Record Storage SOW_DRAFT.docx

RECORD STORAGE SERVICE

1. SCOPE

1.1 The Contractor shall provide all storage, transportation, management, and personnel required for pickup and delivery of record storage items. Services shall consist of picking up records from the MEDVAMC and delivering to the respective storage location.

1.2 Place of Performance:

Michael E. DeBakey VA Medical Center (MEDVAMC) 2002 Holcombe Boulevard Houston, TX 77030

1.2 Period of Performance: The government estimates awarding a base year plus 4 (four) 1 (one) year option periods.

2. OPERATIONAL COVERAGE

2.1 The Michael E. DeBakey VA Medical Center (MEDVAMC) will be open Monday through Friday, from 8:00am to 4:30pm (CST) (excluding Federal Holidays).

2.2 Federal holidays observed by the government are: New Year’s Day, Martin Luther King’s Birthday, President’s Day, Memorial Day, Juneteenth, Independence Day, Labor Day, Columbus Day, Veteran’s Day, Thanksgiving, and Christmas; along with any other day specifically declared by the President of the United States to be a national holiday.

Note: If a holiday falls on a Saturday, it shall be observed on Friday. If a holiday falls on a Sunday, it shall be observed on Monday. The MEDVAMC will not be open on these holidays.

3. GENERAL REQUIREMENTS

3.1 The Contractor shall pickup records that have been prepared by the current contractor and are ready for transport (i.e., administrative paperwork) and deliver to the storage facility.

The Contractor shall arrange and manage all shipping activities of records to the Contractor’s NARA-compliant facility(s) according to the proposed file transition schedule, approved by COR responsibilities include picking-up boxed and palletized records (shall be performed by the current contractor) from the current site, transport in secured vehicles with appropriately licensed and trained drivers, real-time tracking capabilities, and unloading and intake of records at the new Contractor facility. The Contractor shall provide regular status updates to the MEDVAMC on the initial transition progress and will immediately notify the MEDVAMC of any unplanned delays or changes to shipment status that deviates from the originally planned schedule.

3.2 The contractor shall transfer, store, and service records that remain in the legal custody of the current contractor. In carrying out its responsibilities to store and archive federal records 36 CFR part 1234 Subparts B, C, and D describe facility standards related to quality, effectiveness, durability, and safety; the handling of deviations from National Records Archives Administration (NARA) facility standards; and facility approval and inspection requirements. These standards are applicable to all records storage facilities the federal agencies use to store, service, and dispose of records. To carry out these responsibilities, NARA developed an internal policy directive that outlines the procedures its officials should use to ensure the compliance of records storage facilities. The new facility (or facilities) shall be NARA-certified and meet CFR 36-part 1234 requirements.

The Contractor shall ensure careful handling of the records in accordance with established guidelines from compliance under federal laws and regulations governing records management stored off-site in a (NARA) compliant commercial facility.

3.3 The Contractor shall ensure the confidentiality of all patient information being transported and will be held liable in the event of breach of confidentiality. The Contractor shall comply with the provision of the Federal Privacy Act of 1974 (Public law 93-579), HIPAA (Public law 104-191), and the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1972 (Public Law 93-255), as well as other statues regarding confidentiality of patient information during and after the execution of this contract. Because of the confidential medical record information that may be inadvertently accessible and/or visible to contractor employees during performance of their daily duties, the contractor shall obtain a signed "confidentiality certificate" from each employee prior to allowing them to start work under this contract. Any information about an individual that is maintained by the VA, including, but not limited to, education, financial transactions, medical history, and criminal or employment history or any record that contains the person's name, or the identifying number, symbol, or other identifying assigned to the individual, shall be kept CONFIDENTIAL. A copy of this certification shall be provided to the COR upon request.

4. REQUIREMENTS FOR THE RECORDS RELOCATION, STORAGE, AND RECORDS MANAGEMENT

4.1 Initial Transfer: The current estimated volume of MEDVAMC records is approximately 16,780 cubic feet of unclassified temporary records located in a NARA-compliant commercial storage facility in Jacksonville, Florida. MEDVAMC will exercise the right to manage the current record holdings as needed. In addition, all new record boxes will be shipped and stored in the contract awardees facilities.

The contract awardee shall submit a transition plan for approval within 14 days of award. The transition plan shall include detailed schedules, and other logistical information that describes how, when and where the temporary legacy records shall be transferred over to the contractor awardee facility(s). The transition plan shall also include a description of how the Contractor will remediate issues experienced during the initial transfer such as damaged materials, missing records, or incorrect labels. The contractor facility shall be able to accommodate Next Day digital retrieval requests as well as same day, after hours, holidays or weekends for urgent retrieval requests.

The contract awardee may need to provide pallets (if necessary) for the incumbent government contractor, to load boxes onto. Any communication challenges shall be reported to the Contracting Officer Representative (COR) for immediate resolution. The COR shall then communicate to the Contract Specialist (CS)/Contracting Officer (CO) concerning communication challenges and the plan for immediate resolution. The successful contractor/vendor shall use and maintain existing box numbers, NARA transfer nomenclature.

4.2 Retrieval & Refile: Contractor is required to retrieve, package, and physically deliver records to the MEDVAMC or any of designated MEDVAMC location in the Houston, TX area by Next Day or within 4 hours for emergency requests from receiving a request.

The Contractor’s web-based inventory tracking system shall provide MEDVAMC the capability of placing orders for retrieving records and refiles at any time, 7 days per week.

The Contractor shall also be able to receive and process box requests by phone, email, or fax as required.

If the Contractor elects to utilize their own vehicles, they shall adhere to the following:

The Contractor shall provide the COR with the number of drivers and a schedule of pickup and delivery times prior to performance.

The Contractor shall obtain COR approval to replace any boxes damaged prior to being retrieved from contractor’s storage location and before delivery to MEDVAMC locations.

4.3 Inventory Tracking System: The contractor shall provide a web-based inventory tracking system that will enable MEDVAMC personnel to order records stored in the contractor’s facility(s). The system shall be available to the MEDVAMC personnel 24 hours a day, 7 days per week/365 days per year. The system shall provide a tracking number for all shipments of records to be entered at the time of shipment and shall accommodate both scanned barcode entries and manual entries.

The Contractor’s web-based tracking system shall be capable of maintaining information regarding box contents, metadata and box/file activity indefinitely following the permanent removal or destruction of a box. This information shall be available to the MEDVAMC at any time through the contractor’s web -based system and be searchable by box or file identifier. The MEDVAMC must be able to edit fields contained in the contractor’s web-based tracking system.

The contractor shall maintain and make searchable by authorized MEDVAMC personnel through the web-based tracking system, a dashboard of total inventory, all transaction history in the aggregate by a given date range and transaction for each file and box. At a minimum, this transaction history shall include the following:

· The entry date of a new carton

· The retrieval date of a carton or file

· The return date of a carton or file

· The name of MEDVAMC employee and where the file was delivered to

· The permanent withdrawal date of a carton or file

· The destruction date of a carton or file

4.4 Archival Accession To NARA: MEDVAMC will require transfers of records from the Contractor’s facility to the National Archives and Records Administration (NARA). Contractor is required to perform the following for each box to be transferred in accordance with NARA requirement described in the NARA Accessioning and Transfer resource links: https://www.archives.gov/records-mgmt/accessioning/textual.html and https://www.archives.gov/frc/records-transfer.html

· Retrieve requested boxes from secure storage and permanently remove them from Contractor’s tracking system

· Number the boxes to be accessioned in accordance with NARA requirements

· Palletize and shrink wrap all boxes

· Secure delivery to NARA

· Deliver appropriate documentation to MEDVAMC designated personnel

4.5 Disposition: The Contractor is required to have the capability to remove and destroy records/boxes stored in contractor facility(s) as records become eligible for authorized destruction. The contractor’s web-based inventory tracking system shall provide the necessary controls to enable only authorized users who are permitted by MEDVAMC to authorize destruction orders.

Following destruction, the contractor shall provide a certificate of destruction. The contractor shall ensure the destruction is enough to render the original source material incapable of reconstruction or use for identification of personal information or sensitive information. The contractor shall be certified, bonded, and insured according to the National Association for Information Destruction (NAID). The Contractor must maintain a complete and auditable chain of custody of records being removed from the contractor’s storage location(s) to the destruction facility.

4.6 Access into Storage Facility: The Contractor shall control physical access into records facility(s) through all controlled entry point(s). The contractor will first need approval from the Contracting Office Representative (COR). Visitors are required to sign in and out at the entrance and state the purpose of their visit. A log shall be kept of all such visits. Persons that do not have a legitimate business need related to the facility operation shall not be allowed access.

4.7 Digital Transformation Services: MEDVAMC has established a goal to transition all records in electronic format. In support of this initiative, Contractor shall propose a combination of digitization services, which can be tailored and applied to MEDVAMC in a variety of ways to help support the agency-wide digital transformation initiative:

· On-Site Day Forward Digitization Staffing: The Contractor shall come onsite and provide highly trained, experienced, and VA-Cleared Preparation Technicians, Digital Scanning Operators, Data Entry Operators, and Quality Assurance Inspectors to perform the digitization of incoming daily In-Network patient, administrative, and Non-VA/NVCC/FEE records. The Contractor’s personnel shall be trained via the VA Training Management System (TMS) and on VAMC scanning equipment, VistA Imaging, CPRS, and Fee Basis Claims Systems.

· Off-Site Back File Digitization Services: Records stored on-campus are designated as either “Active” medical-related files (three years or less of activity) or “Inactive” files (more than three years of no activity). The Active Files are typically digitized into VistA Imaging, while the Inactive Files are moved to long term storage at a NARA-compliant facility for the 75-year retention period. The Contractor shall provide support to come onsite, pack the active files into boxes, manifest, and securely transport the records to the Contractor’s nearest Image Processing Center for digitization. The records shall be digitized, and the resulting database of digital images and associated indexes ingested directly into VA’s repository (CPRS). The original files shall be placed in long term Nara- compliant storage.

· Predictive Scanning Services: The Contractor shall examine past usage/type patterns of retrieved records, identifying those records that qualify as “Active”. Active records would be digitized and electronically stored directly into VistA and CPRS repositories in advance, thus providing immediate access to mission-critical information.

· Off-Site Day Forward Indexing and Medical Record Validation Services: Many VAMCs are establishing their onsite digitization services to prepare the documents for scanning and digital conversion. The remaining services for indexing, quality assurance, and validating records shall be performed offsite at the Contractor’s image processing center by VA-cleared/trained staff. A Citrix connect will allow the Contractor’s offsite staff to go onto VistA Imaging to complete these validation services. Once validation services are rendered, the Contractor shall apply a quality assurance workflow process to ensure the required accuracy rates are achieved. Examples of validation services include: Ensuring all contents of the file are for the same Veteran medical record; Correcting title/X-ray exam/Admin indexing used; Ensuring Progress Notes are entered correctly and electronically signed; Confirming the indexed schema is correct per procedure; Ensuring the quality of the digitized image is legible and readable.

4.8 Security Incident Requirements: Within 1 hour of a security incident, the contractor shall provide the COR a security incident report, which shall address all relevant information concerning the security incident, including the nature of the event (loss, theft, unauthorize access) and description of the event.

The term “security incident” means an event that has, or could have, resulted in unauthorized access to or loss of MEDVAMC assets or sensitive information, or an action that breaches MEDVAMC security procedures. When a security incident occurs, the contractor shall immediately notify the CO/COR of any known or suspected security incidents or any unauthorized disclosure of sensitive information.

4.9 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 MEDVAMC records.

2. does not include personal materials.

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

8. The Contractor shall not create or maintain any records containing any non-public MEDVAMC 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. The MEDVAMC 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 MEDVAMC 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 [Agency]-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.

5. CONTRACTOR REQUIREMENTS

5.1 Quality Assurance: The Contractor shall have an effective quality assurance program that monitors the accuracy and turnaround time for scanning medical and administrative records per VHA requirements set forth in VHA handbook 1907.01 and 1907.07.

The Contractor shall have a 95% accuracy and timeliness of delivery for record(s) and IOD images to the VAMC. A monthly error rate in excess of 5% shall result in a reduction in payment by that percentage in excess of the 5%.

The Contractor shall provide the COR with a monthly QA report for accuracy of scanning and timeliness of delivery for record(s) and IOD images to the VAMC.

5.2 Reporting Requirements: The Contractor shall provide the COR with report on demand via a web-based application or ad hoc when requested, on inventories, accessions, legal holds, disposals, permanent withdrawals, retrievals, records, and overdue retrievals. Reports are subject to content and format approved by the COR. The reports are considered operational in nature and shall be made available on a demand or ad hoc basis.

The Contractor shall provide all reports in an electronic format, at no additional costs. Modifications, additions, or deletions to these reports shall be made periodically via written notification to the contractor by the COR/CO.

5.3 Required Monthly Quality Reports:

· Master Inventory Report: This report lists all records stored in Contractor’s compliant records storage facility(s) as of the date of the report. Data shall include the Contractor barcode number affixed to the box and MEDVAMC box description, MEDVAMC box number, date received, disposition date, box status to include permanent withdraw date, withdrawn date, last history date to include requester name, major and minor descriptions.

· The Contractor shall have the capability to auto-generate master inventory reports that can be delivered via email on a pre-determined basis (e.g. weekly, monthly).

· New Box Acknowledgement Report: This report is an acknowledgement by the Contractor that specific boxes have been received through the receiving and entry process by the Contractor and have been recorded in the Contractor database. The report will list each box, MEDVAMC’s identifying number, and contractor barcode number.

· Refile Box Acknowledgement Report: This report is an acknowledgement by the Contractor that specific boxes have been received through the refile process by the Contractor and have been recorded in the Contractor database. The report will list each box, MEDVAMC’s identifying number and Contractor barcode number.

· Disposal Report: This report lists all records/boxes destroyed by the Contractor during a set time period.

· Permanent Withdrawal Report: This report lists all boxes permanently withdrawn by MEDVAMC from Contractor’s compliant records storage facility(s) during a requested time period.

· Invoice Summary Report: This monthly report summarizes the invoice amount billed to MEDVAMC. The report shall include itemized listing of storage, retrievals, refiles deliveries, and destruction cost.

· Invoice Payment History Report: This report consists of contract to date accounting payment history listing all invoice amounts credited to Contractor and those that are still pending.

5.4 Confidentiality of Information: The Contractor shall ensure the confidentiality of all patient information being transported and will be held liable in the event of breach of confidentiality. The Contractor shall comply with the provision of the Federal Privacy Act of 1974 (Public law 93-579), HIPAA (Public law 104-191), and the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1972 (Public Law 93-255), as well as other statues regarding confidentiality of patient information during and after the execution of this contract. Because of the confidential medical record information that maybe accessible and/or visible to contractor employees during performance of their daily duties, the contractor shall obtain a signed "confidentiality certificate" from each employee prior to allowing them to start work under this contract. Any information about an individual that is maintained by the VA, including, but not limited to, education, financial transactions, medical history, and criminal or employment history or any record that contains the person's name, or the identifying number, symbol, or other identifying assigned to the individual, shall be kept CONFIDENTIAL. Upon request, the contractor shall provide a copy of this certification to the CO and/ COR.

5.5 HIPAA Compliance: The Contractor shall maintain compliance with the Health Insurance Portability and Accountability act of 1996.

5.6 Transportation: The Contractor shall utilize vehicles suitable for the transportation of MEDVAMC records. Vehicles shall have appropriate security features (e.g., anti-theft devices) and shall always remain secured.

The Contractor shall ensure that vehicles are equipped with fire suppression capabilities. All contractor vehicles utilized in this contract shall be insured and maintain current state vehicle registration.

The Contractor must ensure that all vehicle operators possess a valid state driver's license with any necessary endorsements for operating the contractor’s vehicles as well as ensuring drivers have undergone appropriate background investigations.

The Contractor and the contractor’s employees shall not use personal vehicles in the performance of this contract.

The Contractor shall always track and trace (point-to-point tracking and verification) in the contractor’s records management system to permit retrieval of records between staging, relocating, and storing of inventory.

5.7 Staffing: Contractor is completely responsible for all actions of its employees. All contractor personnel employed in the performance of this contract shall comply with all VA building regulations, policies, and guidelines while on the premises.

The Contractor shall designate one of its staff as the Contract Security Representative (CSR). Submit the name of such individual to the MEDVAMC Contracting Officer’s Representative (COR) for approval. Once approved, the contractor cannot change the individual assigned as the CSR without the written approval from the COR.

The CSR’s responsibilities will include:

· To provide the COR with the required security clearance information for all contractor employees

· To submit required personnel information to the COR at least (10) calendar days prior to a contractor’s appearance on the project

6. ADDITIONAL REQUIREMENTS

6.1 Save Harmless and Indemnity Agreement: The Contractor shall save harmless and indemnify the VA with respect to any and all liability, claims, costs of whatsoever kind and nature for injury to or death of any person or persons and for loss or damage to any property of the VA or of others occurring in connection with or in any way incident to or arising out of the occupancy, use, service operation or performance of work in connection with this contract resulting in whole or in part from the negligent or non-negligent acts or omissions of the contractor, any subcontractor or any employee, agent or representative of the contractor or of any subcontractor.

6.2 Required Insurance: During the entire period of performance under this contract the contractor shall procure and maintain not less than the following minimum insurance and shall provide proof of insurance prior to commencing contract performance:

6.2.1 Workmen’s Compensation- in the amounts to satisfy applicable state law.

· Employer’s Liability- Minimum of $100,000 per occurrence

· Comprehensive General Liability Minimum limits of $1,000,000 per occurrence for bodily injury or death but a limit of $2,000,000 total; and $1,000,000 per occurrence for damage to property of a third person (s)

· Comprehensive Automobile Liability Minimum limits of $200,000 per person and $500,000 per occurrence for bodily injury and $20,000 per occurrence for property damage; higher minimum limits if required by applicable state laws.

Prior to the commencement of work the contractor shall furnish to the CO, a certificate or written statement of all required insurance. The policies evidencing required insurance shall contain an endorsement that cancellation or any material change in the policies adversely affecting the interests of the VA shall not be effective for a period prescribed by the laws of the state in which the contract is performed and in no event less than thirty (30) days after written notice to the CO. The contractor agrees to insert the substance of this clause in all sub-contracts hereunder.

7. ADMINISTRATIVE MATTERS

7.1 Continuity of Service: A thirty (30) day Phase-in/Phase-Out period, effective on the Contract commencement date is required to facilitate a potential change in contractors upon expiration of the current contract and to ensure continuity for service. When there is a change in contractor, it shall be the responsibility of the new contractor to ensure the transition is accomplished without delays in scheduling waste services.

The Contractor shall describe their continuity of operations during the transition activities to meet all required service levels and expectations. This means that there should be no service disruption and business should continue as usual to ensure optimal customer satisfaction and service excellence.

The Contractor shall describe how files requested while in the transition process from the current facility to the Contractor facility will be located and retrieved from pallets and delivered digitally within a Next Day timeframe or outside regular business hours for urgent requests.

7.2 Changes to Contract or PWS: Changes to this PWS or the impending contract shall only be authorized and approved through written correspondence from the CO. A copy of each change shall be kept in a project folder along with all other documents or items pertaining to the project. Costs incurred by the Contractor through the actions of parties other than the CO shall be borne by the Contractor.

7.3 Payment: The contractor shall submit requests for payment electronically to the VA’s Tungsten Network. Invoices shall be paid monthly in arrears for all authorized work performed upon receipt of a properly prepared invoice submitted to: https://www.fsc.va.gov/einvoice.asp.

Invoices shall include the following:

· Name and address of the contractor

· Invoice date and number;

· Contract number, purchase order number, contract line item number and, if applicable, the order number;

· Detailed description of quantity, unit of measure, unit price and extended price of the items delivered;

· Dates of pickup

· Terms of any discount for prompt payment offered;

· Name and address of official to whom payment is to be sent;

· Name, title, and phone number of people to notify in event of defective invoice

NOTE: Non-performance or late performance may result in delayed, reduced, or even nonpayment under this contract.