P02 Sources Sought 36C10X24Q0325 Shredding Services SOURCES_ SOUGHT_26 JULY 2024.docx

Sources Sought Notice Sources Sought Notice

GENERAL INFORMATION

SET-ASIDE

Department of Veterans Affairs

5202 Presidents Court, Suite 103 Frederick MD 21703

POINT OF CONTACT*

maribel.fratina@va.gov

PLACE OF PERFORMANCE

COUNTRY

ADDITIONAL INFORMATION

AGENCY’S URL

URL DESCRIPTION

EMAIL DESCRIPTION

DESCRIPTION

No phone calls. Send any responses by e-mail only. As this is a Sources Sought Notice for market research purposes, the Government will not accept any technical questions at this time.

This is a Sources Sought Notice to identify SDVOSB, VOSB, or other Small Businesses capable of providing Document Shredding services per this notice under NAICS 561990 (All Other Support Services). Small business size standard is $16.5 million. Product Service Code (PSC) is R614 (Support-Administrative: Paper Shredding).

BACKGROUND:

THIS IS A SOURCES SOUGHT NOTICE BEING RELEASED PURSUANT TO FEDERAL ACQUISITION REGULATION (FAR) PART 10: MARKET RESEARCH. This notice is issued solely for informational, market research, and planning purposes only. It does not constitute a solicitation or a promise to issue a solicitation in the future. This notice does not commit the Federal Government to contract for any service at this time.

Further, the U.S. Department of Veterans Affairs, SAC-F is not at this time seeking offers, and will not accept unsolicited offers.

Respondents are advised that the Federal Government will not pay for any information or administrative costs incurred in response to this notice. All costs associated with responding to this notice will be solely at the responding party’s expense.

Responses to this notice are not offers and cannot be accepted by the Federal Government to form a binding contract. Although the term “offeror” is used in this notice, your respective organization’s response will be treated as information only and shall not be used as an offer.

OBJECTIVE:

The objective of this notice is to conduct market research to determine if there are Service Disabled Veteran Owned Small Business (SDVOSB) or Veteran Owned Small Business (VOSB) sources, or any other Small Businesses capable of providing Shredding Services for the Department of Veterans Affairs Records Center & Vault (RCV) warehouse located in 11693 Lime Kiln Drive, Neosho, MO 64850.

DESCRIPTION OF SERVICE:

See Attached draft Performance Work Statement.

PLACES OF PERFORMANCE:

See Attached draft Performance Work Statement.

POTENTIAL SCOPE OF WORK:

See Attached draft Performance Work Statement.

POTENTIAL CERTIFICATIONS AND LICENSURE:

See Attached draft Performance Work Statement.

SUBMITTAL OF RESPONSES:

Responses shall be sent via electronic mail only by 10:00 am Eastern Standard Time (EST), 08-05-2024 to:

Maribel Fratina Contracting Specialist E-mail: maribel.fratina@va.gov Offerors shall submit a capability statement indicating their ability and experience to provide the services cited above; such statement shall also list:

· Name of offeror

· Address of offeror

· SAM UEI Number of offeror

· Point of contact name, phone number, and e-mail of offeror

· Whether or not vendor is SDVOSB or VOSB; SDVOSB and VOSB will be verified through Vet Cert at Veteran Small Business Certification (sba.gov) .

· Whether or not vendor has General Services Administration (GSA) Federal Supply Schedule (FSS) contract; if so, please provide GSA FSS contract number

· certifications and licensure that its applicable staff holds.

DRAFT PWS

PERFORMANCE WORK STATEMENT (PWS)

DEPARTMENT OF VETERANS AFFAIRS

RECORDS CENTER AND VAULT (RCV)

ONSITE DOCUMENT DESTRUCTION SERVICES

1.0 BACKGROUND

The Department of Veterans Affairs (VA) stores 1.8 million boxes of physical records containing confidential and sensitive information at their Records Center & Vault (RCV) warehouse located in Neosho, Missouri. As records meet agency retention, VA stations authorize destruction that must be carried out in the presence of VA RCV employees, utilizing a process that renders all record contents unreadable and unable to be reconstructed.

The RCV intends to use the services of a contractor to perform the annual destruction of the sorted paper documents that no longer need to be retained by the agency.

2.0 APPLICABLE DOCUMENTS

Expired VA paper records contain confidential/sensitive information that includes Personal Identifiable Information (PII) and Personal Health Information (PHI). Contractor shall perform all tasks associated with this PWS to comply with the following:

1. VA Handbook 6300.1, Records Management Procedures.

2. VA Directive 6371, Destruction of Temporary Paper Records.

3. VA Handbook 6500, Information Security Program.

4. National Institute of Standards and Technology NIST 800-88 Guidelines for Media Sanitation

5. VA Handbook 6500.1, Electronic Media Sanitation.

6. VA Handbook 6500.6, Contract Security.

7. VA Notice 24-12, Update to VA Handbook 6500.6, Contract Security, Appendix C.

8. VA Directive 6502, VA Enterprise Privacy Program.

9. VA Directive 6066, Protected Health Information (PHI) and Business Associate Agreements Management.

10. VHA Handbook 1600.1, Business Associate Agreements.

11. VA Handbook 6500.2, Management of Data Breaches Involving Sensitive Personal Information (SPI).

12. 5 U.S.C 552a, as amended, “The Privacy Act of 1974”.

13. Health Insurance Portability and Accountability Act of 1996 (HIPAA).

14. Social Security Number (SSN) Fraud Prevention Act of 2017.

3.0 SCOPE OF WORK

Contractor that is NAID AAA certified shall provide all labor and equipment to properly destroy and dispose of paper documents that may be multi-colored and contain small amounts of non-paper items such as carbon paper, plastic wrap, and staples/paper clips. The location is the RCV facility in Neosho, Missouri. Anticipated quantities are a minimum of 90,000 lbs. but not more than 250,000 lbs. over five years. Estimated completion timeframe following task order award is based upon destroying up to 16,000 lbs. weekly, over a 6 to 12 week period. Contractor shall have a contingency plan in the event of equipment failure.

Contractor will be escorted by a VA employee at all times while on VA premises. Destruction shall take place in the RCV outdoor parking lot and shall be witnessed by the VA Contracting Officer’s Representative (COR) or designated VA employee(s).

Contractor shall provide secure rolling bins (either 64 or 96 gallon) to collect and store materials to be destroyed until services are rendered. The contractor provided bins shall also possess locking mechanisms that can be opened with a master key. VA employees will deliver bins to contractor vehicle for processing.

Interim destruction by onsite mobile shredding ensures records are not readable or reconstructable without extraordinary effort that allows for secure transport until final destruction. The contractor shall maintain the shredded material in a secure manner until its final destruction (not placed with trash, recycling, or other refuse). Final destruction by pulping, macerating, or additional shredding renders all materials not readable or reconstructable to any degree.

4.0 PERFORMANCE DETAILS

4.1 PERFORMANCE PERIOD

This effort is IDIQ (Indefinite Delivery Indefinite Quantity). Quantities will vary based upon approvals RCV receives from VA station records officers.

Contractor employees shall perform all work during business hours Monday through Friday, 8:00 AM to 3:30 PM, Central Standard Time via appointments scheduled with VA COR. No work shall take place on Federal holidays or weekends unless directed by the Contracting Officer (CO).

There are eleven (11) Federal holidays set by law (USC Title 5 Section 6103) that VA follows. Under current definitions, five are set by date:

If any of the above falls on a Saturday, then Friday shall be observed as a holiday. Similarly, if one falls on a Sunday, then Monday shall be observed as a holiday.

The other six are set by a day of the week and month:

4.2 PLACE OF PERFORMANCE

Performance is the outdoor parking lot at the RCV facility located in Neosho, Missouri. Onsite shredding services will be witnessed by the VA COR or designated VA RCV employee(s).

4.3 TRAVEL

No travel is authorized. Mileage incurred by vehicles used to transport and destroy records would be considered service costs.

4.4 KICK-OFF MEETING

The Contractor may be required to attend a kick-off meeting with the CO and the COR no later than five business days after the date of award. The purpose of the meeting is to discuss technical and contracting objectives and schedule service. If required, this meeting will be held via phone.

4.5 CONTRACTOR FURNISHED PROPERTY

The Contractor shall furnish all personnel, supervision, facilities, materials, equipment, and services necessary to fulfill the requirements of this contract, other than those cited in Section 3.0 above.

4.6 CONTRACTOR FURNISHED TRAINING

Contractor must perform all operations in a prudent, conscientious, safe, and professional manner in accordance with best practices. At a minimum, Contractor personnel, equipment, and required licenses shall comply with applicable Federal, state, local and installation laws, safety regulations and procedures, and the Contractor will ensure that its agents, employees, and subcontractors perform in a safe manner. The Contractor shall ensure all personnel involved in handling of mobile equipment, transporting and disposal of paper are trained for the level of expertise required for the proper performance of the tasks and in the areas of use of material handling equipment, proper lifting techniques, general first aid/blood borne pathogen procedures, and spills. Material handling and personal protective equipment shall be provided by the contractor and must be appropriate.

4.7 OTHER REQUIREMENTS

1. Contractor shall be National Association for Information Destruction (NAID) certified, bonded, and insured. Subcontractors shall meet minimum requirements of VA Directive 6371, Exhibit A.

2. Contractor shall maintain interim shredded/baled material in a secured manner until its final destruction in accordance with VA Directive 6371. Where final destruction method is not by wet pulping and recycling, the remaining particle size meets NIST 800-88 standards.

3. VA may inspect Contractor (and subcontractor or third party) facilities where VA records are processed and final destruction takes place.

4. VA records containing PII, PHI, or other VA sensitive information that have not been shredded, pulped, chopped, or macerated to the standard of final destruction shall not be placed with trash, recycling, or other refuse.

5. VA may perform random inspections of quality of shredding end product to ensure it is consistent with VA standards. Inspection results will be documented and kept on file for the length of the contract.

6. Contractor shall issue a Certificate of Destruction to VA COR within one business day after each visit.

7. Contractor shall submit invoices in accordance with VA contract instructions and provide copy to VA COR.

5.0 DELIVERABLES

Deliverables shall be scheduled with the CO/COR:

6. GENERAL REQUIREMENTS

6.1 SOCIAL SECURITY NUMBER (SSN) REDUCTION

The Contractor solution shall support the Social Security Number (SSN) Fraud Prevention Act (FPA) of 2017 which prohibits the inclusion of SSNs on any document sent by mail. The Contractor support shall also be performed in accordance with Section 240 of the Consolidated Appropriations Act (CAA) 2018, enacted March 23, 2018, which mandates VA to discontinue using SSNs to identify individuals in all VA information systems as the Primary Identifier. The Contractor shall ensure that any new IT solution discontinues the use of SSN as the Primary Identifier to replace the SSN with the ICN in all VA information systems for all individuals. The Contractor shall ensure that all Contractor delivered applications and systems integrate with the VA Master Person Index (MPI) for identity traits to include the use of the ICN as the Primary Identifier. The Contractor solution may only use a Social Security Number to identify an individual in an information system if and only if the use of such number is required to obtain information VA requires from an information system that is not under the jurisdiction of VA.

6.2 SECURITY AND PRIVACY REQUREMENTS

It has been determined that protected health information may be disclosed or accessed, and a signed Business Associate Agreement (BAA) shall be required. The Contractor shall adhere to the requirements set forth within the BAA and shall comply with VA Directive 6066.

6.2.1 POSITION/TASK RISK DESIGNATION LEVELS(S) AND CONTRACTOR PERSONNEL SECURITY REQUIREMENTS

Contractor employees shall meet (and contractor bears expenses) the minimum requirements of VA Directive 6371, Paragraph 2a. Government background investigations are not required for contracted employees that VA employees escort while on VA premises. Shredding will be witnessed by the VA COR or designated VA employee.

6.2.2 CONTRACTOR PERSONNEL SECURITY REQUIREMENTS

Contractor Responsibilities:

a. Contractor employees read, write, speak, and understand the English language.

b. Contractor employees shall meet (and contractor bears associated expenses) of VA Directive 6371 Appendix A, Paragraph 2a, “Document and Control of Employees” standards.

c. Contractor shall provide roster of employees (full legal name) authorized to perform shredding services and update the list to accommodate employee turnover. Contractor employees shall present a valid federal picture ID to VA employees for identification purposes.

Deliverable:

A. Contractor Staff Roster

6.3 METHOD AND DISTRIBUTION OF DELIVERABLES

The Contractor shall deliver documentation in electronic format. Acceptable electronic media include MS Word 2000/2003/2007/2010, MS Excel 2000/2003/2007/2010, and Adobe Postscript Data Format (PDF).

6.4 PERFORMANCE METRICS

The table below defines the performance standards and acceptable performance levels for objectives associated with this effort.

2. Efficient & effective in meeting requirements.

3. Meets technical needs & mission requirements.

4. Offers quality services/products.

Satisfactory or higher

2. Products completed, reviewed, delivered in timely manner.

3. Notifies customer in advance of potential problems.

Satisfactory or higher

2. Personnel possess necessary knowledge, skills & abilities to perform tasks.

Satisfactory or higher

2. Services/products delivered were of desired quality.

Satisfactory or higher

The government will utilize a Quality Assurance Surveillance Plan (QASP) throughout the life of the contract to ensure that the Contractor is performing the services required by this PWS in an acceptable manner. The Government reserves the right to alter or change the surveillance methods in the QASP at its own discretion.

6.5 FACILITY/RESOURCE PROVISIONS

The Contractor shall request other Government documentation deemed pertinent to the work accomplishment directly from the Government officials with whom the Contractor has contact. The Contractor shall consider the COR as the final source for needed Government documentation when the Contractor fails to secure the documents by other means. The Contractor is expected to use common knowledge and resourcefulness in securing all other reference materials, standard industry publications, and related materials that are pertinent to the work.

For detailed Security and Privacy Requirements refer to ADDENDUM A and ADDENDUM B.

ADDENDUM A

A1. Physical Security & Safety Requirements The Contractor and their personnel shall follow all VA policies, standard operating procedures, applicable laws, and regulations while on VA property. Violations of VA regulations and policies may result in citation and disciplinary measures for persons violating the law.

a) The Contractor and their personnel shall wear visible identification at all times while they are on the premises.

b) It is the responsibility of the Contractor to park in the appropriate designated parking areas. VA will not invalidate or make reimbursement for parking violations of the Contractor under any conditions.

c) Smoking is prohibited inside/outside any building other than the designated smoking areas.

d) Possession of weapons is prohibited.

e) The Contractor shall obtain all necessary licenses and/or permits required to perform the work, except for software licenses that need to be procured from a Contractor or vendor in accordance with the requirements document. The Contractor shall take all reasonable precautions necessary to protect persons and property from injury or damage during the performance of this contract.

A2. Confidentiality and Non-Disclosure The Contractor shall follow all VA rules and regulations regarding information security to prevent disclosure of sensitive information to unauthorized individuals or organizations. The VA COR (or other designated VA employee) will be present to witness the destruction of the material according to VA Directive 6371, page A-2.

The Contractor may have access to Protected Health Information (PHI) and Electronic Protected Health Information (EPHI) that is subject to protection under the regulations issued by the Department of Health and Human Services, as mandated by the Health Insurance Portability and Accountability Act of 1996 (HIPAA); 45 CFR Parts 160 and 164, Subparts A and E, the Standards for Privacy of Individually Identifiable Health Information (“Privacy Rule”); and 45 CFR Parts 160 and 164, Subparts A and C, the Security Standard (“Security Rule”). Pursuant to the Privacy and Security Rules, the Contractor must agree in writing to certain mandatory provisions regarding the use and disclosure of PHI and EPHI.

a) The Contractor will have access to some privileged and confidential materials of VA. These printed and electronic documents are for internal use only, are not to be copied or released without permission, and remain the sole property of VA. Some of these materials are protected by the Privacy Act of 1974 (revised by PL 93-5791) and Title 38. Unauthorized disclosure of Privacy Act or Title 38 covered materials is a criminal offense.

b) The VA Contracting Officer will be the sole authorized official to release in writing, any data, draft deliverables, final deliverables, or any other written or printed materials pertaining to this contract. The Contractor shall release no information. Any request for information relating to this contract presented to the Contractor shall be submitted to the VA Contracting Officer for response.

c) Contractor personnel recognize that in the performance of this effort, Contractor personnel may receive or have access to sensitive information, including information provided on a proprietary basis by carriers, equipment manufacturers and other private or public entities. Contractor personnel agree to safeguard such information and use the information exclusively in the performance of this contract. Contractor shall follow all VA rules and regulations regarding information security to prevent disclosure of sensitive information to unauthorized individuals or organizations as enumerated in this section and elsewhere in this Contract and its subparts and appendices.

d) Contractor shall limit access to the minimum number of personnel necessary for contract performance for all information considered sensitive or proprietary in nature. If the Contractor is uncertain of the sensitivity of any information obtained during the performance this contract, the Contractor has a responsibility to ask the VA Contracting Officer.

e) Contractor shall train all of their employees involved in the performance of this contract on their roles and responsibilities for proper handling and nondisclosure of sensitive VA or proprietary information. Contractor personnel shall not engage in any other action, venture or employment wherein sensitive information shall be used for the profit of any party other than those furnishing the information. The sensitive information transferred, generated, transmitted, or stored herein is for VA benefit and ownership alone.

f) Contractor shall maintain physical security at all facilities housing the activities performed under this contract, including any Contractor facilities according to VA-approved guidelines and directives. The Contractor shall ensure that security procedures are defined and enforced to ensure all personnel who are provided access to patient data must comply with published procedures to protect the privacy and confidentiality of such information as required by VA.

g) Contractor must adhere to the following:

i. The use of “thumb drives” or any other medium for transport of information is expressly prohibited.

ii. Controlled access to system and security software and documentation.

iii. Recording, monitoring, and control of passwords and privileges.

iv. All terminated personnel are denied physical and electronic access to all data, program listings, data processing equipment and systems.

v. VA, as well as any Contractor (or Subcontractor) systems used to support development, provide the capability to cancel immediately all access privileges and authorizations upon employee termination.

vi. Contractor PM and VA PM are informed within twenty-four (24) hours of any employee termination.

vii. Acquisition sensitive information shall be marked "Acquisition Sensitive" and shall be handled as "For Official Use Only (FOUO)".

viii. Contractor does not require access to classified data.

h) Regulatory standard of conduct governs all personnel directly and indirectly involved in procurements. All personnel engaged in procurement and related activities shall conduct business in a manner above reproach and, except as authorized by statute or regulation, with complete impartiality and with preferential treatment for none. The general rule is to strictly avoid any conflict of interest or even the appearance of a conflict of interest in VA/Contractor relationships.

i) VA Form 0752, Confidentiality of Sensitive Information Non-Disclosure Agreement, shall be completed by all Contractor employees working on this contract, and shall be provided to the CO before any work is performed. In the case that Contractor personnel are replaced in the future, their replacements shall complete VA Form 0752 prior to beginning work.

ADDENDUM B

B1. 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 and privacy.

B2. VA INFORMATION CUSTODIAL LANGUAGE

a. The Government shall receive unlimited rights to data/intellectual property first produced and delivered in the performance of this contract or order (hereinafter “contract”) unless expressly stated otherwise in this contract. This includes all rights to source code and all documentation created in support thereof. The primary clause used to define Government and Contractor data rights is FAR 52.227-14 Rights in Data – General. The primary clause used to define computer software license (not data/intellectual property first produced under this contractor or order) is FAR 52.227-19, Commercial Computer Software License.

b. Information made available to the contractor by VA for the performance or administration of this contract will be used only for the purposes specified in the service agreement, SOW, PWS, PD, and/or contract. The contractor shall not use VA information in any other manner without prior written approval from a VA Contracting Officer (CO). The primary clause used to define Government and Contractor data rights is FAR 52.227-14 Rights in Data – General.

c. VA information will not be co-mingled with any other data on the contractor’s information systems or media storage systems. The contractor shall ensure compliance with Federal and VA requirements related to data protection, data encryption, physical data segregation, logical data segregation, classification requirements and media sanitization.

d. VA reserves the right to conduct scheduled or unscheduled audits, assessments, or investigations of contractor Information Technology (IT) resources to ensure information security is compliant with Federal and VA requirements. The contractor shall provide all necessary access to records (including electronic and documentary materials related to the contracts and subcontracts) and support (including access to contractor and subcontractor staff associated with the contract) to VA, VA's Office Inspector General (OIG) and/or Government Accountability Office (GAO) staff during periodic control assessments, audits, or investigations.

e. The contractor may only use VA information within the terms of the contract and applicable Federal law, regulations, and VA policies. If new Federal information security laws, regulations or VA policies become applicable after execution of the contract, the parties agree to negotiate contract modification and adjustment necessary to implement the new laws, regulations, and/or policies.

f. The contractor shall not make copies of VA information except as specifically authorized and necessary to perform the terms of the contract. If copies are made for restoration purposes, after the restoration is complete, the copies shall be destroyed in accordance with VA Directive 6500, VA Cybersecurity Program and VA Information Security Knowledge Service.

g. If a Veterans Health Administration (VHA) contract is terminated for default or cause with a business associate, the related local Business Associate Agreement (BAA) shall also be terminated and actions taken in accordance with VHA Directive 1605.05, Business Associate Agreements. If there is an executed national BAA associated with the contract, VA will determine what actions are appropriate and notify the contactor.

h. The contractor shall store and transmit VA sensitive information in an encrypted form, using VA-approved encryption tools which are, at a minimum, Federal Information Processing Standards (FIPS) 140-2, Security Requirements for Cryptographic Modules (or its successor) validated and in conformance with VA Information Security Knowledge Service requirements. The contractor shall transmit VA sensitive information using VA approved Transport Layer Security (TLS) configured with FIPS based cipher suites in conformance with National Institute of Standards and Technology (NIST) 800-52, Guidelines for the Selection, Configuration and Use of Transport Layer Security (TLS) Implementations.

i. The contractor’s firewall and web services security controls, as applicable, shall meet or exceed VA’s minimum requirements.

j. Except for uses and disclosures of VA information authorized by this contract for performance of the contract, the contractor may use and disclose VA information only in two situations: (i) in response to a qualifying order of a court of competent jurisdiction after notification to VA CO (ii) with written approval from the VA CO. The contractor shall refer all requests for, demands for production of or inquiries about, VA information and information systems to the VA CO for response.

k. Notwithstanding the provision above, the contractor 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 medical records pertaining to drug addiction, sickle cell anemia, alcoholism or alcohol abuse or infection with Human Immunodeficiency Virus (HIV). If the contractor is in receipt of a court order or other requests for the above-mentioned information, the contractor shall immediately refer such court order or other requests to the VA CO for response.

l. Information made available to the contractor by VA for the performance or administration of this contract or information developed by the contractor in performance or administration of the contract will be protected and secured in accordance with VA Directive 6500 and Identity and Access Management (IAM) Security processes specified in the VA Information Security Knowledge Service.

m. Any data destruction done on behalf of VA by a contractor shall be done in accordance with National Archives and Records Administration (NARA) requirements as outlined in VA Directive 6300, Records and Information Management, VA Handbook 6300.1, Records Management Procedures, and applicable VA Records Control Schedules.

n. The contractor shall provide its plan for destruction of all VA data in its possession according to VA Directive 6500 and NIST 800-88, Guidelines for Media Sanitization prior to termination or completion of this contract. If directed by the COR/CO, the contractor shall return all Federal Records to VA for disposition.

o. Any media, such as paper, magnetic tape, magnetic disks, solid state devices or optical discs that is used to store, process, or access VA information that cannot be destroyed shall be returned to VA. The contractor shall hold the appropriate material until otherwise directed by the Contracting Officer’s Representative (COR) or CO. Items shall be returned securely via VA-approved methods. VA sensitive information must be transmitted utilizing VA-approved encryption tools which are validated under FIPS 140-2 (or its successor) and NIST 800-52. If mailed, the contractor shall send via a trackable method (USPS, UPS, FedEx, etc.) and immediately provide the COR/CO with the tracking information. Self-certification by the contractor that the data destruction requirements above have been met shall be sent to the COR/CO within 30 business days of termination of the contract.

p. All electronic storage media (hard drives, optical disks, CDs, back-up tapes, etc.) used to store, process or access VA information will not be returned to the contractor at the end of lease, loan, or trade-in. Exceptions to this paragraph will only be granted with the written approval of the VA CO.

B3. 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 and subcontractors only to the extent necessary to perform the services specified in the solicitation or contract. This includes indirect entities, both affiliate of contractor/subcontractor and agent of contractor/subcontractor.

b. Contractors and subcontractors shall sign the VA Information Security Rule of Behavior (ROB) before access is provided to VA information and information systems (see Section 4, Training, below). The ROB contains the minimum user compliance requirements and does not supersede any policies of VA facilities or other agency components which provide higher levels of protection to VA’s information or information systems. Users who require privileged access shall complete the VA elevated privilege access request processes before privileged access is granted.

c. All contractors and subcontractors working with VA information are subject to the same security investigative and clearance 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 shall be in accordance with VA Directive and Handbook 0710, Personnel Suitability and Security Program. The Office of Human Resources and Administration/Operations, Security and Preparedness (HRA/OSP) is responsible for these policies and procedures. Contract personnel who require access to classified information or information systems shall have an appropriate security clearance. Verification of a Security Clearance shall be processed through the Special Security Officer located in HRA/OSP. Contractors shall conform to all requirements stated in the National Industrial Security Program Operating Manual (NISPOM).

d. All contractors and subcontractors shall comply with conditions specified in VAAR 852.204-71(d); Contractor operations required to be in United States. All contractors and subcontractors working with VA information must be permanently located within a jurisdiction subject to the law of the United States or its Territories to the maximum extent feasible. If services are proposed to be performed abroad the contractor must state where all non-U.S. services are provided. The contractor shall deliver to VA a detailed plan specifically addressing communications, personnel control, data protection and potential legal issues. The plan shall be approved by the COR/CO in writing prior to access being granted.

e. The contractor shall notify the COR/CO in writing immediately (no later than 24 hours) after personnel separation or occurrence of other causes. Causes may include the following:

(1) Contractor/subcontractor personnel no longer has a need for access to VA information or VA information systems.

(2) Contractor/subcontractor personnel are terminated, suspended, or otherwise has their work on a VA project discontinued for any reason.

(3) Contractor believes their own personnel or subcontractor personnel may pose a threat to their company’s working environment or to any company-owned property. This includes contractor-owned assets, buildings, confidential data, customers, employees, networks, systems, trade secrets and/or VA data.

(4) Any previously undisclosed changes to contractor/subcontractor background history are brought to light, including but not limited to changes to background investigation or employee record.

(5) Contractor/subcontractor personnel have their authorization to work in the United States revoked.

(6) Agreement by which contractor provides products and services to VA has either been fulfilled or terminated, such that VA can cut off electronic and/or physical access for contractor personnel.

f. In such cases of contract fulfillment, termination, or other causes; the contractor shall take the necessary measures to immediately revoke access to VA network, property, information, and information systems (logical and physical) by contractor/subcontractor personnel. These measures include (but are not limited to): removing and then securing Personal Identity Verification (PIV) badges and PIV – Interoperable (PIV-I) access badges, VA-issued photo badges, credentials for VA facilities and devices, VA-issued laptops, and authentication tokens. Contractors shall notify the appropriate VA COR/CO immediately to initiate access removal.

g. Contractors/subcontractors who no longer require VA accesses will return VA-issued property to VA. This property includes (but is not limited to): documents, electronic equipment, keys, and parking passes. PIV and PIV-I access badges shall be returned to the nearest VA PIV Badge Issuance Office. Once they have had access to VA information, information systems, networks and VA property in their possessions removed, contractors shall notify the appropriate VA COR/CO.

B4. TRAINING

a. All contractors and subcontractors requiring access to VA information and VA information systems shall successfully complete the following before being granted access to VA information and its systems:

(1) VA Privacy and Information Security Awareness and Rules of Behavior course (Talent Management System (TMS) #10176) initially and annually thereafter.

(2) Sign and acknowledge (electronically through TMS #10176) understanding of and responsibilities for compliance with the Organizational Rules of Behavior, relating to access to VA information and information systems initially and annually thereafter; and

(3) Successfully complete any additional cyber security or privacy training, as required for VA personnel with equivalent information system or information access [to be defined by the VA program official and provided to the VA CO for inclusion in the solicitation document – i.e., any role-based information security training].

b. The contractor shall provide to the COR/CO a copy of the training certificates and certification of signing the Organizational Rules of Behavior for each applicable employee within five days of the initiation of the contract and annually thereafter, as required.

c. Failure to complete the mandatory annual training 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 required training is complete.

B5. 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, their employees, or business associates shall immediately (within one hour) report suspected security / privacy incidents to the VA OIT’s Enterprise Service Desk (ESD) by calling (855) 673-4357 (TTY: 711). The ESD is OIT’s 24/7/365 single point of contact for IT-related issues. After reporting to the ESD, the contractor, subcontractor, their employees, or business associates shall, within one hour, provide the COR/CO the incident number received from the ESD.

b. To the extent known by the contractor/subcontractor, the contractor/subcontractor's notice to VA shall identify the information involved and the circumstances surrounding the incident, including the following:

(1) The date and time (or approximation of) the Security Incident occurred.

(2) The names of individuals involved (when applicable).

(3) The physical and logical (if applicable) location of the incident.

(4) Why the Security Incident took place (i.e., catalyst for the failure).

(5) The amount of data belonging to VA believed to have been compromised.

(6) The remediation measures the contractor is taking to ensure no future incidents of a similar nature.

c. After the contractor has provided the initial detailed incident summary to VA, they will continue to provide written updates on any new and relevant circumstances or facts they discover. The contractor, subcontractor, and their employes shall fully cooperate with VA or third-party entity performing an independent risk analysis on behalf of VA. Failure to cooperate may be deemed a material breach and grounds for contract termination.

d. VA IT contractors shall follow VA Handbook 6500, Risk Management Framework for VA Information Systems VA Information Security Program, and VA Information Security Knowledge Service guidance for implementing an Incident Response Plan or integrating with an existing VA implementation.

e. 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 the VA Office of Security and Law Enforcement. The contractor, its employees, and its subcontractors and their employees shall cooperate with VA and any law enforcement authority responsible for the investigation and prosecution of any possible criminal law violation(s) associated with any incident. The contractor/subcontractor shall cooperate with VA in any civil litigation to recover VA information, obtain monetary or other compensation from a third party for damages arising from any incident, or obtain injunctive relief against any third party arising from, or related to, the incident.

f. The contractor shall comply with VA Handbook 6500.2, Management of Breaches Involving Sensitive Personal Information, which establishes the breach management policies and assigns responsibilities for the oversight, management and reporting procedures associated with managing of breaches.

g. With respect to unsecured Protected Health Information (PHI), the contractor is deemed to have discovered a data breach when the contractor knew or should have known of breach of such information. When a business associate is part of VHA contract, notification to the covered entity (VHA) shall be made in accordance with the executed BAA.

h. If the contractor or any of its agents fails to protect VA sensitive personal information or otherwise engages in conduct which results in a data breach involving any VA sensitive personal information the contractor/subcontractor processes or maintains under the contract; the contractor shall pay liquidated damages to the VA as set forth in clause 852.211-76, Liquidated Damages—Reimbursement for Data Breach Costs.

Sources Sought Notice

Sources Sought Notice