SOURCES SOUGHT
R -- FY2019-2024 VA Franchise Fund Audit Request for Information (RFI)
- Notice Date
- 11/16/2018
- Notice Type
- Synopsis
- NAICS
- 541211
— Offices of Certified Public Accountants
- Contracting Office
- Strategic Acquisition Center - Frederick;Department of Veterans Affairs;321 Ballenger Center Drive, Suite 125;Frederick MD 21703
- ZIP Code
- 21703
- Solicitation Number
- 36C10X19Q0026
- Response Due
- 11/29/2018
- Archive Date
- 2/27/2019
- Point of Contact
- Myla.Wyatt@va.gov
- Small Business Set-Aside
- N/A
- Description
- (FOR MARKET RESEARCH PURPOSES ONLY) THIS IS A REQUEST FOR INFORMATION (RFI) ONLY (as defined in FAR 15.201(e)), and this is not a solicitation. Solicitations are not available at this time. Requests for a solicitation will not receive a response. Respondents are advised that the Government is under no obligation to acknowledge receipt of the information received, provide feedback to respondents with respect to any information submitted, or respond to any questions or comments that may be submitted in response to this RFI. This notice does not constitute a commitment by the Government, and does not obligate the Government to award a contract or otherwise pay for the information provided in response. Respondents are solely responsible for all expenses associated with responding to this RFI/Sources Sought. The purpose of this RFI/Sources Sought is to identify Service Disabled Veteran Owned Small Business(es) (SDVOSBs) and Veteran Owned Small Business(es) (VOSBs) who are active in the System for Award Management (SAM) https://www.sam.gov/ and verified in the Veterans Business (VETBIZ) https://www.vip.vetbiz.va.gov/ database, Vendor Information Page (VIP) that can provide Certified Public Accountant audit services in accordance with the attached draft Performance Work Statement (PWS). The U.S. Department of Veterans Affairs (VA) is seeking services from a Certified Public Accountant (CPA) with at least ten (10) years of experience that can provide comprehensive financial audit services, including, but not limited to: auditing financial statements and internal controls. Dedicated key personnel, staff and resources is highly desirable. Desired qualifications and experience includes, but is not limited to: providing written reports (in-depth audit analysis and comprehensive reports) and deliverables within an aggressive timeline, the ability to travel to VA sites outside of the local Washington DC metropolitan area, and perform audit field work and attend monthly status meetings. Please ensure that the information and qualifications above are clearly stated in the Capabilities Statement. The VA is only interested in identifying sources that meet the stated criteria. Through this process, VA is requesting the capabilities from Service Disabled Veteran Owned Small Businesses (SDVOSBs) and Veteran Small Businesses (VOSBs) interested in providing these services. The responses to this RFI will be captured as market research and may contribute to the development of an acquisition strategy. Information provided may be used to assess tradeoffs and alternatives available for the potential requirement and may lead to the development of a solicitation. All submissions become Government property and will not be returned. The Government reserves the right to use information provided by respondents for any purpose deemed necessary and legally appropriate. It is highly recommended that you review the attached Draft Performance Work Statement (PWS) prior to preparing your organization s RFI response/Statement of Capabilities. INSTRUCTIONS FOR RESPONDING TO THIS RFI CONFIDENTIALITY: No proprietary, classified, confidential, or sensitive information should be included in your response. The Government reserves the right to use any non-proprietary technical information in any resultant solicitation(s). Response Format/Page Limitations: The overall total page limit for responses to this RFI is ten (10) pages. Response submissions should be submitted in Microsoft Word format with Times New Roman font, 12 pt. or greater font size. Interested parties should limit marketing material in order to allow sufficient space for adequately, directly, and substantively responding with the information of most interest to the Government. In all correspondence relevant to this RFI please identify it as a response to the VA FSC Franchise Fund Audit RFI and refer to the identifying number of 36C10X19Q0026. Any organization responding to this notice should ensure that its response is complete and sufficiently detailed. Respondents are requested to limit responses to the information, and in the format provided below. A - GENERAL INFORMATION: Organization name and the year in which the company was established/founded (please list any previous names used). Company ownership (public, private, joint venture). What is your company s/entities socio-economic designation (SDVOSB, VOSB, WOSB, and whether VIP verified- https://www.vip.vetbiz.va.gov/ Please Identify any GSA FSS schedules or other contract vehicles you hold that support this work as described in the draft PWS, and please provide the schedule number. B CAPABILITY AND EXPERIENCE INFORMATION Please describe current and past experience conducting audits of Franchise Funds- experience working with the federal government and/or revolving fund(s) with similar characteristics as the VA FSC Franchise Funds as detailed in the attached draft PWS. Please include relevant experience performing an audit of a federal entity pursuant to the Chief Financial Officers Act 1990 (Public Law-101-576) and experience with Government Auditing Standards. Describe the total number of principals and audit personnel/staff, including the total number of Certified Public Accountants (CPA s) and corresponding years of experience. Please forward your company s Statement of Capabilities via email to Myla.Wyatt@va.gov and Corey.Mann@va.gov no later than 3:00PM EST on Thursday, November 29, 2018. Price quotes are highly encouraged, but not required. QUESTIONS: No questions will be accepted at this time. Depending upon the RFI responses received, VA may request additional information or conduct future question and answer sessions. GENERAL INFORMATION: The VA Franchise Fund is composed of seven lines of business (Enterprise Centers) and one administrative organization: the Enterprise Operations (EO), Debt Management Center (DMC), Financial Services Center (FSC), Law Enforcement Training Center (LETC), Security and Investigations Center (SIC), VA Records Center and Vault (RCV), Human Resources Enterprise Center (added at the start of FY 2017) and the Office of Enterprise Support Services (OESS) Franchise Fund Oversight Office (FFO). The VA Franchise Fund supports VA's mission by supplying common administrative services to both VA and other federal entities at competitive prices. Through innovation and business process improvement, the Enterprise Centers are a best value source of services to VA and other government agency customers. Revenues from customers fund all of the VA Franchise Fund operational and capital expenses. The VA Franchise Fund administrative organization (FFO) is located at the VA Central Office in Washington, DC. In fiscal year 2016, the Franchise Fund total revenue was $764 million. The majority of the revenue of the Fund is earned by the EO and the FSC in Austin, TX. These two activities were responsible for $454 million and $259 million in respective revenue. The remaining four Franchise Fund business lines accounted for $64 million in annual revenues. 52.215-3 Request for Information or Solicitation for Planning Purposes (Oct 1997) (a) The Government does not intend to award a contract on the basis of this solicitation or to otherwise pay for the information solicited except as an allowable cost under other contracts as provided in subsection 31.205-18, Bid and proposal costs, of the Federal Acquisition Regulation. (b) Although proposal and offeror are used in this Request for Information, your response will be treated as information only. It shall not be used as a proposal. (c) This solicitation is issued for the purpose of: Information. (End of provision) The information provided in the RFI is subject to change and is not binding on the Government. Any organization responding to this notice should ensure that its response is complete and sufficiently detailed. Your interest is greatly appreciated. Thank you in advance for your interest and response. DRAFT-PERFORMANCE WORK STATEMENT (PWS) AUDIT OF THE DEPARTMENT OF VETERANS AFFAIRS (VA) FISCAL YEARS 2019-2024 FRANCHISE FUND FINANCIAL STATEMENTS DRAFT BACKGROUND- In accordance with Section 403 (f) of Public Law 103-356, the Government Management Reform Act (GMRA) of 1994, the Department of Veterans Affairs (VA) was selected as one of six pilot Franchise Fund agencies operating within the Executive Branch of Government by the Office of Management and Budget (OMB) in May 1996. VA s Franchise Fund was established as a revolving fund and began operations at the beginning of fiscal year (FY) 1997 and continued as a pilot through FY 2005. In November 2005, Section 208(i) of Public Law 104-204 conferred permanent status to the VA s Franchise Fund. By law, the business lines within the Fund can only sell to Federal entities. The Fund is composed of seven lines of business (Enterprise Centers) and one administrative organization: the Enterprise Operations (EO), Debt Management Center (DMC), Financial Services Center (FSC), Law Enforcement Training Center (LETC), Security and Investigations Center (SIC), VA Records Center and Vault (RCV), Human Resources Enterprise Center (added at the start of FY 2017) and the Office of Enterprise Support Services (OESS) Franchise Fund Oversight Office (FFO). The VA Franchise Fund supports VA's mission by supplying common administrative services to both VA and other federal entities at competitive prices. Through innovation and business process improvement, the Enterprise Centers are a best value source of services to VA and other government agency customers. Revenues from customers fund all of the VA Franchise Fund operational and capital expenses. The VA Franchise Fund is represented by one Treasury appropriation symbol, 36X4539. The Financial Services Center in Austin, TX, processes all of the accounting transactions for the Fund by utilizing a highly modified version of the American Management Systems, Inc. (AMS), Federal Financial Software (FFS) product. Within VA, this product is known as the Financial Management System (FMS) and it serves as the core accounting system for all of VA. It is operated by the AITC located in Austin, Texas. The VA Franchise Fund administrative organization (FFO) is located at the VA Central Office in Washington, D.C. In fiscal year 2016, the Franchise Fund total revenue was $764 million. The majority of the revenue of the Fund is earned by the EO and the FSC in Austin, TX. These two activities were responsible for $454 million and $259 million in respective revenue. The remaining four Franchise Fund business lines accounted for $64 million in annual revenues. The annual financial statements of the VA Franchise Fund have been audited by a private sector accounting firm- since FY 1998. Each audit (FY 1998 FY 2016) has resulted in an unqualified opinion. For more information, visit our web site (www.va.gov/fund). OBJECTIVES AND SCOPE The overall target objective is to obtain an opinion on VA s Franchise Fund financial statements for FY 2019-2024 in accordance with generally accepted auditing standards, Government Auditing Standards, and Office of Management and Budget (OMB) Circular A-136, dated September 18, 2016, and any subsequent replacement bulletins or amendments. Specific task order objectives are: Determine whether the consolidated financial statements of the VA s Franchise Fund are fairly presented in all material respects in accordance with: a. OMB Bulletin No. 01-02, Audit Requirements for Federal Financial Statements, b. OMB Circular A-136, Financial Reporting Requirements, c. Any subsequent replacement bulletins and/or amendments. Determine whether the VA s Franchise Fund internal control provides reasonable assurance of achieving the internal control objectives of OMB Bulletin No. 01-02, par 7.c. (2). The contractor shall make this determination, in part, by obtaining an understanding of the internal control policies and procedures and assessing the level of control risk relevant to all significant cycles, classes of transactions, and account balances. Determine whether the VA s Franchise Fund has complied with laws and regulations that could have a direct and material effect on its consolidated financial statements. Provide expert analysis and written recommendation on: Resolution of identified deficiencies Improvements to the financial statements of the VA Franchise Fund correspond to best practices in the industry. TASK AND DELIVERABLES Delivery of products: Delivery to the designated Contracting Officer Representative (COR) an electronic and (2) hard copies to: Office of Enterprise Support Services Franchise Fund Oversight Office Washington, DC 20002 Electronic products must be readable by Microsoft Office Word (latest version). All deliverables will be provided in draft form to the COR. Final products include a cover identifying all changes and explanatory responses to the COR s comments, as appropriate. The contractor is responsible for preparing and reviewing all working papers supporting the deliverables required in this section. All deliverables/documents submitted are required to be thoroughly proofread, and submitted in a timely manner in accordance with the Performance Work Statement deliverable schedule and Performance Requirements Surveillance Plan. Task 1: Develop a Comprehensive Planning Document (CPD). This product consists of an entity profile, laws and regulations, cycle memoranda, accounting/computer systems, specific control evaluations, risk analysis, general audit approach, general audit administration and audit guides. The assessment of the risk of a material misstatement resulting from fraud, in accordance with SAS 99, Consideration of Fraud in a Financial Statement Audit shall be added to the CPD, including appropriate steps to the audit guide. Also, the CPD should be updated in accordance with SAS 78, Consideration of Internal Control in a Financial Statement Audit. All deliverables must be thoroughly reviewed by the Contractor prior to submission. VA Franchise Fund cycle memorandum will be provided at initial kick-off meeting. Deliverable 1: CPD draft due: No later than two (2) calendar weeks from date of award. CPD final version due: Not later than two (2) calendar weeks after COR approved revision(s) are finalized. Task 2: Monthly Status Meetings. The auditor/contractor is required to attend in-person monthly status meetings (1st Tuesday of every month), and provide a written monthly status report to the COR two (2) business days in advance of scheduled status meeting. The report(s) must contain an outline of the audit process to include: the current stage of the audit (based on the report timeframe), a timeline with a list of the products/reports/items needed from the Franchise Fund and due dates. The COR will designate the initial reporting month. Deliverable 2: The contractor shall attend a monthly status meeting and provide a monthly status report to the COR two (2) business days in advance of each meeting. Task 3: Internal Control and Compliance Testing. The contractor shall provide completed internal control (VA financials systems) draft/final audit report for substantive testing phase to the COR for review and approval (this includes results of internal control testing of Electronic Data Processing (EDP) controls and Federal Financial Managers Improvement Act (FFMIA) compliance. Deliverable 3: Submit final and draft report/results of Internal Control of Electronic Data Processing (EDP) controls and Federal Financial Managers' Improvement Act (FFMlA) to the COR via electronic mail. Delivery date to be determined by COR. Task 4: Interim and Substantive Testing and Audit Fieldwork. Auditor will provide the COR with: Preliminary and final risk assessments; Completed and referenced lead schedule with auditor s conclusion; Preliminary and final analytical reviews; Potential adjusting and reclassifying entries; Summary of work performed regarding illegal acts, subsequent events, related party transactions, and commitments and contingencies; Summary of recommended changes to the draft financial statements, including disclosures; Notes for improving the audit process for subsequent years; Audit engagement team sign-off questionnaire. Deliverable 4: These tasks shall be completed by the contractor as part of the audit fieldwork, and each deliverable shall be submitted to the COR when completed, as required throughout the duration of the contract. Deliverable 4 due date schedule will be provided by COR within 45 calendar days after date of award. Task 5: Provide an Audit Report. The contractor is responsible for preparing the report and it is due in draft by a date to be determined after contract award. The report will include the auditor's opinion on the fairness of the financial statements, findings and recommendations on internal control, and compliance with laws and regulations. This audit report will be in conformance with the reporting requirements of Government Audit Standards and Audit Requirements for Federal Financial Statements, OMB Bulletin 01-02 and any subsequent replacement bulletins or amendments. Any changes to the format shall require written approval by the COR in advance. Deliverable 5: Submit the draft and final audit reports to COR by a date determined after the contract is awarded. The contractor shall provide three (3) hard copies and one electronic copy of the final report to the COR. Task 6: Provide written Management Advisory Letter The contractor is responsible for preparing the Management Advisory Letter to be reported to the Principle Executive Director of the Office of Enterprise Support Services. The Advisory Letter is to be submitted in draft and final versions and should include comments on internal controls not considered reportable conditions and immaterial instances of non-compliance with laws and regulations. Additionally, auditor s conclusion based on management s responses should also be included. The Management Advisory Letter shall follow the format approved by the COR. Any changes to the format shall be approved in writing by the COR in advance. Deliverable 6: The contractor shall submit draft Management Advisory Letter based on a schedule determined by the COR after contract award. The contractor shall submit the final Management Advisory Letter within fifteen calendar days after draft revisions are approved and accepted by the COR. The contractor will also provide three (3) hard copies and one electronic copy of the management advisory letter to the COR. SCHEDULE FOR DELIVERABLES: Key Deliverables (Note: These deliverables shall depend on final timelines established by the VA Franchise Fund Oversight Office and task order award date). The time frames presented herein are subject to revision by the Government. Deliverable Schedule Due Date Kick-off Meeting Immediately after award-TBD Comprehensive Planning Document (CPD) Draft due no later than two calendar weeks from date of award. Final due no later than two weeks after draft revisions are approved by COR Monthly Status Meetings 1st Tuesday of every month. Internal Control and Compliance Testing To commence within thirty (30) calendar days after date of award Interim and Substantive Testing To commence within sixty (60) calendar days after date of award Audit Field Work/ Site Visit Audit field work estimated to commence within ninety (90) calendar days after date of award Final Substantive Testing Estimated to commence within one-hundred and twenty (120) calendar days after date of award Draft Audit Report Estimated due date within on-hundred and thirty (130) calendar days after date of award Final Audit Report Estimated due date within one-hundred and forty (140) calendar days after date of award Draft Management Advisory Letter Due date to be determined by COR after date of award. Estimated due date within one-hundred and sixty (165) calendar days after date of award Final Management Advisory Letter Due within fifteen (15) calendar days after draft revisions are approved by the COR. Estimated due date within one-hundred and eighty (180) calendar days after date of award INSPECTION AND ACCEPTANCE CRITERIA Final inspection and acceptance of all work performed, reports and deliverable will occur at the place of delivery by the COR. Final approval and acceptance of documentation required herein shall be by letter of approval and acceptance by the COR. PERFORMANCE REQUIREMENTS SURVEILLANCE PLAN Performance Objective Method of Surveillance Performance Standard Acceptable Quality Level Incentives Deliverable 1: Deliver a Comprehensive Planning Document (CPD) DRAFT in accordance with Task 1. Written draft report delivered via electronic mail to the COR. 100% Surveillance CPD to include entity profile, audit approach, and VA Franchise Fund cycle memos, SAS 99 and 78 in accordance with Task 1 Draft CPD will not be returned to the Vendor more than twice for revisions. Reports are received timely based on the performance standard 98% of the time. Any revisions to the reports provided must be implemented within four (4) business days. Past performance (Reported performance in CPARS and PPIRS): Past performance information will affect decisions to exercise option or to make future contract awards. Payment for services: The Government will not pay for services that do not conform or do not meet performance standards, or have not been properly rendered. The Contractor shall be given an opportunity to correct non-conforming services at no cost to the government if the services are non-conforming or the contract requirement is unacceptable. The vendor shall not invoice until email confirmation from the COR accepting the service has been provided. Deliverable 1: Deliver a Comprehensive Planning Document (CPD) FINAL in accordance with Task 1. Written Final CPD report delivered via electronic mail and a hard copy to COR at address listed in Section C Task and Deliverables 100% Surveillance CPD to include entity profile, Franchise Fund cycle memos, audit approach, and SAS 99 and 78 in accordance with Task 1 No revisions will be allowed for the Final CPD. Reports are received timely based on the performance standard 100% of the time. Deliverable 2: Monthly status reports and meeting attendance Provide current status of the audit process in accordance with PWS. Written reports. Meeting attendance and participation. 100% Surveillance Written reports include the current status of the audit process and deliver via electronic mail to the Franchise Fund COR 2 business days prior to the status meetings. Reports are received timely based on the performance standard 98% of the time. Any revisions to the monthly status reports will be implemented within 1 business day. Performance Objective Method of Surveillance Performance Standard Acceptable Quality Level Incentives Deliverable 3: Completed Internal Control and Compliance Testing Contractor shall provide completed internal control phase audit work, summaries and final audit program for substantive testing phase. Written documentation delivered via email to the COR for review and final approval. 100% Surveillance COR will ensure that the contractor conducts internal controls and compliance testing in accordance with the approach outlined in the FINAL CPD. Required testing will be completed based on the performance and accuracy standard of 100% of the time. Task 4: Audit Field Work Audit Field Work consisting of Interim and final substantive testing phase to the COR for review and approval. 100% Surveillance The COR will ensure that the audit field work performed-on site by the contractor relates to the VA Franchise Fund audit, and that field work follows the approach audit approach. Deliverable 4: Written audit reports on the evidence gathered in accordance with Task 4- Audit Fieldwork Direct observation, inspection, conducts interviews, and prepared written reports. 100% Surveillance Reports include the findings and conclusions. Objectives, scope, methodology including findings, conclusions, and recommendations. Reports include completed internal control phase audit work, summaries, and final audit program for compliance and substantive testing phase to the COR for review and approval. Audit work performed during site visits shall be VA Franchise Fund related. 100% complete and delivered on time in accordance with the PWS Deliverable 5: Communicate the result and express an opinion on whether the Franchise Fund financial statements are presented fairly in conformity with GAAP. Written documentation 100% surveillance Reports include the auditor's opinion on the fairness of the financial statements, findings and recommendations on internal control, and compliance with laws and regulations. Draft Audit report will not be returned to the contractor more than twice for revisions. Final Report will be email to the COR and 3 hard copies will be mailed to the address in Section C-Task and Deliverables 100% complete and delivered on time in accordance with the PWS. Any revisions to the reports provided by the Govt. must be implemented within four (4) business days. Deliverable 6: Management Advisory Letter Prepare DRAFT and FINAL Management Advisory Letter. Required to include comments on internal controls not considered, reportable conditions, and immaterial instances of non-compliance with laws and regulations. Additionally, auditor s conclusion based on management s responses should also be included. 100% Surveillance Management Advisory Letter shall follow format approved by the COR. DRAFT-will not be returned contractor more than twice (2) for revisions. FINAL- No revisions will be accepted. 100% complete and accurate. DRAFT advisory Letter to be submitted in accordance with PWS All revisions the reports provided must be implemented within three (3) business days. FINAL -to be submitted fifteen (15) calendar days after DRAFT revisions are approved and finalized by the COR. Contractor will provide three (3) hard copies and one electronic copy of the management advisory letter to the COR. PERIOD OF PERFORMANCE The Period of Performance will be for an initial twelve (12) month base period from date of award. The base year period will apply to the audit of fiscal year 2019 financial statements. In addition, there are four (4) twelve-month option years which may be exercised based upon the availability of funds and at the discretion of the Government. TYPE OF CONTRACT: Firm Fixed Price PLACE OF PERFORMANCE: The Franchise Fund Oversight Office will provide work space (cubicle) for the contractor when necessary. The contractor, when necessary shall have access to the Work Site from 7:30 am to 5:00 pm (ET) Monday through Friday (except during federal holidays) as coordinated with the COR. Access to the Government facility is prohibited after these hours, during Federal Holidays and on weekends, unless the need is pre-determined, escorts provided and approved by the COR. Personal laptops, thumb drives, CD s and other data storage devices not authorized in writing by the COR are not allowed in the Government facility. CONTRACT AWARD MEETING The contractor shall not commence performance on the tasks or deliverables in this PWS until the Contracting Officer (CO) has conducted a kick-off meeting or has advised the contractor that a kick-off meeting is waived. CHANGES TO THE PERFORMANCE WORK STATEMENT Any changes to the PWS shall be authorized and approved only through written correspondence from the CO. A copy of each change will be kept in a project folder along with all other products of the project. Costs incurred by the contractor through the actions of parties other than the CO shall be borne by the Contractor. TRAVEL AND OTHER DIRECT COSTS (ODC) Travel may be required to Austin, Texas and other sites where financial activities of the Franchise Fund are deemed significant and the need to be reviewed as requested by the contractor. Travel to audit site visit will only be authorized for up to two (2) key personnel. Work performed at the audit site must be Franchise Fund related. All chargeable travel requires written approval in advance by the COR. The Contractor shall be entitled to the recovery of reasonable and allowable transportation costs incurred for employees. Allowable travel costs shall be determined in accordance with subpart 31.2 of the Federal Acquisition Regulations. Reimbursement of travel shall be accomplished when the Contractor submits an invoice for travel along with the supporting documentation and receipts in accordance with the Federal Travel Regulations (FTR). General and Administrative (G&A) will not be allowed against travel costs. Expenses for subsistence and lodging shall be reimbursed to the Contractor only to the extent where overnight stay is necessary and authorized for performance of services ordered under this contract at the per diem rates authorized by the FTR in effect at the time of the stay for the specified location. All travel and per diem expenses shall be reimbursed in accordance with the FTR. KEY PERSONNEL The Contractor shall be responsible for managing and overseeing the activities of all Contractor personnel, as well as subcontractor efforts used in performance of this effort. The Contractor's management responsibilities shall include all activities necessary to ensure the accomplishment of timely and effective support, performed in accordance with the requirements contained in the statement of work The Contracting Officer may notify the Contractor and request immediate removal of any personnel assigned to the task order by the Contractor that are deemed to have a conflict of interest with the government or if the performance is deemed to be unsatisfactory. The reason for removal will be documented and replacement personnel shall be identified within three business days of the notification. Any personnel the contractor offers as a substitute shall have the ability and qualifications equal to or better than the key personnel that are being replaced. Employment and staffing difficulties shall not be justification for failure to meet established schedules. Key Personnel: Skilled experienced professional and/or technical personnel are essential for accomplishing the work to be performed and will be assigned to the audit. Substitutions shall only be accepted if in compliance with Substitution of Key Personnel" provision identified below. Substitution of Key Personnel: All Contractor requests for approval of substitutions hereunder shall be submitted in writing to the COR and the Contracting Officer at least thirty (30) calendar days in advance of the effective date, whenever possible, and shall provide a detailed explanation of the circumstances necessitating the proposed substitution, a complete resume for the proposed substitute, and any other information requested by the Contracting Officer necessary to approve or disapprove the proposed substitution. New personnel shall not commence work until all necessary security requirements, as defined in Section I (see below) have been fulfilled and resumes provided and accepted. The COR and the Contracting Officer will evaluate such requests and promptly notify the Contractor of approval or disapproval in writing. CONTRACTOR MANAGEMENT RESPONSIBILITIES The contractor shall appoint a Program Manager who shall be the Contractor s Authorized Representative for technical and administrative performance of all supplies/services required hereunder. The Program Manager shall be the single point of contact through which all contractor/government communications shall flow. All administrative personnel and all interface and interaction used by the Contractor in performance of this contract shall be the Contractor s responsibility. CONTRACTING AND ADMINISTRATION AUTHORITY Notwithstanding the Contractor's responsibility for total management during the performance of this contract, the administration of the contract will require maximum coordination between the Government and the Contractor. Contracting Officer s Representative (COR): In no event is the COR empowered to change any of the terms and conditions of the contract. Changes in any section of this contract shall be made only by the Contracting Officer pursuant to a properly executed modification. The types of actions within the purview of the COR s authority are to ensure that the Contractor performs the technical requirements of the contract, and to notify both the Contractor and the Contracting Officer of any deficiencies observed. A memorandum of designation shall be issued to the COR and a copy shall be sent to the Contractor at the time of contract award setting forth in full the responsibilities and limitations of the COR. CONTRACTOR PERSONNEL SECURITY REQUIREMENTS The following security requirement must be addressed regarding Contractor supplied equipment: Contractor supplied equipment, Personal Computers (PCs) of all types, equipment with hard drives, etc. for contract services must meet all security requirements that apply to Government Furnished Equipment (GFE) and Government Owned Equipment (GOE). Security Requirements include: a) VA Approved Encryption Software must be installed on all laptops or mobile devices before placed into operation, b) Bluetooth equipped devices are prohibited within the VA; Bluetooth must be permanently disabled or removed from the device, c) VA approved anti-virus and firewall software, d) Equipment must meet all VA sanitization requirements and procedures before disposal. The COR, CO and the ISO must be notified and verify all security requirements have been adhered to. In accordance with VA Handbook 6500.3 Certification and Accreditation (C&A) do not apply to this solicitation/procurement, and a Security Accreditation Package is not required. Information made available to the Contractor/Subcontractor by VA for the performance or administration of this contract or information developed by the Contractor/Subcontractor in performance or administration of the contract shall be used only for those purposes and shall not be used in any other way without the prior written agreement of the VA. This clause expressly limits the Contractor/Subcontractor's rights to use data as described in Rights in Data - General, FAR 52.227-14(d) (1). VA information should not be co-mingled, if possible, with any other data on the Contractors/Subcontractor s information systems or media storage systems in order to ensure VA requirements related to data protection and media sanitization can be met. If co-mingling must be allowed to meet the requirements of the business need, the Contractor must ensure that VA s information is returned to the VA or destroyed in accordance with VA s sanitization requirements. VA reserves the right to conduct onsite inspections of Contractor and Subcontractor IT resources to ensure data security controls, separation of data and job duties, and destruction/media sanitization procedures are in compliance with VA directive requirements. Prior to termination or completion of this contract, Contractor/Subcontractor must not destroy information received from VA, or gathered/created by the Contractor in the course of performing this contract without prior written approval by the VA. Any data destruction done on behalf of VA by a Contractor/Subcontractor must be done in accordance with National Archives and Records Administration (NARA) requirements as outlined in VA Directive 6300, Records and Information Management and its Handbook 6300.1 Records Management Procedures, applicable VA Records Control Schedules, and VA Handbook 6500.1, Electronic Media Sanitization. Self-certification by the Contractor that the data destruction requirements above have been met must be sent to the VA CO within 30 days of termination of the contract. The Contractor/Subcontractor must receive, gather, store, back up, maintain, use, disclose and dispose of VA information only in compliance with the terms of the contract and applicable Federal and VA information confidentiality and security laws, regulations and policies. If Federal or VA information confidentiality and security laws, regulations and policies become applicable to the VA information or information systems after execution of the contract, or if NIST issues or updates applicable FIPS or Special Publications (SP) after execution of this contract, the parties agree to negotiate in good faith to implement the information confidentiality and security laws, regulations and policies in this contract. The Contractor/Subcontractor shall not make copies of VA information except as authorized and necessary to perform the terms of the agreement or to preserve electronic information stored on Contractor/Subcontractor electronic storage media for restoration in case any electronic equipment or data used by the Contractor/Subcontractor needs to be restored to an operating state. If copies are made for restoration purposes, after the restoration is complete, the copies must be appropriately destroyed. 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 3rd party or terminate the contract for default or terminate for cause. The Contractor/Subcontractor must store, transport, or transmit VA sensitive information in an encrypted form, using VA-approved encryption tools that are, at a minimum, FIPS 140-2 validated. The Contractor/Subcontractor s firewall and Web services security controls, if applicable, shall meet or exceed VA s minimum requirements. VA Configuration Guidelines are available upon request. Except for uses and disclosures of VA information authorized by this contract for performance of the contract, the Contractor/Subcontractor may use and disclose VA information only in two (2) other situations: (i) in response to a qualifying order of a court of competent jurisdiction, or (ii) with VA s prior written approval. The Contractor/Subcontractor must refer all requests for, demands for production of, or inquiries about, VA information and information systems to the VA CO for response. Notwithstanding the provision above, the Contractor/Subcontractor shall not release VA records protected by Title 38 U.S.C. 5705, confidentiality of medical quality assurance records and/or Title 38 U.S.C. 7332, confidentiality of certain health records pertaining to drug addiction, sickle cell anemia, alcoholism or alcohol abuse, or infection with human immunodeficiency virus. If the Contractor/Subcontractor is in receipt of a court order or other requests for the above mentioned information, that Contractor/Subcontractor shall immediately refer such court orders or other requests to the VA CO for response. For service that involves the storage, generating, transmitting, or exchanging of VA sensitive information but does not require C&A or a MOU-ISA for system interconnection, the Contractor/Subcontractor must complete a Contractor Security Control Assessment (CSCA) on a yearly basis and provide it to the COR. Position Sensitivity and Background Investigation - The position sensitivity and the level of background investigation commensurate with the required level of access is: Low/NACI Moderate/MBI High/BI Position Sensitivity Background Investigation (in accordance with Department of Veterans Affairs 0710 Handbook, Personnel Security Suitability Program, Appendix A) Low National Agency Check with Written Inquiries (NACI) A NACI is conducted by Office of Personnel Management (OPM) and covers a five (5) year period. It consists of a review of records contained in the OPM Security Investigations Index (SII) and the DOD Defense Central Investigations Index (DCII), FBI name check, FBI fingerprint check, and written inquiries to previous employers and references listed on the application for employment. In VA it is used for Non-sensitive or Low Risk positions. Moderate Minimum Background Investigation (MBI) A MBI is conducted by OPM and covers a five (5) year period. It consists of a review of National Agency Check (NAC) records [OPM Security Investigations Index (SII), DOD Defense Central Investigations Index (DCII), FBI name check, and a FBI fingerprint check], a credit report covering a period of five (5) years, written inquiries to previous employers and references listed on the application for employment; an interview with the subject, spouse, neighbors, supervisor, co-workers; and a verification of the educational degree. High Background Investigation (BI) A BI is conducted by OPM and covers a ten (10) year period. It consists of a review of National Agency Check (NAC) records [OPM Security Investigations Index (SII), DOD Defense Central Investigations Index (DCII), FBI name check, and a FBI fingerprint check report], a credit report covering a period of ten (10) years, written inquiries to previous employers and references listed on the application for employment; an interview with the subject, spouse, neighbors, supervisor, co-workers; and a verification of the educational degree. CONTRACTOR RESPONSIBILITIES: The Contractor shall prescreen all personnel requiring access to the computer systems to ensure they maintain the appropriate Background Investigation, and are able to read, write, speak and understand the English language. The Contractor shall provide the name, address, and date of birth, SSN and any other pertinent and relevant information of the Contractor personnel assigned to this project to the COR and CO prior to Project Kickoff Meeting. The Contractor shall bear the expense of obtaining background investigations. If the investigation is conducted by the OPM, the Contractor shall reimburse VA within thirty (30) days. The Contractor(s) and Contractor point of contact (POC) will receive an email notification from the Security and Investigation Center (SIC) identifying the website link that includes detailed instructions regarding completion of the background clearance application process and what level of background clearance was requested. Reminder notifications will be sent if the complete package is not submitted by the due date. The Contractor shall submit or have their personnel submit the required forms (SF 85P - Questionnaire for Public Trust Positions, SF 85P-S Supplemental Questionnaire for Selected Positions, FD 258 U.S. Department of Justice Fingerprint Applicant Chart, VA Form 0710 Authority for Release of Information Form, Optional Form 306 Declaration for Federal Employment, and Optional Form 612 Optional Application for Federal Employment) to the VA Office of Security and Law Enforcement within thirty (30) calendar days of receipt. All costs associated with obtaining clearances for Contractor provided personnel shall be the responsibility of the Contractor. Further, the Contractor shall be responsible for the actions of all individuals provided to work for VA under this contract. In the event that damages arise from work performed by Contractor provided personnel, under the auspices of this contract, the Contractor shall be responsible for all resources necessary to remedy the incident. If the security clearance investigation is not completed prior to the start date of the contract, the contract employee may work on the contract with an initiated status while the security clearance is being processed. However, the Contractor will be responsible for the actions of the Contractor personnel they provide to perform work for the VA. In the event damage arises from work performed by Contractor personnel, under the auspices of the contract, the Contractor will be responsible for resources necessary to remedy the incident. The investigative history for Contractor personnel working under this contract must be maintained in the databases of either the OPM or the Defense Industrial Security Clearance Organization (DISCO). The Contractor, when notified of an unfavorable determination by the Government, shall withdraw the employee from consideration in working under the contract. Failure to comply with the Contractor personnel security requirements may result in termination of the contract for default. GOVERNMENT RESPONSIBILITIES The VA Office of Security and Law Enforcement will provide the necessary forms to the contractor or to the contractor's employees after receiving a list of names and addresses. Upon receipt, the VA Office of Security and Law Enforcement will review the completed forms for accuracy and forward the forms to OPM to conduct the background investigation. The VA facility will pay for investigations conducted by the Office of Personnel Management (OPM) in advance. In these instances, the contractor will reimburse the VA facility within 30 days. The VA Office of Security and Law Enforcement will notify the contracting officer and contractor after adjudicating the results of the background investigations received from OPM. CONFIDENTIALITY AND NON-DISCLOSURE It is agreed that: The preliminary and final deliverables and all associated working papers, and other material deemed relevant by VA which have been generated by the contractor in the performance of this task order are the exclusive property of the U.S. Government and shall be submitted to the COR at the conclusion of the task order. The Contracting Officer will be the sole authorized official to release verbally or in writing, any data, the draft deliverables, the final deliverables, or any other written or printed materials pertaining to this task order. No information shall be released by the contractor. Any request for information relating to this task order presented to the contractor shall be submitted to the Contracting Officer for response. Press releases, marketing material or any other printed or electronic documentation related to this project, shall not be publicized without the written approval of the Contracting Officer. 4. The Contractor will sign a National Business Associate Agreement with the VA, in accordance with the HIPAA mandate. NOTE: THIS NOTICE WAS NOT POSTED TO FEDBIZOPPS ON THE DATE INDICATED IN THE NOTICE ITSELF (16-NOV-2018); HOWEVER, IT DID APPEAR IN THE FEDBIZOPPS FTP FEED ON THIS DATE. PLEASE CONTACT 877-472-3779 or fbo.support@gsa.gov REGARDING THIS ISSUE.
- Web Link
-
Link To Document
(https://www.fbo.gov/spg/VA/AFMLOVASS/VASSMD/36C10X19Q0026/listing.html)
- Record
- SN05153700-F 20181118/181116230017 (fbodaily.com)
- Source
-
FedBizOpps Link to This Notice
(may not be valid after Archive Date)
| FSG Index | This Issue's Index | Today's FBO Daily Index Page |