VAAR clause 852.219-10 and 852.219-11, that Contractors shall comply with the SBA regulations at 13 CFR 125.6.

7. Post-Award Teleconference. The awarded Contractor shall participate in a post-award orientation teleconference with the Contracting Officer and the Contracting Officer’s Representative to discuss onboarding of Cancer Tumor Registrars and other terms and conditions in the contract.

B.3 LIMITATIONS ON SUBCONTRACTING-- MONITORING AND COMPLIANCE (JUN 2011)

This solicitation includes VAAR 852.219-11 VA Notice of Total Veteran-Owned Small Business Set-Aside. 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.

B.4 SCHEDULE OF SERVICES AND PRICE

This is an indefinite delivery, indefinite quantity, (IDIQ) fixed-price contract. Prices in this schedule represent an all-inclusive rate including labor, incidental costs, overhead, and insurance premium payments for applicable insurance coverage. Costs not incorporated into the contractor’s price will not be reimbursed by the Government.

The guaranteed minimum amount for this contract is $1,000.00. The maximum aggregate value of the orders that can be placed under this contract is $500,000.00. The Government does not guarantee that it will place any orders under this contract in excess of the guaranteed minimum amount.

The previous option year pricing will apply to any extension pursuant to FAR 52.217-8 Rejects/do-overs will not be invoiced.

BASE PERIOD (12 MONTHS): March 1, 2018 – February 28, 2019

OPTION PERIOD ONE (1) (12 MONTHS): March 1, 2019 – February 28, 2020

OPTION PERIOD TWO (2) (12 MONTHS): March 1, 2020 – February 28, 2021

OPTION PERIOD THREE (3) (12 MONTHS): March 1, 2021 – February 28, 2022

OPTION PERIOD FOUR (4) (12 MONTHS): March 1, 2022 – February 28, 2023

B.5 STATEMENT OF WORK

1. GENERAL. The Contractor shall provide Cancer Tumor Registry Services for the VA Loma Linda Healthcare System. Tumor Registry Services shall include, but are not limited to the following:

a. Ongoing records maintenance, including completion of abstractions.

b. Ongoing timely and accurate case abstracting and coding with 90% accuracy.

c. Computer data entry (electronic patient record/VISTA Oncology package) of all cases.

d. Meeting reporting requirements of statewide cancer registry, the American College of Surgeon’s Commission on Cancer and the VA Central Cancer Registry.

e. Maintaining credentials through the National Cancer Registrar’s Association.

f. Maintaining a cancer database that can be used to evaluate the efficiency of cancer therapy in the region as well as provide a base for epidemiological studies; and

g. Maintaining patient and records confidentiality in accordance with the Privacy Act of 1974, complying with the terms of VA computer access security agreement, and other applicable government regulations

h. Providing occasional consultative services both by telephone and possibly on site to assist sites in the accreditation process

2. CONTRACTOR RESPONSIBILITIES. The contractor is responsible for the following:

a. Providing all necessary computer equipment for use at the Contractor’s remote site(s), as applicable.

b. Providing Cancer Registry function of follow-up as described in the Standards of the American College of Surgeon’s Commission on Cancer (ACoS CoC); Facility Oncology Registry Data Standards (FORDS). These functions shall include computer input, data review and report generation tailored to the needs and/or specifications of the VA.

c. Ensuring that contractor personnel functioning under this contract are Certified Tumor Registrars. Contractor shall verify its personnel’s current certification status with the National Cancer Registrars Association and shall provide evidence to the Contracting Officer’s Representative (COR) for all personnel working under this contract.

d. Abstracting. The Contractor’s abstracting personnel may perform the abstracting functions from a VA facility or from remote locations and shall comply with the industry standard of case completion in six (6) months after date of diagnosis. A list of cases completed shall be provided to the COR along with monthly invoices. Abstracting shall encompass the full and complete data set (required, optional and supplemental fields) to present a complete patient summary in the VISTA Oncology package; text field shall be utilized to document finds on Physical Exam, Scans, Scopes, Labs, Diagnostic OPS and Pathology, Collaborative Stage and AJCC TNM staging shall be performed on all cases meeting the criteria as established by SEER and the American Joint commission on Cancer, 7th Manual for the Staging of Cancer, in conjunction with accepted principles.

e. Assisting, as requested, the VA in eliminating backlog of abstraction cases.

f. Performing a random 10% quality assurance on all newly abstracted cases for compliance noting any deficiencies or non-deficiencies. A list shall be forwarded to the COR via e-mail noting any deficiencies or non-deficiencies. VALLHC Cancer Committee will provide a quality review of this data.

g. Correcting all inconsistencies found through any quality assurance review within 2 months of submission of inconsistencies, errors, warnings, or any other data quality problems at no additional cost to the VA.

h. Compliance with all guidelines governing the accepted standard of registry operations, to include the American College of Surgeon’s commission on Cancer, American Joint commission on Cancer, National Cancer Institute’s Surveillance, Epidemiology and End Results Health Organization’s International Classification of Diseases for Oncology, 3rd Edition, both current and future.

i. Submitting signed VA’s Confidentially Disclosure Agreements and forms as required for all contractor personnel to the COR prior to contractor personnel beginning work under this contract.

3. VALLHS RESPONSIBILITIES. The VALLHS is responsible for the following:

a. Providing network access to the electronic medical records and programs maintained in the VA data system, either on site or via the Contractor’s remote location.

b. Performing periodic updates, as deemed necessary to maintain currency on the use of the VA’s software packages to include: Oncology Tumor Registry, Laboratory/Pathology, Surgery, Radiology, Discharge, Primary Care Patient Inquiry, Health Summary, VISTA Imaging, and Electronic Mail.

c. Performing unusual case finding; and patient care evaluation functions not contracted/negotiated previously, or for selected American College of Surgeons Electronic Patient Care Evaluation.

d. Completion of annual reports, follow-up letters, contracts with physicians, family members, and any other health care provider pertaining to patients that may be lost to follow-up, case finding, data extraction for local VA needs, and reporting to all state and national agencies as required.

e. VA Managing Physicians will be responsible for the staging of newly diagnosed cancer cases entering the appropriate stages into the appropriate staging templates. VA will report the stages by the managing physicians and will post to the appropriate cases in the fields Physician’s State and Physician Staging when available.

4. RELEASE AND CONFIDENTIALITY OF MEDICAL INFORMATION.

a. The contractor shall only release medical information obtained during the course of this contract to other contractor or VA employees involved in the care and/or treatment of that individual patient. Patient demographics shall be treated as privileged information. Lists, names, and/or social security numbers of patients shall not be disclosed or revealed any way, for any use outside the contractor’s facility or without prior express written permission of the VA Chief of Staff.

b. Transcribed reports containing personal identifiers, as identified below, when not used as an official document, must be shredded by the contractor.

c. The contractor is subject to the provisions of the Privacy Act of 1974 (Public Law 93-579); the comprehensive Alcohol and Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1972 (Public Law 93-282); the Drug Abuse Office and Treatment Act of 1972 (Public Law 93-255); and all other Federal or State statues regarding confidentiality of patient information.

d. VA shall be provided access to medical records in the contractor’s facility regarding a veteran’s dosing under this contract.

e. Veterans requesting copies of medical information generated by the Contractor shall be referred to the VALLHS Release of Information Office.

5. ORDERING ACTIVITIES AND OFFICES:

6. HEALTH REQUIREMENTS: Contractor personnel shall maintain compliance with the following prior to and during the entire contract period of performance:

7. CONFIDENTIALITY:

a. All contractor personnel shall observe the requirements imposed on sensitive data and information by law, Federal regulations, VA statutes and policy, Veterans Health Administration (VHA) policy and guidelines and the associated requirements to ensure appropriate screening of all personnel (e.g., Privacy Act of 1974, Public Law 93-579, the requirements of the FPM 731, Subchapter 2 under E.O. 10450, etc.).

b. In order to maintain patient medical records, the contractor shall have access to the Department of Veterans Affairs System(s) of Records entitled, “Patient Medical Records-VA (24 VA 136).”

c. Contractor personnel who obtain access to hardware or media which may store drug or alcohol abuse data, sickle cell anemia treatment records, records of tests or treatment for or infection with Human Immunodeficiency Virus (HIV) or medical quality assurance records protected by 36 U.S.C. 4132 or 3305, as defined by the Department of Veterans Affairs, shall not have access to the records unless absolutely necessary to perform their contractual duties.

8. THE JOINT COMMISSION GUIDELINES: Where the contract does not require, “The Joint Commission” (JC), accreditation or other regulatory requirements regarding worker competency, the Contractor must perform the required work in accordance with, (JC), standards. The Contractor is required to develop and maintain the following documents for each Contractor employee working on the contract:

1. Credentials and qualifications for the job;

1. A current competency assessment checklist (an assessment of knowledge, skills, abilities and behaviors required to perform a job correctly and skillfully);

1. Proof of knowledge and skills required to provide care for certain patient populations, as appropriate;

1. Current performance evaluation supporting ability of Contractor employee to successfully perform the work required in this solicitation;

1. Listing of relevant continuing education for the last two years.

1. The Contractor will provide current copies of these records annually, to the VA Contracting Officer’s Representative (COR), or upon request, for each Contractor employee working on the contract.

9. VETERAN SENSITIVITY:

a. Contractor personnel shall respect and maintain the basic rights of veterans, demonstrating concern for personal dignity and human relationships.

b. Complaints shall be investigated individually. Contractor personnel receiving more than two (2) verified complaints from COR, Veteran Advocate, HCC, Case Managers or social workers related to sensitivity within any consecutive three (3) month period shall require the contract personnel to complete a sensitivity training class before continuing to provide services under the contract. Contractor personnel shall participate in sensitivity training class which shall be the sole responsibility of the Contractor at no expense to the Government. Depending upon the nature and severity of the complaint, the Government reserves the right to suspend performance of subject contract personnel or prohibit performance altogether, as deemed appropriate.

10. CONTRACTOR POINT OF CONTACT: The Contractor shall assign a Point of Contact (POC) and an alternate POC for the purpose of ensuring compliance with all the terms and conditions of this contract and who shall be responsible for administration and clinical matters in the performance of services under this contract. The POC shall have full authority to act for the Contractor on all matters relating to the daily operation of this contract.

The POC shall be available by telephone Monday through Friday, between 7:30 a.m. to 4:00 p.m. excluding National Holidays.

11. NORMAL WORKING HOURS: Normal working hours are defined as 7:30 a.m. to 4:00 p.m. Monday through Friday, excluding weekends and National Holidays.

12. NATIONAL HOLIDAYS:

Contractor shall not be required to perform services on federally recognized holidays. Note: Clinical services shall not be required on National Holidays.

Listed below are the ten legal National Holidays observed by the Federal Government:

When one of the holidays falls on Sunday, the following Monday shall be observed as a legal holiday by U.S. Government Agencies. When a holiday falls on a Saturday, the preceding Friday shall be observed as a legal holiday. Also included would be any other day specifically declared by the President of the United States to be a National holiday.

13. CONTRACTOR’S PERSONNEL’S SECURITY REQUIREMENTS:

a. The Office of Security and Law Enforcement provides Department-wide policy on the assignment of appropriate position sensitivity designations associated with Department of Veterans Affairs (VA) positions involving national security and public trust responsibilities, and on the level of background investigations required for applicants for, and incumbents of, those positions.

b. IAW VA 0710 Handbook, appointees and contract personnel appointed to Low/Moderate/High Risk positions must be subjects to a background investigation conducted by OPM and receive a favorable adjudication from the VA Office of Security and Law Enforcement to ensure compliance with such policy. If such investigation has not been completed prior to contract commencement, the Contractor shall be responsible for the actions of those individuals performing under the contract.

c. Should the contract require Contractor’s personnel to maintain U.S. citizenship, the Contractor shall be responsible for compliance. Regardless of U.S. citizenship requirements, Contractor’s personnel are required to read, write, speak, and understand the English language, unless otherwise specified in this contract or agreed to by the Government.

d. The cost for such investigations shall be borne by the Contractor, either in advance or as reimbursement to the Government. The level of sensitivity shall be determined by the Government on the basis of the type of access required. The level of sensitivity will determine the depth of the investigation and the cost thereof. At this time, the current estimated costs for such investigations are as follows:

LEVEL OF

SENSITIVITY

BACKGROUND

INVESTIGATION LEVEL

APPROXIMATE COST

e. The Contractor shall be required to furnish all applicable employee information required to conduct the investigation, such as, but not limited to, the name, address, and social security number of the Contractor’s personnel. The VA will provide all the necessary instructions and guidance for submission of the documents required to conduct the background investigation. Background investigations shall not be required for contract personnel assigned to Low Risk/non-sensitive positions for 180 days or less under a single contract or series of contracts. However, a Security Access Clearance (SAC) background screening will be required for appropriate preliminary checks IAW VA Directive 0710.

14. SITE INSPECTION: The VALLHS may conduct an inspection of the Contractor’s facility(s) and/or equipment prior to and anytime during the contract performance. VALLHS shall notify the contractor at a minimum 24 hours in advance for an appointment. The Contractor shall permit on-site visits by VA to assure compliance with contract requirements. Contractor shall make all records accessible for a review.

15. CONFLICT OF INTEREST & ETHICS: The Contractor shall not employ any person who is an employee of the United States Government if the employment of that person creates a conflict of interest. The Contractor shall not employ any person who is an employee of the Department of Veterans Affairs (VA) unless such person seeks and receives approval in accordance with VA Regulations and public law. Nor shall the Contractor employee any person who is a member of the immediate family of a VA employee employed at the VA Health Care System if the employment of that family member would create a conflict of interest or appearance of a conflict of interest, particularly with regard to influencing the contract negotiations, terms of the contract, or the work carried out under the contract. In any such case, the VA must review the matter and give its approval in accordance with agency ethics rules. Contractor shall ensure no violation of ethics occurs between VA staff, VA patients and families of VA staff. Staff shall not accept, solicit, allow or invite gifts, gratuities, sales of items, etc. Any occurrence shall be reported to the COTR along with corrective action taken, and the reports will be kept on file for the duration of the contract.

16. HEALTH AND HUMAN SERVICES-OFFICE OF INSPECTOR GENERAL: To ensure that the individuals providing services under the contract have not engaged in fraud or abuse regarding Sections 1128 and 1128A of the Social Security Act regarding federal health care programs, the contractor is required to check the Health and Human Services- Office of Inspector General (HHS/OIG), List of Excluded Individuals/Entities on the OIG Website (www.hhs.gov/oig) for each person providing services under this contract. Further the Contractor is required to certify in its proposal that all persons listed in the contractor’s proposal have been compared against the OIG list and are not listed. During the performance of this contract the Contractor is prohibited from using any individual or business listed on the List of Excluded Individuals/Entities.

17. HIPAA COMPLIANCE: Contractor must adhere to the provisions of Public Law 104.191, Health Insurance Portability and Accountability Act (HIPAA) of 1996 and the National Standards to Protect Privacy and Security of Protected Health Information (PHI). As required by HIPAA, the Department of Health and Human Services (HHS) has promulgated rules governing the security and use of protected health information by covered entities, including the Department of Veterans Affairs (VA). In accordance with 45 CFR 164.502(e), the Privacy Rule includes exceptions to Business Associate Standard. This requirement meets the Business Associate agreements requirements and does require a Business Associate agreement in order to cover entity to disclose Protected Healthcare Information to a health care provider for treatment.

18. ACCREDITATION/LICENSING/QUALIFICATIONS: The Contractor must be accredited and licensed in the State of California and meet Joint Commission standards by providing proof of valid and current licenses as a Certified Tumor Registrar and Valid National CTR Licensee.

19. CONTRACT PERFORMANCE MONITORING: The contractor’s QC (Quality Control) on contract performance shall be monitored through a variety of mechanisms. A log will be maintained by the COR and updated in the contract file quarterly, relative to problems or complaints associated with this contract. The log will document what resolution is reached regarding each issue, whether accomplished in a timely manner, and indications of effective contractor QC to avoid repeat occurrences.

B.6 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 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 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, FIPS, and NIST standards related to the annual FISMA security controls assessment and review and update the PIA. Any deficiencies noted during this assessment must be provided to the VA contracting officer and the ISO for entry into VA's POA&M management process.