P01_673_24_113 SOW_Final.pdf

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Statement of Work

Project Title: D/B Upgrade Central Energy Plant Chillers Phase 1

Project Number: 673-24-113

I. Introduction/Project Intent

a. Overview: In accordance with VISN 8 Facility Condition Assessment 2023 Top-Ten deficiency list, Item #4 – Records 86632, 86633, 231871, M193, M194, M195, and M196, the chillers at Bld 39, Central Energy Plant at the James A. Haley VA Hospital have exceeded their useful life, are in poor condition, and need to be replaced. James A. Haley VA Medical Center (JAHVAMC) requires four of these legacy Chiller Systems to be overhauled and retrofitted to extend the service life until they can be replaced under a future project.

b. Project Intent: This project shall include the upgrade of up to four chillers at the Central Energy Plant and their associated systems including, but not limited to pumps, valves, compressors, mechanical controls, evaporators, fittings, and other components of the chiller systems with the intent to extend their useful lives.

II. Project description:

a. Furnish all necessary professional services, equipment, labor materials, supervision, tools, testing, and specialty services to perform a design-build for the NRM Project 673-24-113: Upgrade

Central Energy Plant Chillers Phase 1, located in Building 39 at

James A Haley VAMC, 13000 Bruce B Downs Boulevard, Tampa, FL

33612.

The purpose of this project is to extend the useful life of four chillers in the CEP. The design shall include evaluating all system components of each of the four chillers for condition, functionality, and compliance. Special attention shall be paid to pump arrangements, component sizing, balancing issues, and increasing the delta-T of the system where possible to improve overall importance.

During design, a NESHAP survey in accordance with VA regulations shall be conducted to determine if any hazardous materials exist

pg. 2 in the affected systems (including asbestos, lead, and other hazardous materials). Additionally, all system components shall be cleaned according to manufacturer’s regulations. Once cleaned, a pre-test and balance of the systems shall be conducted.

The upgrade shall include replacement or refurbishment of the associated pumps as needed, reconfiguration of piping between the pumps and chillers to provide redundancy (currently, each pump is designated to a specific chiller) and installation of isolation valves at each chiller. Additional upgrades shall include the replacement/repair/retrofitting of system components including, but not limited to valves, fittings, gauges, meters, mechanical controls and control panels, compressors, evaporators, condensers, and electrical systems.

A final cleaning and test and balance shall be conducted, balancing the entire system to the designed state at the end of construction. Upon completion, the systems shall be commissioned.

As the Central Energy Plant is the main source of chilled water for the hospital, no more than one chiller can be down at one time. The contractor may need to supply and tie in temporary systems to ensure the plant can maintain adequate chilled water to the hospital. This project may include some off-hour work to avoid disruption to facility operations.

The DB Team is to include subcontractors performing professional services under this contract, shall perform its services consistent with the professional skill and care ordinarily provided by architects/engineers practicing in the same or similar locality under the same or similar circumstances. The DB

Team shall perform its services as expeditiously as is consistent with such professional skill and care and the orderly progress of the project. The contractor is required to perform value engineering if required to stay within project funding limitations.

The design phases will include 35%, 65%, 95% and 100% review stages.

This includes drawings, narrative, and specifications.

Specifications must meet TIL and facility standards, including

pg. 3 those attached in this contract and other applicable requirements.

If the documents do not meet all the requirements of each submission, then the portions of the documents that are not acceptable by the VA according to the design standards and criteria must be updated by the DB Team prior to moving on to the next scheduled submission. Full as-built drawings may not be available or may not exactly reflect the current conditions. The A/E is responsible for reviewing all drawings and material provided by the

VA with the assigned VA COR to verify what existing drawings are available and accurate and verifying all existing conditions.

Contractor is required to perform value engineering if required to stay with project funding limitations.

The DB Team shall evaluate the project areas to determine if utilities or any other objects will need to be relocated or addressed in the design.

The DB Team shall show a detailed containment plan for infection control for this design. This plan shall be detailed showing locations and what infection control requirements are to be used for each area. The HPMs for Safety and Infection Control will be provided to the D/B Team for their use. Construction barriers will be required for the duration of the construction to isolate patients and staff from dust, debris and construction hazards as determined by the Safety Officer and Infection Control representatives. The

D/B Team will also have to indicate these construction barriers on their drawings.

New Work includes, but is not limited to designing and preparing drawings, phasing planning, and specifications for all disciplines to complete this upgrade. The D/B Team will be required to attend phase meetings at 35%, 65%, and 95% to discuss progress with the VA staff. The D/B Team will be required to take meeting minutes and distribute to the VA for approval and as documentation of what was covered in the meeting.

b. Design Tasks (Some disciplines included will have little to no impact on scope of this project. D/B Team shall include as needed to meet project goals).

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i. SITE INVESTIGATION: Design Services shall conduct a site survey of the project area to ensure that the design is feasible and without any major obstacles. Field verification by the DB Team must be completed to verify existing site conditions and to collect data as required for design development work to successful completion of design and construction documents.

ii. DEMOLITION: The project demolition work may include structural, architectural, mechanical, plumbing, and electrical demolition to clear space for the new systems. No equipment shall be left abandoned in place or create dead legs.

iii. CIVIL / STRUCTURAL: Work may include architectural modification and structural work. Structural engineering is expected to be completed by a Florida Licensed Structural

Engineer for any needed structural reinforcements. All required borings and structural testing shall be completed by the DB Team. The DB team shall proceed with a structural design that will not impede on pedestrian traffic in patient areas.

iv. ARCHITECTURAL: Field verification of elevations and architectural dimensions are crucial to the success of this project, as the existing drawings are best represented.

Exterior work must blend into the surrounding buildings and architectural appearances.

v. ELECTRICAL: The D/B team must evaluate the electrical systems serving the design scope area to determine if there is enough, and provide modifications and extensions to the existing electrical systems, security system, communications system, fire / safety system, controls, etc. as needed and with available capacity.

vi. PLUMBING/PIPING: The plumbing systems need to be evaluated and updated to meet the latest Plumbing Codes, including VA

Legionella guidance. Design modifications, additions and relocations to the plumbing systems and fire protection system must follow the VA Life Safety codes and other applicable code requirements for a complete certified

pg. 5 functional system. Pipe sizing, connections, and conditions shall be evaluated during design.

vii. HEATING, VENTILATION, AND AIR CONDITIONING (HVAC): The HVAC systems need to be evaluated and updated to meet the latest

HVAC and Design Criteria. The A/E must evaluate each of the complete chiller systems. If necessary, relocation of piping or ductwork may be needed in certain areas.

viii. EQUIPMENT: The D/B Team shall coordinate the design work directly with the suppliers / manufacturers of the new equipment to produce a completely designed operational project. All drawings, schematics, and other data available from the equipment suppliers shall be incorporated in the A/E drawings and specifications. The D/B Team is to determine the points of connection between old and new equipment and clearly detail these connections on the drawings.

ix. PHASING: The design shall include a phasing schedule to ensure no more than one chiller is down at a time and the facility can remain fully functional.

x. The D/B Team shall provide other documentation (i.e., calculations, reports, recommendations, etc.) that is appropriate to support the design effort and to keep the

Government fully informed of all issues or potential problems. Provide computations and sizing calculations for any anticipated new loads, altered loads, and existing loads for electrical, mechanical (HVAC, plumbing, medical gas and steam), sanitary, structural and fire protection designs.

For computerized calculations, submit complete and clear documentation of computer programs, interpretation of input

/ output, and description of program procedures. Provide an investigation and explanation of code requirements incorporated into the design. Furnish a copy of each code quoted or used in the design, when necessary to provide additional understanding of design decisions.

xi. The D/B Team shall provide all schedules and tables used on the drawings in MS Excel.

c. Additional Requirements and Information:

i. LIFE SAFETY: Requirement for acquiring and incorporating a

Certified Independent Third-Party Safety Professional review

pg. 6 of design documents. The D/B Team shall design the necessary

Life Safety and Interim Life Safety provisions for impacted areas, both temporary and permanent measures. The D/B Team shall provide and coordinate the review of the Life Safety

Provisions of the project design with a third party, independent licensed Fire Protection Engineer. The following areas will be reviewed by the third party:

ii. NFPA Code Compliance

iii. Environmental / EPA Impacts, Permits, etc.

iv. OSHA Compliance (i.e., Excavation, Demolition, etc.)

v. Security Property / Infrastructure Management, Homeland

Security, etc.

vi. Emergency preparedness

vii. Disability Accessibility Compliance

viii. National and Local Codes. The D/B Team shall deliver a letter certifying compliance with all Life Safety Codes and

Requirements applicable to this project from the third party.

ix. In addition, it is required that the D/B Team update all Life

Safety Drawings associated with the designed space and affected by the project.

x. NOTES: NFPA 101 primarily addresses life safety and fire protection features while the IBC addresses a wide range of considerations, including, but not limited to, structural strength, stability, sanitation, adequate light and ventilation, and energy conservation. VA buildings must meet the requirements of NFPA 101 and documents referenced by NFPA

101 in order to comply with the accreditation requirements of the joint Commission. Therefore, designs shall comply with the requirements of the latest edition of NFPA 101 and documents referenced therein. Design features not addressed by NFPA 101 or documents referenced therein shall comply with the requirements of the latest edition of the IBC or as otherwise addressed above in this Program Guide. For design features that are addressed by both the IBC as well as NFPA

101 or a document referenced by NFPA 101, the requirements of

NFPA 101 or the document referenced by NFPA 101 shall be used exclusively. This applies even if the IBC requirements are different.

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xi. Conflicts between Nationally Recognized Codes and Standards and VA Requirements: Should a conflict exist between VA requirements and VA adopted nationally recognized codes and standards, the conflict shall be brought to the attention of the VA. The resolution of the conflict shall be made by the authority having jurisdiction for the VA to ensure a consistency system wide.

xii. DRAWINGS: The A/E shall provide electronic copies of drawings at each review step generated in the latest version of AutoCAD or its companion products (digitally signed DWGs) and PDF format in individual sheet files. Include all associated support files (i.e. plot styles, external referenced files, etc.). Drawings shall also be submitted in the lates version of Revit at 65%, 100%, and As-Builts. This facility currently uses AutoCAD 2022 and REVIT 2023. The standard drawing size shall be ARCH E1 (30” x 42”). The format to be used in creating the CAD drawings (i.e. layer / level structure, fonts, font sizing, file naming conventions, etc.) is that of the latest edition of the National CAD Standard

(www.nationalcadstandard.org) and/or VA BIM guidelines

(https://www.cfm.va.gov/til/projReq.asp). The D/B Team shall follow these level / layer formats, file – naming conventions, and symbol library. At each design submission, the contractor shall provide the VA with one full size set of drawings and two half-size. The contractor shall provide two full size sets and two half-sizes of the final as-builts.

1. Drawings are to be drawn from the VA’s “As-Built” or construction drawings updated by site verification, not scanned reproductions.

2. The final sets of the new construction drawings shall be sealed (embossed & ink stamps) and signed by each respective Professional Engineer in their discipline, Industrial Hygienist, Architect and other necessary licensed professional consultants.

xiii. SPECIFICATIONS: The D/B Team may obtain the list of the complete VA Construction Specifications from the VA

Facilities Management Technical Information Library (TIL), which is located at http://www.cfm.va.gov/TIL/spec.asp#02.

http://www.nationalcadstandard.org)and/or https://www.cfm.va.gov/til/projReq.asp http://www.cfm.va.gov/TIL/spec.asp#02

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The Tampa VA has specifications that have been edited for general use at this facility and are the preferred specification to be used. If there are missing specifications sections from the Tampa VA specific specification, then the specifications from the Technical Information Library shall be used. Any specifications that are edited by the contractor shall be submitted to the VA for approval. The edited version of the specification shall be in Microsoft Word in the editing format and all changes shall be in RED. Contact the project

COR to obtain a copy of these specifications. This facility will provide the specification sections needed based on the master list provided in the first review. The A/E shall provide the final edited specifications electronically in

Microsoft Word and PDF. The format shall be 1.5 spaced, left justified, 2-sided, laser quality, and courier-new size 10 font. The specifications shall be provided in two (2) copies with rubber bands around one (1) of the copies. The remaining copy shall be in a colored, 3-“D”-ring loose-leaf binder, with identification labels on the binding and cover so the project title and number are readily visible and with tabbed dividers between each specification section. Any files submitted electronically (including but not limited to specifications and drawings) shall not have the following characters in their file name: \ /: *? “ < > | # { } % ~ &.

xiv. DESIGN SCHEDULES: Design schedules shall be submitted to the

VA as an 11x17 Microsoft Projects file at the beginning of the Notice to Proceed, with each invoice for payment and shall never be more than 4 weeks old. Approximate time frames are presented below. Actual timelines submitted for approval should reflect the project complexity and follow the format presented below:

1. Schematics

2. Begin Design Development (Notice to Proceed): NTP

3. First Submission of Design Development (35%): NTP + 28

Days

4. First Review Meeting and Return First Submission: NTP + 42 Days

5. Second Submission (65%) NTP + 70 Days

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6. Second Review Meeting and Return Second Submission: NTP + 84 Days

7. Third Submission Contract Documents (95%): NTP + 112 Days

8. Third Review Meeting and Return Third Submission: NTP + 126 Days

9. Fourth Submission (Deliver Final Contract Documents) (100%): NTP + 140 Days

10. Fourth Review Meeting and Return Fourth

Submission: NTP + 147 Days

11. Final design submission: NTP + 154 Days

xv. REVIEW MEETINGS: The DB Team is required to attend a design review meeting after each submission during the design process and provide meeting minutes to the VA for approval and distribution.

1. Sections of the documents that are not acceptable by the VA according to the design standards and criteria must be updated by the A/E prior to moving on to the next scheduled submission.

d. COMPLIANCE

i. The contractor shall be fully responsible for compliance with all VA, local, state, and Federal occupational safety laws, rules, and regulations.

ii. The contractor shall follow life and safety codes and take necessary actions to avoid conditions that may be hazardous to the health and safety of hospital personnel and patients.

iii. The contractor is responsible for meeting all applicable OSHA and VA guidelines for safe working procedures.

iv. All work for the duration of the contract shall be performed by certified trained technicians.

e. CONTRACTOR EMPLOYEES

i. Contractor personnel shall present a neat appearance and be easily recognized as contract employees. Example: wearing steel toe boots and safety glasses ID badges and or name tags.

f. CONTRACTOR EMPLOYEE IDENTIFICATION

i. All contractor employees must be clearly identified as contractors (not VA employees) when performing services under this contract. This includes visual (appearance), verbal

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(phone), and electronic (email). The contractor must provide all employees with a contractor identification (ID) badge at the contractor’s expense prior to performing work under this contract. Contractor employees are always required to display this badge when performing services under this contract.

ii. Employees released from service by the contractor must have their badge collected by the contractor. All badges must contain an expiration date and photograph of the employee.

iii. All contractor employees must also be required to wear VA issued badges and must always display these badges while in the performance of this contract and/or as instructed by the

COR.

iv. The contractor supervisor must ensure that all contractor employees display their VA issued badges.

v. The contractor supervisor must be responsible for managing all VA issued badges provided to contractor employees and immediately collect these badges from employees no longer working on the contract.

g. CONTRACTOR EMPLOYEE CONDUCT

i. The contractor is completely responsible for all actions and conduct of their employees. Contractor employees must be well-groomed and neat in appearance.

ii. Contract employees must be professional in attire and must not wear any offensive clothing.

iii. Contractor employees must conduct themselves in a socially acceptable manner appropriate for an office work environment;

Loudness, vulgarity, rudeness, smoking, or other similar offensive conduct by a contractor employee may be grounds for denying the employee further access to VA premises.

iv. Contractor employees must not consume alcohol or illegal drugs during working hours or at any other time the employees are performing work under this contract.

h. CONTRACTOR RESPONSIBILITY

i. The contractor shall obtain all necessary licenses and/or permits as required to perform this work.

ii. He/she shall take all reasonable precautions necessary to protect persons and property from injury or damage during the performance of this contract.

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iii. He/she shall be responsible for any injury to himself/herself, his/her employees, as well as for any damage to personal or public property that occurs during the performance of this contract that is caused by his/her employees’ fault or negligence and shall maintain personal liability and property damage insurance having coverage for a limit as required by the laws of the State of Florida.

iv. Further, it is agreed that any negligence of the Government, its officers, agents, servants and employees, shall not be the responsibility of the contractor hereunder with the regard to any claims, loss, damage, injury, and liability resulting there from.

i. UNSCHEDULED REPAIRS AND EMERGENCY SERVICE:

i. Contractor shall provide a telephone number for repair services assistance. Contractor shall notify the COR immediately if the telephone number is changed.

ii. Contractor shall respond to emergency repair calls with their installation/warranty by phone normally within two

(2) hours but no more than four (4) hours. Contractor shall provide an on-site response time of no more than four

(4) hours or next business day if call is made after 1:00 p.m. and be required to repair the equipment and place it back in service within twenty-four (24) hours after notification by telephone call (unless another specified time is agreed to by the COR placing the service call request). Response time is defined as time contractor is first notified until the time vendor arrives on station.

Failure to meet the required on-site response or repair time shall allow the Government an option to contact a third-party vendor to provide services. Costs for services provided by a third party shall be billed against the

Contractor.

j. CONTRACT AWARD MEETING:

i. The contractor shall not commence performance on the tasks in this SOW until the CO has conducted a Kickoff Meeting or advised the contractor that a kickoff meeting is waived.

k. PERIOD OF PERFORMANCE:

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i. This shall be a firm-fixed price contract. Warranty period for the installation and repair will be provided as part of the original contract documents for the project. Project must be completed within 365 days of notice to proceed.

1. Final design submission must be provided to the VA for final acceptance within 154 days of design notice to proceed.

2. Construction phase cannot begin prior to construction notice to proceed given by the contracting officer.

Unless exception is given, the construction NTP will not be given until the final design drawings are approved by the VA.

l. CHANGES TO THE Statement of Work

i. Any changes to this SOW shall be authorized and approved only through written correspondence from the CO. A copy of each change will be kept in a project folder with all other products of the project. Costs incurred by the contractor through the actions of parties other than CO shall be borne by the contractor.

m. Performance Requirements:

i. Contractor shall provide the necessary personnel and equipment to meet or exceed required service. Contractor shall have the following responsibilities:

ii. Provide licensed and trained personnel to perform the project in the State of Florida.

iii. Provide all supervision, labor and materials to complete all requirements described in this SOW.

iv. Contractor shall obtain all necessary licenses and permits required to perform this work required by this SOW, with each having completed the Occupational Safety & Health

Administration (OSHA) approved 10-hour Construction

Outreach Training or General Industry Outreach Training.

v. Contractor shall take all precautions necessary to protect persons and property from injury and/or damage during performance of this contract.

vi. Contractor shall be responsible for any injury to their employees as well as for any damages to personnel or

Government property that occurs during the performance of

pg. 13 this contract that is caused by the Contractor’s fault or negligence.

vii. Contractor shall insure that all areas where equipment is serviced under this contract are left in a clean, neat and orderly condition.

viii. Contractors shall have technical training and evident track records of working experience in HVAC and related components in healthcare, industrial, educational, or commercial facilities for a minimum of five (5) years.

ix. Contractors shall possess and utilize all necessary tools, equipment, and Personal Protective Equipment (PPE) to perform all work safely, effectively, and timely. Tools, equipment, and PPE shall comply with OSHA Standard 29 CFR

1910, (Subpart I), and NFPA 70E. Prior to initiating work, the Contractor shall provide documentation demonstrating that all instruments, test equipment, tools, and PPE possess current calibration and safety inspections. Dated calibration and safety inspection labels shall be visible on all equipment as applicable.

x. Arrange and pay for all proper disposal of waste and debris. Waste disposal shall be tracked and reported to the

COR monthly. Invoices submitted may not be approved until receipt of this record.

xi. Maintain project schedule agreed upon in the purchase order documents.

xii. Provide all OSHA site safety for each employee during work.

xiii. Contractor employees shall have background checks completed.

n. DELIVERABLES

i. The Contractor shall perform the services necessary to complete the tasks in accordance with the procedures described in a timely and professional manner, consistent with industry standards, at the location, place and time that the VA has set aside, and all in accordance with the

SOW and RFP documents.

ii. Contactor shall provide a copy of the inspection document used (field report) on the day of each performed inspection.

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o. TESTING SPECIFICATIONS

i. All testing/inspections of the shall be in accordance with applicable industry standards and manufacturers recommendations. The initial test schedule shall be submitted to the COR no later than 10 days after award. The inspection schedule shall be submitted to the COR sixty

(60) days prior to the start of the next inspection.

p. ROLES AND RESPONSIBILITIES:

i. Contracting Officer (CO) - A person duly appointed with the authority to enter, administer and terminate contracts on behalf of the Government. The CO is the only person who can legally commit the Government and only the CO, as the

Government's agent, can modify the contract/order. The CO is the final authority for determining the adequacy of the

Contractor's performance. CO decisions arising under or relating to the contact are final.

ii. Contracting Officer's Representative (COR) — An individual designated in writing by the CO to perform specific technical and administrative functions within the scope and limitations of their written appointment (e.g., surveillance of Contractor's performance, accept services).

The COR is not empowered to make any contractual commitments or authorize any changes to the order/contract or in any way obligate additional funds by the Government;

such authority' rests solely with the CO. The COR’s primary duty is to monitor the Contractor's performance by physically checking to see that tasks are completed, reports are submitted, and desired outcomes are achieved.

When a surveillance observation results in an unacceptable evaluation, the COR will report the unacceptable performance to the COR. The COR is not authorized to direct work, offer advice on how the work should be performed, change the contract, or in any way obligate payment of funds by the Government.

iii. METHOD OF SURVEILLANCE: Simplified methods of surveillance will be used by the Government to evaluate contractor performance. The primary methods of surveillance are periodic assessments of service and customer feedback.

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iv. Periodic Assessment of Services — For services that occur over several months, the COR shall evaluate contractor performance on a quarterly basis and upon completion of services. Generally, the Government will rely on the

Contractor's Quality Control system to ensure that services conform to contract quality requirements before they are tendered to the Government for acceptance.

v. Customer Feedback — Customer feedback is typically obtained via telephone or email. Telephonic customer complaints must be followed up in writing/email. To be considered valid, the customer complaint must clearly articulate the nature of the complaint, time, date, etc. The COR will investigate the complaint; if determined valid, the COR will advise the

CO and the Contractor of the deficiency. Copies of valid complaints and the resolution must be retained in the official contract file.

VA INFORMATION AND INFORMATION SYSTEM SECURITY/PRIVACY LANGUAGE

VA INFORMATION CUSTODIAL LANGUAGE:

a. 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.

b. 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.

c. 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.

d. 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

pg. 16 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.

SECURITY INCIDENT INVESTIGATION:

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

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

c. With respect to unsecured protected health information, the business associate is deemed to have discovered a data breach when the business associate knew or should have known of a breach of such information. Upon discovery, the business associate must notify the covered entity of the breach. Notifications need to be made in accordance with the executed business associate agreement.

d. In instances of theft or break-in or other criminal activity, the contractor/subcontractor must concurrently report the incident to the appropriate law enforcement entity (or entities) of jurisdiction, including the VA OIG and Security and Law Enforcement. The contractor, its employees, and its subcontractors and their employees shall cooperate with VA and any law enforcement authority responsible for the investigation and prosecution of any possible criminal law violation(s) associated with any incident. The contractor/subcontractor shall cooperate with VA in any civil litigation to recover VA information, obtain monetary or other compensation from a third

pg. 17 party for damages arising from any incident, or obtain injunctive relief against any third party arising from, or related to, the incident.

LIQUIDATED DAMAGES FOR DATA BREACH:

a. 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.

b. The contractor/subcontractor shall provide notice to VA of a “security incident” as set forth in the Security Incident Investigation section above.

Upon such notification, VA must secure from a non-Department entity or the VA

Office of Inspector General an independent risk analysis of the data breach to determine the level of risk associated with the data breach for the potential misuse of any sensitive personal information involved in the data breach. The term 'data breach' means the loss, theft, or other unauthorized access, or any access other than that incidental to the scope of employment, to data containing sensitive personal information, in electronic or printed form, that results in the potential compromise of the confidentiality or integrity of the data. Contractor shall fully cooperate with the entity performing the risk analysis. Failure to cooperate may be deemed a material breach and grounds for contract termination.

SECURITY CONTROLS COMPLIANCE TESTING:

On a periodic basis, VA, including the Office of Inspector General, reserves the right to evaluate any or all of the security controls and privacy practices implemented by the contractor under the clauses contained within the contract. With 10 working-days’ notice, at the request of the government, the contractor must fully cooperate and assist in a government-sponsored security controls assessment at each location wherein VA information is processed or stored, or information systems are developed, operated, maintained, or used on behalf of VA, including those initiated by the Office of Inspector General. The government may conduct a security control assessment on shorter notice (to include unannounced assessments) as determined by VA in the event of a security incident or at any other time.

TRAINING:

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a. All contractor employees and subcontractor employees requiring access to

VA information and VA information systems shall complete VA Privacy and

Information Security Awareness and Rules of Behavior Training before being granted access to VA information and its systems.

(1) Sign and acknowledge (either manually or electronically) understanding of and responsibilities for compliance with the Rules of Behavior before being granted access to VA information and its systems.

b. The contractor shall provide to the contracting officer and/or the COR a copy of the training certificates and certification of signing the Rules of

Behavior for each applicable employee within 1 week of the initiation of the contract and annually thereafter, as required.

c. Failure to complete the mandatory annual training and sign the Rules of

Behavior annually, within the timeframe required, is grounds for suspension or termination of all physical or electronic access privileges and removal from work on the contract until such time as the training and documents are complete.

NARA Records Management

RECORDS MANAGEMENT OBLIGATIONS

A. Applicability

This clause applies to all Contractors whose employees create, work with, or otherwise handle Federal records, as defined in Section B, regardless of the medium in which the record exists.

B. Definitions

“Federal record” as defined in 44 U.S.C. § 3301, includes all recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them.

The term Federal record:

1. includes [Agency] records.

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2. does not include personal materials.

3. applies to records created, received, or maintained by Contractors pursuant to their [Agency] contract.

4. may include deliverables and documentation associated with deliverables.

C. Requirements

1. Contractor shall comply with all applicable records management laws and regulations, as well as National Archives and Records Administration

(NARA) records policies, including but not limited to the Federal

Records Act (44 U.S.C. chs. 21, 29, 31, 33), NARA regulations at 36 CFR

Chapter XII Subchapter B, and those policies associated with the safeguarding of records covered by the Privacy Act of 1974 (5 U.S.C.

552a). These policies include the preservation of all records, regardless of form or characteristics, mode of transmission, or state of completion.

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

3. In accordance with 36 CFR 1222.32, Contractor shall maintain all records created for Government use or created in the course of performing the contract and/or delivered to, or under the legal control of the Government and must be managed in accordance with Federal law.

Electronic records and associated metadata must be accompanied by sufficient technical documentation to permit understanding and use of the records and data.

4. James A. Haley Veterans’ Hospital and Clinics and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Records may not be removed from the legal custody of James A. Haley Veterans’ Hospital and

Clinics or destroyed except for in accordance with the provisions of the agency records schedules and with the written concurrence of the

Head of the Contracting Activity. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and

pg. 20 penalties imposed by 18 U.S.C. 2701. In the event of any unlawful or accidental removal, defacing, alteration, or destruction of records, Contractor must report to James A. Haley Veterans’ Hospital and

Clinics. The agency must report promptly to NARA in accordance with 36

CFR 1230.

5. The Contractor shall immediately notify the appropriate Contracting Officer upon discovery of any inadvertent or unauthorized disclosures of information, data, documentary materials, records or equipment.

Disclosure of non-public information is limited to authorized personnel with a need-to-know as described in the [contract vehicle]. The

Contractor shall ensure that the appropriate personnel, administrative, technical, and physical safeguards are established to ensure the security and confidentiality of this information, data, documentary material, records and/or equipment is properly protected. The

Contractor shall not remove material from Government facilities or systems, or facilities or systems operated or maintained on the

Government’s behalf, without the express written permission of the Head of the Contracting Activity. When information, data, documentary material, records and/or equipment is no longer required, it shall be returned to James A. Haley Veterans’ Hospital and Clinics control, or the Contractor must hold it until otherwise directed. Items returned to the Government shall be hand carried, mailed, emailed, or securely electronically transmitted to the Contracting Officer or address prescribed in the [contract vehicle]. Destruction of records is

EXPRESSLY PROHIBITED unless in accordance with Paragraph (4).

6. The Contractor is required to obtain the Contracting Officer's approval prior to engaging in any contractual relationship (sub-contractor) in support of this contract requiring the disclosure of information, documentary material and/or records generated under, or relating to, contracts. The Contractor (and any sub-contractor) is required to abide by Government and James A. Haley Veterans’ Hospital and Clinics guidance for protecting sensitive, proprietary information, classified, and controlled unclassified information.

7. The Contractor shall only use Government IT equipment for purposes specifically tied to or authorized by the contract and in accordance with James A. Haley Veterans’ Hospital and Clinics policy.

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8. The Contractor shall not create or maintain any records containing any non-public James A. Haley Veterans’ Hospital and Clinics information that are not specifically tied to or authorized by the contract.

9. The Contractor shall not retain, use, sell, or disseminate copies of any deliverable that contains information covered by the Privacy Act of

1974 or that which is generally protected from public disclosure by an exemption to the Freedom of Information Act.

10. James A. Haley Veterans’ Hospital and Clinics owns the rights to all data and records produced as part of this contract. All deliverables under the contract are the property of the U.S. Government for which James A. Haley Veterans’ Hospital and Clinics shall have unlimited rights to use, dispose of, or disclose such data contained therein as it determines to be in the public interest. Any Contractor rights in the data or deliverables must be identified as required by

FAR 52.227-11 through FAR 52.227-20.

11. Training. All Contractor employees assigned to this contract who create, work with, or otherwise handle records are required to take

James A. Haley Veterans’ Hospital and Clinics-provided records management training. The Contractor is responsible for confirming training has been completed according to agency policies, including initial training and any annual or refresher training.

[Note: To the extent an agency requires contractors to complete records management training, the agency must provide the training to the contractor.]

D. Flowdown of requirements to subcontractors

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

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

Records Management Language for Contracts | National Archives https://www.archives.gov/records-mgmt/policy/records-mgmt-language

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