Attachment 1 - SOW - OCC Document Destruction.docx

STATEMENT OF WORK

DOCUMENT DESTRUCTION AND SHREDDING SERVICE

PART 1 – GENERAL

1.1 SCOPE: The contractor will be responsible for the collection and final destruction of all sensitive information - particularly Personally Identifiable Information (PII) - placed in contractor labeled and supplied recycling bins throughout the facility.

1.2 LOCATION: 3773 Cherry Creek North Drive, Denver, CO 80209

1.3 PERIOD OF PERFORMANCE:

Base: 12/02/2021 - 12/01/2022

OY1: 12/02/2022 – 12/01/2023

OY2: 12/02/2023 – 12/01/2024

PART 2 – SERVICE REQUIREMENTS

A certificate of initial shredding will be provided to the VA upon the completion of the initial on-site shredding required by the contractor. This document will identify the type of container used to remove sensitive information from VA secure areas to the initial shredding vehicle used. At no time shall these containers be left unattended or be unlocked. The contractor’s initial Destruction Document must also contain the amount of product removed from VA secure areas, the date the information was removed and a signature of the technician performing the initial shredding and recycling service.

2.1 FINAL DESTRUCTION:

If for any reason the final destruction is performed away from a VA facility it must be approved by the Contracting Officer Representative (COR) prior to removal. Shredding will be processed by a National Association for Information Destruction (NAID) certified, bonded, and insured recycler or paper mill. Any transportation of non-shredded material must be protected until final destruction is complete. If the final destruction is witnessed by a contractor (or subcontractor or third party), then the contractor must submit a valid certificate of final destruction to the COR which will include specific clauses to ensure that PII and other VA sensitive information was handled and stored in a secure manner until it undergoes final destruction. If destruction is conducted on site the contractor will provide Certificate of Destruction, to the COR, verifying final destruction of the material to the degree of non-legibility of all material removed and witnessed by a VA employee.

2.2 EQUIPMENT REQUIREMENTS:

The contractor must provide 105 (65gal) labeled lockable disposal bins as needed by the VA to properly secure and store material identified by the VA as being recyclable while awaiting the shredding process. The actual number of bins required will be determined by the VA and contractor upon initiation of this contract with the understanding that the number could increase or decrease depending on mission and growth of the VA. The vender will supply the Contracting Officer Representative with an adequate number of key sets to allow the VA to perform its mission in the most convenient manner possible.

2.3 FREQUENCY: One shredding pick-up of sensitive documentation (paperwork) per week between the hours of 7am – 3pm., preferably Tuesday’s or Thursday’s, not to include federal holidays.

2.4 LOCATION OF INITIAL SERVICE: All initial shredding services will be performed on site with a VA employee in attendance. Driver will provide receipt of shredding identifying number of tips, boxes or weight destroyed and VA employee signature upon completion.

2.5 INSPECTIONS: Contractor’s processes, transportation/Shredding vehicles, warehouse, and final destruction plants are subject to inspection by VA at any time during the course of this contract.

PART 3 – CONTRACTOR PERSONNEL SECURITY

Access to VA Information The contractor requires no access to VA Information Systems. Access to VA information is restricted to physical documents collected throughout the facility to be shredded. The C&A requirements do not apply. Security Accreditation Package is not required. Incidental exposure to PHII/PHI will not require a Business Associate Agreement in accordance with VHA Privacy Fact sheet, Business Associate Agreement, and their Applicability to Janitorial, Shredding, Hazardous Waste Disposal and Courier Services.

Access to VA Spaces Contractors will present to the VA facilities warehouse office where they will sign out a temporary access card issued by a VA warehouse employee. Upon completion the contractor will sign the card back into the VA facilities warehouse office. Contractors will have set keys to the Shred Bins (a copy will also be maintained by the VA facilities warehouse team). Contractors collect shred bin contents during VA operation hours; therefore, they may be unescorted. The contractors will be escorted by the logistics team when they leave the building out to the truck and when they are shredding to ensure data security.

3.1 BACKGROUND INVESTIGATION:

The position sensitivity impact for this effort has been designated as LOW Risk and the level of background investigation is NACI. All Contractor employees who require access to the Department of Veterans Affairs shall be the subject of a background investigation and must receive a favorable adjudication from the VA Security and Investigations Center (SIC) Background Investigation (BI) forms shall be provided by the COR upon contract (or task order) award and are to be completed and returned to the VA Security and Investigations Center (07C) within 3 days for processing. Contractors shall be notified by 07C when the BI has been completed and adjudicated. If the security clearance investigation is not completed prior to the start date of the contract, the employee shall not work on the contract while the security clearance is being processed. Work will commence as soon as the Contractor and Contractor employee receives and email message that states the following: We show that background investigation request on the individual listed below has been completed and the case has been initiated by the Security Investigations Center. When the case is completed, all adjudicative paperwork will be returned to the requesting office. You can provide this email to the Station Information System Security Officer (ISSO) as proof the investigation has been initiated and access can be granted.

3.2 CONTRACTOR RESPONSIBILITIES:

The Contractor shall bear the expense of obtaining background investigations. If the investigation is conducted by the Office of Personnel Management (OPM) through the VA, the Contractor shall reimburse the VA within 30 days.

After contract award and prior to contract performance, the Contractor shall provide the following information to the CO or designated COR:

1. List of names of Contractor personnel.

1. Social Security Number of Contractor personnel.

1. Home address of Contractor personnel or the Contractor's address.

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

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

The Contractor shall be responsible for the actions of all individuals provided to work for the VA under this contract. In the event that damages arise from work performed by Contractor provided personnel, under the auspices of this contract, the Contractor shall be responsible for all resources necessary to remedy the incident.

PART 4 – SECURITY

4.1 SECURITY INCIDENT INVESTIGATION:

The term “security incident” means an event that has, or could have, resulted in unauthorized access to, loss or damage to VA assets, or sensitive information, or an action that breaches VA security procedures. The contractor shall immediately notify the Contracting Officer Representative (COR) and simultaneously, the designated ISSO/Privacy Officer for the contract of any known or suspected security/privacy incidents, or any unauthorized disclosure of sensitive information.

To the extent known by the contractor, the contractor’s notice to VA will identify the information involved, the circumstances surrounding the incident (including to whom, how, when, and where the VA information/assets were placed at risk or compromised), and any other information that the contractor considers relevant.

The contractor will simultaneously report the incident to the appropriate law enforcement entity(ies) of jurisdiction, including the VA Offices of the Inspector General and Security and Law Enforcement, in instances of theft or break-in or other criminal activity. The contractor and their employees will cooperate with VA and any law enforcement authority responsible for the investigation and prosecution of any possible criminal law violation(s) associated with any incident. The contractor will cooperate with VA in any civil litigation to recover VA information, obtain monetary or other compensation from a third party for damages arising from any incident, or obtain injunctive relief against any third party arising from, or related to, the incident.

To the extent practicable, the contractor shall mitigate any harmful effects on individuals whose VA information was accessed or disclosed in a security incident. In the event of a data breach with respect to any VA Sensitive Information processed or maintained by the contractor under the contract, the contractor is responsible for liquidated damages to be paid to VA.

4.2 LIQUIDATED DAMAGES FOR DATA BREACH:

Consistent with the requirements of 38 U.S.C. §5725, a contract may require access to sensitive personal information. If so, the contractor is liable to VA for liquidated damages in the event of a data breach or privacy incident involving any SPI the contractor/subcontractor processes or maintains under this contract.

The contractor shall provide notice to VA of a “security incident” as set forth in the Security Incident Investigation section above. Upon such notification, VA must secure from a non-Department entity or the VA Office of Inspector General an independent risk analysis of the data breach to determine the level of risk associated with the data breach for the potential misuse of any sensitive personal information involved in the data breach. The term 'data breach' means the loss, theft, or other unauthorized access, or any access other than that incidental to the scope of employment, to data containing sensitive personal information, in electronic or printed form, that results in the potential compromise of the confidentiality or integrity of the data. Contractor shall fully cooperate with the entity performing the risk analysis. Failure to cooperate may be deemed a material breach and grounds for contract termination.

Each risk analysis shall address all relevant information concerning the data breach, including the following:

(b) data elements involved, including any PII, such as full name, social security number, date of birth, home address, account number, disability code;

(3) Number of individuals affected or potentially affected;

(4) Names of individuals or groups affected or potentially affected;

(5) Ease of logical data access to the lost, stolen or improperly accessed data in light of the degree of protection for the data, e.g., unencrypted, plain text;

(6) Amount of time the data has been out of VA control;

(7) The likelihood that the sensitive personal information will or has been compromised (made accessible to and usable by unauthorized persons);

(10) Data breach analysis as outlined in 6500.2 Handbook, Management of Security and Privacy Incidents, as appropriate; and

(11) Whether credit protection services may assist record subjects in avoiding or mitigating the results of identity theft based on the sensitive personal information that may have been compromised.

Based on the determinations of the independent risk analysis, the contractor shall be responsible for paying to the VA liquidated damages up to the amount of $37.50 per affected individual to cover the cost of providing credit protection services to affected individuals consisting of the following:

(1) Notification;

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

(3) Data breach analysis;

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

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

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

4.3 SECURITY TRAINING

Personnel who will be accessing information systems must read and acknowledge their receipt and acceptance of the VA Information Security Rules of Behavior (RoB) prior to gaining access to any VA information system or sensitive information. The rules are included as part of the security awareness training that all personnel must complete via the VA’s TMS. After the user’s initial acceptance of the Rules, the user must re-affirm their acceptance annually as part of the security awareness training. Acceptance obtained through electronic acknowledgment is tracked through the TMS system. All VA employees must complete annual Privacy and Security training. This training includes, but is not limited to, the following TMS Courses:

· VA 10176: Privacy and Info Security Awareness and Rules of Behavior

· VA 10203: Privacy and HIPAA Training

· VA 3812493: Annual Government Ethics

TMS Link to create a new Non-employee User: https://www.tms.va.gov/SecureAuth35/

The Contractor shall provide to the contracting officer a copy of the training certificates for each applicable employee within 1 week of the initiation of the contract and annually thereafter, as required.

Failure to complete this mandatory training within the timeframe required will be grounds for suspension or termination of all physical and/or electronic access privileges and removal from work on the contract until such time as the training is completed.

4.4 BACKGROUND INVESTIGATIONS:

The position sensitivity impact for this effort has been designated as LOW Risk and the level of background investigation is NACI.

Contractor Responsibilities

The Contractor shall bear the expense of obtaining background investigations. If the investigation is conducted by the Office of Personnel Management (OPM) through the VA, the Contractor shall reimburse the VA within 30 days.

Background investigations from investigating agencies other than OPM are permitted if the agencies possess an OPM and Defense Security Service certification. The Vendor Cage Code number must be provided to the Security and Investigation Center (07C), which shall verify the information and advise the contracting officer whether work can commence.

After contract award and prior to contract performance, the Contractor shall provide the following information, using Attachment B, to the CO or designated COR:

1. List of names of Contractor personnel.

1. Social Security Number of Contractor personnel.

1. Home address of Contractor personnel or the Contractor's address.

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

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

Further, the Contractor shall be responsible for the actions of all individuals provided to work for the VA under this contract. In the event that damages arise from work performed by Contractor provided personnel, under the auspices of this contract, the Contractor shall be responsible for all resources necessary to remedy the incident.”