Amendment 4 - PWS Attachment 03_PRS_2020_Amendment 04.pdf

Attachment 3 – ROSS Performance Requirement Summary (PRS) [Contract Number] Amendment 4 Changes in Red Font

ATTACHMENT 3

14.1 CONTRACTOR TASKS SUMMARY

Introduction

USCIS has specified performance standards in each task area related to processes that USCIS believes are critical to successful performance of the Records Operations Support. These requirements and their associated performance standards define the work to be performed, although these may change over time. USCIS established these performance requirements and associated standards after careful analysis of current operations based on historical performances against similar established standards. The USCIS will be using disincentives in certain cases when contractor performance does not meet the established minimum performance as established in the performance requirements.

USCIS requires the contractor to conduct ongoing quality and process control and to effectively monitor the performance continuously. USCIS will measure performance against the published requirements and standards on an ongoing basis and will report the summarized results monthly.

If the contractor fails to achieve the minimum quality standard in one or more of the performance requirements, USCIS may notify the contractor and require 100% re-inspection of any affected work in process and the correction of non-conforming products. As stated earlier, the contractor may then be assessed a deduction. The performance requirements are summarized below as well as in the Performance Work Statement.

The Government uses statistically proven sampling techniques based on ANSI Standard ANSI/ASQ Z1.4 in conducting quality assurance. Sample sizes will be determined utilizing ANSI Standard. The Lot Size will be the previous month’s production volume for each Task. ANSI is only used for determination of an appropriate sample size. However, the Government reserves the right to sample 100% at any time.

Meeting or Not Meeting an AQL is determined at the end of the month taking into account all samples/errors for the entire month.

An Error Transmittal Sheet will be issued for all inspections completed by the Government and delivered following completion. The contractor may submit a rebuttal within 3 business days of receipt if there is disagreement with the findings of the review. For errors or defects outside of a normal inspection a Customer Service Report will be completed and delivered to the contractor indicating the findings. This may also be rebutted within 3 business days of receipt. The following formula will be used to determine the percentage of performance:

Dividing the total number of passed samples by the total sampled. For example: if 40 errors were found out of 500 sampled the total sample passed is 460. The passed sample is then divided by the total sampled (460/500) for a percentage rate of 92%. No rounding will be used and percentages will go up to 2 decimal points for determining Met/Not Met of an AQL.

In the event of a “surge in workload,” timeliness requirements may be waived at the COR’s discretion. A surge is generally defined as being a minimum increase of monthly/daily workload of 20% or more above the average monthly/daily workload from the previous month.

Deduction Methodology for Not Meeting an Overall AQL for an entire CLIN

The Government may deduct from the Contractor’s invoice for failing to meet agreed upon acceptable quality levels IAW the Terms and Conditions in Sec. II.

The Government shall take the following steps if the Contractor fails to meet a Contract Line Item Number (CLIN’s) identified

AQL:

• The COR shall provide the Contractor a CDR by the 7th business day of each month, which shall only include all instances of a Performance Requirement Standard (PRS) AQL not being met by task within a not met CLIN.

• The Contractor shall subsequently submit their invoice and response to the CDR within the 10th business day of the month.

• The COR shall review the CDR and invoice and submit to contracting an attached recommended deduction in accordance with the deduction methodology detailed below. The contracting officer shall decide the amount of deduction, if any, to be taken from the invoice.

• Additional information regarding invoice deductions include:

o The Contractor shall invoice the Government in accordance with the pricing schedule by CLIN.

CLIN Description Requirement Monthly Overall

AQL

Measure Monetary Deduction Schedule for Observed Non-Conformance

001 NRC File Management

Receive, shelve, pull, audit and maintain files

95% Random Sampling, Periodic Observation, Validated

95% or higher….None <95%.................$ 2,000 <94%.................$ 4,500 <93%.................$ 7,000 Per Month

Customer Complaints

002 NRC

Retirements

NRC/DIG/Field Retirement Prep and Processing

95% Random Sampling, Periodic Observation, Validated Customer Complaints

95% or higher….None <95%.................$ 2,000 <94%.................$ 4,500 <93%.................$ 7,000 Per Month

005 NRC

Non-Index Scanning

Scanning of Request letters and files, both Regular and Priority into Government Provided System

97% Random Sampling, Periodic Observation, Validated Customer Complaints

97% or higher….None <97%.................$ 5,000 <96%.................$10,000 <95%.................$15,000

File Storage Facility (FSF) File Operations

Incoming files, Call center responses, AR11 processing

97% Random Sampling, Periodic Observation, Validated Customer Complaints

97% or higher…..None <97%...............$ 1,000 <96%...............$ 2,000 <95%...............$ 3,000

The USCIS National Records Center (NRC), National Records Center Extension Site 1 (NRCES1) & File Storage Facility (FSF) Quality Acceptance Surveillance Procedures

The Quality Acceptance Surveillance procedures involve all planned and systematic actions necessary to provide adequate confidence that the services and resulting product from the contractor will satisfy the requirements. This program involves making sure that quality is what it should be and includes a continuing evaluation of adequacy and effectiveness with a view toward the use of timely corrective and preventive measures where necessary.

Quality Acceptance Surveillance is the activity the government utilizes to monitor the in-process product quality, based upon the outcome of attribute inspection of product units. Quality Acceptance Surveillance is primarily conducted by the Immigration Records and Contract Management Section (IRCMS), a section staffed by functionally qualified and trained personnel who are involved in the ongoing monitoring of the Contractor’s product quality.

Performance Requirements Summary outlines the performance standards (i.e., selected service outputs of the contract) to be monitored and evaluated by USCIS to ensure that in-process product quality remains fully acceptable. The standard for each performance requirement is the minimum acceptable level of performance required. If the standard for any performance requirement is reached, the Contractor is considered to have passed that performance requirement.

Quality Acceptance Surveillance will be performed on all performance requirements to some extent since each is important in their own way. Documented results will be provided to the Contractor at least once per month. Surveillance Measurement methods may be one or more of the following:

• General Monitoring (GM)

• Periodic Observation (PO)

• Computer Generated Reports (CGR)

• Validated Customer Complaints (VCC)

• Random Sampling (RS)

a) Surveillance Methods may always include General Monitoring, Periodic Observation and Validated Customer Complaints and may not be listed in the PRS tables.

b) Where Computer Generated Reports are used, note, often times they are 100% sampling.

4.0 NRC/FRC General Operations:

Performance Requirements

Requirement

SOW

Section

Measurement

4.0.1 The contractor shall provide on-site key personnel management, covering all work shifts and implement appropriate management systems to assure the quality, reliability, accuracy, and timeliness of all services and products provided to USCIS. In addition, the contractor shall keep the Contracting Officers Representative (COR) updated on operational status and plans. Please reference PWS Section 10.0 for a listing of Key Personnel. The Program Manager and Operations/Site/Production Managers shall be available 24x7 via phone (email, text and call), in case of an emergency.

4.0 General Monitoring

4.0.2 The contractor shall comply with all DHS and USCIS policies, procedures, and regulations in effect or updated during the performance of the contract, to include NRC/NRC ES-1/HBG FSF local worksite policies and directives, and the USCIS Records Policy Manual (RPM). In the event of a conflict between the RPM and the Performance Work Statement, the Performance Work Statement will prevail unless otherwise directed by the COR or Contracting Officer.

4.0 General Monitoring

4.0.3 The contractor shall provide electronic reports or tracking logs/databases required within the list of deliverables or contained in USCIS policies and procedures or when requested by the COR or Contracting Officer.

4.0 General Monitoring

4.0.4 The contractor shall immediately report suspected fraud, waste, and abuse to the COR and Contracting Officer both internal and external to the contractor’s operation. Failure to report may result in the COR issuing a Contractor Deficiency Report (CDR).

4.0 General Monitoring

4.05 Upon Entering on Duty (EOD), the contractor shall require all contract personnel to sign nondisclosure statements, affirming that they will not disclose data they encounter in the performance of this contract to any unauthorized entity.

Signed Criminal History Record Information Statements of Understanding shall also be required of all contract personnel. Copies shall be provided to the COR at least once per month for those new employees who have EOD.

4.0 General Monitoring

4.0.6 The contractor shall not make any unauthorized disclosures of Personal Identifiable Information (PII).

Unauthorized disclosures must be reported immediately, by the contractor, to USCIS and the COR, in accordance with contract clauses.

4.0 General Monitoring

4.0.7 The contractor shall ensure that a 90-day supply of all consumables, examples of which are listed in PWS Section 8.4, that are required to meet the requirements of this contract is maintained. These consumables include United States Postal Service correspondence supplies, excluding actual postage, and other correspondence supplies from courier companies. The contractor shall provide at least 90 days’ advance notice to the COR so the Government can issue an order to replenish any Government provided consumables listed in PWS Section 8.4. The contractor shall electronically maintain an inventory log of on-hand consumable supplies, provided by the Government, and ensure such inventory log is updated and readily available for Government review.

4.0 General Monitoring

4.0.8 The contractor shall operate and perform basic user maintenance on Government provided equipment in accordance with Original Equipment Manufacturer (OEM) and NRC/NRC ES-1/HBG FSF instructions and as directed by the COR.

4.0 General Monitoring

This may include, but is not limited to, clearing paper jams and changing toner cartridges and cleaning scanners and mail processing equipment.

4.0.9 The contractor shall provide notification to the COR within one (1) hour (measured during normal hours of operation) of Government provided equipment malfunctions, failure, or damage through email communication. When requested by the COR, the contractor shall document the failure through completion and delivery of a Report of Survey (G-504).

4.0 General Monitoring

4.0.10 The contractor shall obtain the written approval of the COR for work schedules that are outside of the core hours of operation one (1) week prior to the commencement of the alternate schedule. (The NRC is a 24/7 operation and the contractor will establish a “Norm” - coordination with the COR must occur when it is adjusted or OT is authorized).

4.0 General Monitoring

4.0.11 The contractor shall track and secure blank pre-printed A-File jackets in the contractor’s possession in accordance with the RPM and USCIS policies and procedures.

4.0 General Monitoring

4.0.12 The contractor shall carry out document destruction, or coordination of, in accordance with USCIS policies and procedures, as directed by the COR.

• NRC/NRC ES-1 - there is placement of material into approved containers of excess documents, scrap, and waste in accordance with good office management procedures.

• HBG FSF the contractor is responsible for routine day-to-day shredding (with Government provided shredders) of excess documents, scrap, and waste in accordance with good office management procedures.

4.0 General Monitoring

4.0.13 The contractor shall utilize all resources, to include reports/dashboards/widgets, available to efficiently and effectively complete all PWS tasks. Periodically new reports or widgets may become available that could be utilized/worked to improve efficiencies and process improvements. The Government will provide direction as to the utilization/working of those reports as they become available. The contractor is also expected to notify the COR of data or report anomalies, as these conditions may indicate a larger system problem.

4.0 General Monitoring

4.0.14 The contractor shall actively manage its workforce to maintain operational flexibility to perform all the requirements of this contract, at all times, regardless of variation of the workload at any specific processing area, all within the contractor’s defined space. Physical adjustments to the facility or movement of fixed equipment must first be approved by the COR and must not affect production to other requirement tasks.

4.0 General Monitoring

4.0.15 The contractor shall be familiar with the Continuity of Operations Plans (COOP) and security plans applicable to the NRC/NRC ES-1/HBG FSF and shall adhere to the requirements to perform contained within these plans during mock testing or in the event of an emergency.

4.0 General Monitoring

4.0.16 The contractor shall report, and after Government release, process all suspicious packages. 4.0 General Monitoring

4.0.17 The contractor shall process all outgoing third party courier correspondence in accordance with the courier’s delivery system. Couriers and systems may change as determined by USCIS Headquarters Mail Management Division.

4.0 General Monitoring

4.0.18 The contractor shall return “returned or un-deliverable mail” to the assigned COR at USCIS for guidance or disposition within the same business day it is received.

4.0.19 The contractor may be required to expedite special file requests by accurately identifying, locating, retrieving, and delivering the requested files to the requestor within one hour of an emergency request, during business and non-business hours.

4.0 General Monitoring

4.0.20 The contractor shall have at least one person with a secret clearance on each shift. All personnel who process mail within the NRC and NRC ES-1 Mailroom shall have a secret clearance. HBG FSF requires only one cleared person to process mail. The total number of secret clearance holders will be limited to 35 unless otherwise approved by the COR.

4.0 General Monitoring

4.0.21 The contractor shall band, in both directions every outgoing box containing files. Palletized non-record shipments from HBG FSF do not need to be double-banded.

4.0 General Monitoring

4.0.22 Contract personnel are required to complete all USCIS Mandatory Training using PALMS. Initial Secuity, Education, Training & Awareness (SETA) / Security Awareness Training (SAT) and Privacy Awareness Training will be completed within 30 days of in-processing. All refresher/annual training is to be completed online. Training requirements are, including but not limited to, SAT refresher, Privacy Awareness, Records Management (Basic & Electronic), Anthrax, etc. Employee time for training will be at the contractor’s expense.

Any training specified by the contractor for contract employees will be funded by the contractor.

4.0 General Monitoring

4.0.23 For Government system outages and system updates (planned or unplanned), which often last a day or less, the contractor is required to make up the quantity of the work that would have been performed during the outage by the end of the current performance period. Production quantity make up for system outages greater than a day will be coordinated through the COR.

4.0 General Monitoring

4.0.24 Any major realignment of staff in excess of 10% of the total contractor personnel, to areas where contractor personnel are not trained, must be approved by the COR in advance of the realignment. There shall be notifications and a plan in place if and when the contractor moves an entire work group from one task area to another and no trained staff remains. Failure to report realignment of staff greater than 10% may result in the COR issuing a Contractor Deficiency Report (CDR).

4.0 General Monitoring

4.0.25 The contractor shall comply with all applicable OSHA and State requirements concerning training, certification, wearing personal protective equipment (PPE), and operation of motorized and non-motorized equipment and vehicles.

Adherance to these requirements shall be at the expense of the contractor.

4.0 General Monitoring

4.0.26 At all times when work is being performed by contractor personnel at the NRC, NRC ES-1 or the HBG FSF, the contractor shall directly supervise the work and have on the worksite a competent manager who is satisfactory to the contracting officer and has authority to act for the contractor. The contractor shall provide COR notice to the government of the identity of the manager(s) and provide updates as necessary. Managers shall also be identified as such in the contractor roster.

4.1 NRC File Management

4.1.1 Incoming Files

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

Label all incoming packages (not from the FRC) containing files and/or interfile material with appropriate File Control Office (FCO) and the date of the next business day following receipt of the package. There are on average, 13-18 A-Files per box.

• Oversized or multiple part folders are banded together as one. Un-band to confirm they are multi-part files and re-band files according to RPM or COR guidance.

• Each part of a multiple part file will have a unique barcode identifying the part.

• Inspect files for file maintenance issues (listed under 4.1.7) and route to the

File Maintenance unit for resolution under Task 4.1.7.

• The use of specific RAILS transactions to group files received at the NRC enable the collection of accurate statistical data.

o Within RAILS, files are received to an RPC location. Select the

“Receive” transaction in RAILS to receive all incoming files within ten business days for the following shipments/file types:

For large file shipments and/or incoming files when the forwarding FCO can be identified (often times this is freight shipments).

For shipments of files identified for “Field Retirement” used in Task

4.2.3 (use the “ZZR code”).

For shipments where the forwarding FCO is unknown (often times for mixed pallets from express carrier or USPS) (use the “ZZA” code).

o Within RAILS, files are received to an RPC location. Select the “Receive” transaction in RAILS to receive all incoming files the same business day as received for the following shipments/file types:

For FRC files previously retired by the NRC (Files for Task 4.3.1 FRC Compaction Preparation process are not included/counted here).

For FRC files retired by other FCOs (Files for Task 4.3.1 FRC Compaction Preparation process are not included/counted here).

Files are updated in RAILS utilizing the correct RAILS transaction and RPC.

Files are received into RAILS within ten business days of the “date received” (annotated on the pallet/package); on the same business day file is received from the FRC; or same business day for files addressed to FOIA.

97.5%

CGR

VCC

RS

PO

5,000,000 – 5,737,500

(See

Attachment 10)

4.1 NRC File Management

4.1.2 Shelving Files

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Place files on shelving with tabs facing same direction.

(Right tabs go on one side of the shelves and left tabs go on the other side of the shelves.)

• Place files onto open areas of shelving or as directed by the COR. Inventory shelf location using a Portable Bar Code Scanner (PBCS) within 120 hours from electronically receiving the file into the NRC via RAILS (excluding holiday and weekend hours) in Task 4.1.1 or picking files up from internal USCIS units in Task 4.1.3

• Shifting of files may be necessary to accommodate special staging in a particular area. Any shifting of files or populations of files will be coordinated with COR to potentially take count credits.

• Download PBCS into RAILS and accurately reconcile Receive Verification Report generated from RAILS reports within one business day of PBCS download.

• Validate all incoming RPCs are empty and clear of any files or lose materials prior to reusing or recycling the box.

• Band individual files over 2 inches thick.

Physical location and electronic location match.

Accurately reconcile download reports with manual reports.

Files are shelved within 120 hours of being received in or being picked up from internal USCIS units.

Reconcile download reports with manual reports within one business day of download from the PBCS.

PO

VCC

PO

4,000,000 – 4,590,200

4.1 NRC File Management

4.1.3 Internal File Request

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Request files via appropriate system (RAILS/ARCIS/eWRTS) when received through spreadsheet, eWRTS tickets, pull tickets, phone, email or other methods as directed by the COR and outlined in the table below.

• Pull tickets are printed from RAILS – priority (twice per day AM & PM); regular (once per day in AM); or as otherwise directed by the COR.

• Upon receiving file from FRC, secure any loose interfiling in the file and deliver to designated location.

• Match and route all requested files with multiple related files (A- Files, W-Files, T-Files or S-Files) to the designated unit for merge under Task 4.1.5 prior to delivery. (Approximately 10% of total internal file pulls have multiple files)

• Files requiring merge are still under the timeliness requirement of the internal request.

• Retrieve files from internal USCIS/contractor units once in the AM and once in the PM or as directed by the COR.

• Pick lists may be used to locate, retrieve, stage, and prepare for internal units.

• Review Daily Request Widget in RAILS for outstanding requests

• Review Daily Pull Ticket Report for outstanding requests for:

o Regular Requests o Priority Requests

• Locate outstanding requests identified from the Widget/Report and send out same business day as identified.

o National Security Event:

o File requests located at NRC, NRCES1, FRC or other Metro location

The correct file is pulled & delivered to the correct location.

Locate outstanding requests identified from the Widget/Report and send out the same business day as identified.

National Security Event and Urgent Requests are delivered to the designated location within the required timeframes.

95%

395,000 – 438,700

Additional estimation factors:

- 5% are National Security Event File Requests.

- 20% are Urgent File Requests.

- 25% are Priority File Requests.

- 50% are Regular File Requests.

- Approximately 10% of all requests have multiple files.

o Receive emergent requests for files from designated printer or by phone.

o Request the file via applicable system.

o Locate, retrieve, update the file in RAILS deliver it to a designated area within one hour of receipt of request.

For Files located at the FRC, once notified the file is available, travel to the FRC to retrieve the file. Deliver the file immediately upon return to the facility.

(If designated area is at NRCES1 the one hour timeliness requirement will apply) o National Security Event internal file requests located at NRCES1 (outside of normal NRCES1 operating hours) o Follow the same guidelines as for requests located at the

FRC

o Urgent IMLS request:

o Files located at NRC or NRC ES1 – Receive requests by designated printer or phone; Request, retrieve, update and deliver file within one hour of receipt of request o Files located at FRC or other metro are location – Receive requests via printer or phone, Request file via applicable system, pick up on next scheduled run, update and deliver within one hour of receipt of file.

o Priority IMLS:

o Files located at NRC or NRC ES-1 – Receive requests via spreadsheet. Request files via applicable system as necessary. Retrieve files, update and deliver files within 6 hours of receipt of request if spreadsheet received between 6AM and 2PM on a business day. When requests are received after 2PM, deliver files within 6 hours of the start of the next business day. When requests are received on a non-business day, deliver files within 6 hours of the start of the next business day.

o Files located at FRC or other Metro Area Location – Receive requests via spreadsheet. Request files via applicable system as necessary. Retrieve files, update

Priority File Requests are delivered to designated location within the required timeframes.

and deliver files within 6 hours of receiving the file into the facility.

o Priority FOIA:

o Files located at NRC or NRC ES-1 – Receive requests via spreadsheet. Request files via applicable system as necessary. Retrieve files, update and deliver files on same business day as receipt of request if spreadsheet is received before 3:00 PM. Retrieve files, update and deliver files on next business day of receipt of request if spreadsheet received after 3:00 PM.

o Files located at FRC or Other Metro Area Location or FCO – Receive requests via spreadsheet. Request files via applicable system as necessary on same business day as receipt of request if received before 3:00 PM.

Receive, update and deliver file same business day as received into the facility. Request files via applicable system as necessary next business day from receipt of request if request received after 3:00 PM. Receive, update and deliver files same business day as received into the facility.

o Priority – Other:

o Files located at NRC or NRC ES-1 – Print requests from applicable system in the morning. Retrieve, update and deliver files on same business day as AM Print. Print requests from applicable system in the afternoon.

Retrieve, update and deliver files on the next business day from PM Print.

o Files located at FRC or other Metro Area Location – Receive requests via email, spreadsheet or phone.

Request files via applicable system as necessary on same business day of receipt of request if request received before 3:00 PM. Receive, update and deliver files same business day as received into the facility. Request files via applicable system as necessary on next business day from receipt of request when request is received after

3:00 PM. Receive, update and deliver files same business day as received into the facility.

o Regular Requests:

o Files located at NRC or NRC ES-1 – Print requests from applicable system in the morning. Retrieve, update and deliver files within 3 business days from date of print.

o Files located at FRC or Other Metro Area Locations – Receive requests via email, spreadsheet/phone. Request files via applicable system as necessary same business day of receipt of request if request is received before 3:00 PM. Request files via applicable system as necessary on next business day of receipt if request received after 3:00 PM. Complete daily runs to retrieve available files twice/day for FRC co-located with NRC.

Complete runs to retrieve available files from other Metro Area locations between 1 to 2 times/day.

Receive, update and deliver files same business day as received into facility.

o Files located at other field offices – Receive requests via email/spreadsheet/phone. Request via applicable system as necessary same business day of receipt of request if request received before 3:00PM. Request via applicable system as necessary next business day of receipt of request if received after 3:00 PM. Receive, update and deliver files same business day as received into the facility.

Regular File Requests are delivered to the designated location within the required timeframes.

4.1 NRC File Management

4.1.4 External File Request

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Locate, retrieve, and deliver all requested files to a designated area for processing.

• Pull, match and route all requested files with multiple related files (A-Files, Placeholder files (W-Files), T-Files or Substitute Files (S-Files)) to the designated unit for merge under Task 4.1.5 prior to shipment (Approximately 11% of total file pulls have multiple files).

• Sort all files by FCO, update the files in RAILS using the appropriate transaction (Send), and package the files in appropriate containers using the appropriate shipping system and correct account numbers. Follow special shipping instructions, i.e. special handling, receiving name, priority account, etc. as required.

• Routine requests for an FRC file or other metro location file, receive the file into RAILS and package and send out to the designated FCO who requested the file.

• Record all outgoing files in the Government-provided Mail Room File Tracking Database with the file number and the shipping company’s tracking number. Record the tracking number in RAILS. The Mail Room File Tracking Database is used to track the file with the UPS/FedEx or other carrier shipment in case of a lost or destroyed shipment. This also serves as the NRC’s Manifest. Due to the volume of files being mailed, the NRC does not put a manifest into each package leaving the facility. This electronic manifest can be retrieved when needed.

• As address and account number updates are received for Field Offices, update both Ground and Express Carrier machines and spreadsheets with correct Express account information, as well as updating Ground account information provided by COR or other designated person.

• Bulk Pull Lists are sometimes received from external offices, a worksheet will be completed by the COR or designee with the staging, shipping, and timeliness requirements. The Immigration Records Contract Management Section (IRCMS) will load the requests into RAILS and notify contractor when they are ready to print.

The correct file is retrieved and shipped to the correct FCO using the correct

RAILS

transaction.

All boxes and packages are packaged in appropriate containers using the appropriate shipping system and correct account numbers

98%

2,150,000 – 2,593,700

(See Attachment

10)

Additional estimation factors:

- 7% are Priority File Requests.

- 93% are Regular File Requests.

- Approximately 9% of all requests have multiple files.

• For Files in Government controlled RPCs, send an email to NRC Government staff member identified in RAILS as having the file the same day request is received. Send daily follow-up emails until file is released or as directed by COR. Once released the previously stated timeliness requirements will be followed based on the type of request.

• Maintain an electronic log of priority request downgrades that is readily available for Government review.

• Review Daily Request Widget for outstanding requests.

• Review Daily Pull Ticket Report for Outstanding requests for:

o Regular Requests o Priority Requests

• Locate outstanding requests identified from the Widget/Report and send out same business day as identified.

o Priority Requests:

o Files located at NRC or NRC ES-1 or other metro area location (non- FRC). Print pull tickets from RAILS in morning (AM). Send files out of facility same business day as AM print. Send files out of facility within one business day upon receipt from other metro area locations.

o Files located at NRC or NRC ES-1 or other metro area location (non- FRC). Print pull tickets from RAILS in the afternoon (PM). Send files out of facility on the next business day after pull ticket printed. Send files out of facility within one business day upon receipt in the facility from other metro area locations.

o Files located at the FRCs. Receive request via email, spreadsheet, phone, pull ticket etc. Request the files via applicable system the same business day of receipt of the request if the receipt of request is before 3:00 PM.

Send the files out of the facility the same business day as received into the facility. Request the files via applicable system the next business day of receipt of the request if receipt of the request is received after 3:00 PM.

Send the files out of the facility the same business day as received into the facility.

o Regular Requests:

o Files located at NRC or NRC ES-1 or other metro area location (non- FRC). Print pull tickets from RAILS in the morning (AM). Send the files out of the facility within 3 business days of print. For files from

Locate outstanding requests identified from the Widget/Report and send out of the facility the same business day as identified.

Priority files are sent out of the facility within same business day or one business day depending on print time.

Regular files are sent out of the facility within three business days from pull ticket or pick list print date/time.

other metro area locations, send the files out of the facility within one business day of receipt into the facility.

o Files located at the FRC. Request via email, spreadsheet, phone, pull ticket etc. Request the files via applicable system. Daily runs to retrieve available files- twice per day for FRC co-located with NRC, between 1- 2 per day for all other locations in the Kansas City Metro area. Send file out of facility within one business day of receipt of file into the facility.

Files received from the FRC are sent out of facility within one business day of receipt.

4.1 NRC File Management

4.1.5 File Merge

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Combine (physically and/or electronically) all multiple files retrieved in Task 4.1.3 and 4.1.4 using RAILS in accordance with the USCIS RPM and USCIS/NRC guidelines and policies prior to shipment or delivery, or as otherwise directed by the COR.

• This task is considered a “step” of Tasks 4.1.3 and 4.1.4 and must be completed as part of the timelines under Tasks 4.1.3 and 4.1.4 or as directed by the COR

• If requested merges workload volumes are less than monthly estimates, use the Duplicate report available in RAILS to identify available merges at the NRC for completing this task.

• The contractor shall sort, by color, recyclable folders, for eventual reuse following the merge.

All related files are accurately merged and electronically updated.

225,300 – 239,500

4.1 NRC File Management

4.1.6 Interfiling

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Date stamp all incoming interfiling the same day as received with date received at the NRC.

• Annotate each interfile document(s) with the sending three-digit FCO code or sender return address information. This notation shall remain with the contents throughout processing (from receipt to completion of disposition).

• Triage all incoming documents to determine proper disposition as provided by USCIS guidance and policies in the RPM.

• Package and return documents, to appropriate offices, that are non-record material or pending further action. Send any documents that are Return for Action (RFA) to IRCMS prior to sending to the appropriate offices.

• If unable to determine disposition, route for further review to the IRCMS unit or as designated by COR

• Locate files at NRC and secure material in file according to proper disposition per RPM guidance within 15 days of receipt (to include any re-work activity). Interfiling returns, forwarding to FRC, and T-file creates must also be performed within 15 days of receipt into the NRC.

• When interfiling packets are 1/2 inch or larger and the file is located at the FRC or other off-site storage facility, order file and secure material upon receipt. Re-retire/re-file as applicable or as directed by COR.

• Follow the RPM guidelines regarding when to create additional parts for files.

• If the NRC does not possess a related file, create a T-File (physically and electronically). RFA or chase file as directed by COR guidance.

• Track each piece of interfiling by A number and disposition in a contractor-maintained electronic log readily available for Government review.

• Update Government-provided database/systems with information on work counts and disposition.

Interfiling is correctly triaged to determine proper disposition and action.

Interfiling material is placed in the correct file.

Interfile material is secured in the correct file, returned, forwarded or T file created within 15 business days of receipt.

550,000 – 631,400 factors:

Approximately 2% need a T-file created

4.1 NRC File Management

4.1.7 File Maintenance

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Create and replace A-number labels or barcodes that are missing, erroneous, or damaged.

• Replace torn or worn file jackets and return documents to file on the correct side of the file and in the same order as the original file.

• For files exceeding 3” per side, create multiple part files in accordance with RPM guidelines. Band the multiple parts with a banding machine. Each part must be barcoded and labeled by parts; i.e. A######### Part 1…999.

• On rare occasions, the NRC receives or identifies files that may be “contaminated” with water, chemicals, oils, blood or other known or unknown substances. In these cases the files must be handled with special care as described in the RPM, the NRC’s Contaminated Standard Operating Procedures or as designated by the COR or designee. In some instances, file pages may need to be placed into document protectors to protect the file and individuals handling the files.

• Complete file maintenance actions within ten business days of identification of the required action unless there is a pending request. For files with pending requests, file maintenance must be done within the timeliness requirement of the file pull for Task 4.1.3 or 4.1.4.

• Update File Maintenance tracking database with A-file number, information on work counts and actions.

Correct file number and barcode labels are attached to the file jacket, multiple parts are properly created, and jackets are replaced when needed.

Maintenance actions are completed within ten business days of identification of the required action or within the timeliness requirement of the file pull for Task

4.1.3 or 4.1.4.

93.5%

50,000

4.1 NRC File Management

4.1.8 Problem Files

Task Requirement Standards PRS

Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Conduct searches and compare file and electronic information to determine corrective action needed. As stated above, these files are identified through conduct of other processes and once they are identified, the following tasks or steps will be followed.

• Remove incorrect documents (i.e. other A-number), validate accuracy of the other A-number and interfile into the correct file.

• Update inaccurate or erroneous information contained in CIS2 or RAILS based upon file’s physical location or documentation within the file.

• The contractor shall deliver problem files to a COR-directed USCIS representative only after exhausting all search tools available for contractor resolution of problem files.

• Consolidate/un-consolidate files requested by the COR.

• Use RAILS/CIS2 to search for lost files. Physical searches may require searching all files in multiple responsible party codes.

Search files in 21 RPCs around the last known RPC Location per RPM guidelines.

• When necessary, use RPM guidelines to request “Manual Searches” for historical records (pre-dating A-Files).

• Correct problem files within 15 business days of identification or 15 business days from receiving instructions from the COR.

• Maintain an electronic log of all files identified as problem files.

Update the log with the completed corrective action taken. Update database/systems with actual work counts daily. Electronic log must be readily available for Government review.

CIS/RAILS is correctly updated.

Problems are corrected or forwarded to USCIS contact within 15 business days of receiving the file or receiving guidance from COR to correct a file.

10,000 – 11,600

4.1 NRC File Management

4.1.9 A-file Creates

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Perform all related research, including a systems search, as defined in the RPM prior to creating A-files that are not in CIS2.

Assign new A-numbers as needed.

• Create and validate A-Files within ten business days of identification as A-file creates by internal NRC units or interfiling or ten business days from date processed on incoming dock.

• Create (data enter) electronic record in CIS2 using the data from the accompanying coversheet, G-361, or data from the A-File.

This includes, but is not limited to: A-File number, first, middle, and last names, date of birth, country of birth, and class of admission. If the coversheet does not contain all the key information, the contractor shall search the existing file/documents.

• Maintain an electronic log, readily available for Government review, of all files created which includes, at a minimum, the following data: A-number, date created and where the file originated.

• Enter into CIS2 Naturalization Certificates for US Citizens.

• Maintain all empty A-File jackets at an approved location and in a

Government provided locked container.

• Maintain a log of all empty A-file jacket movement and disposition.

• Provide COR with daily work counts.

Accurate and complete information is entered into CIS2 and electronic logs or logbooks.

A-files are created within ten business days of being identified as A-file creates.

20,000 factors:

Approximately 95% have key data elements defined and an accompanying A-Create data sheet.

4.1 NRC File Management

4.1.10 File Audits

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• The COR will provide monthly RPC audit schedules for the continuous audit within the stack rooms.

• Submit requests to create and delete RPCs in RAILS, as needed, to IRCMS.

• Create RPC placards for contractor and NRC/NRC ES-1 internal units.

• Use PBCS to conduct monthly audit of files in NRC/NRC ES-1 and contractor work units to ensure the correct assignment of files to RPC`s.

• Download PBCS into RAILS and print RAILS Audit Reports (Audited and Unaudited) immediately following an audit.

• Reconcile all RAILS Audit Reports within twenty-four hours of the audit; search for, locate, and update all unaudited files.

• Perform a re-audit for any “missed” files, groups of files or RPCs shown on the RAILS Unaudited Reports immediately following printing of reports.

• Conduct special audits as needed at the direction of the COR.

• Update RAILS system accordingly.

• Maintain a results log of completed audits.

All internal and stack room audit reports are resolved accurately.

All PBCS are downloaded immediately after audit and all RAILS audit reports are reconciled and RAILS/CIS2 is updated within 24 hours of the audit.

Re-audits of “missed” files, or groups of file or RPC’s on the RAILS Unaudited Reports are completed immediately following printing of reports.

CGR

VCC

RS

4,690,000 factors:

Approximately 98% are continuous audits of stack rooms; 2% are monthly internal unit audits.

4.1 NRC File Management

4.1.11 IL Phone Intake

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Remain available in the phone queue and answer incoming phone calls requesting information promptly with no more than one-minute call wait time utilizing Government provided call center software.

• Request and input specific information into a Government furnished database. (i.e. file number, updates to caller info and requested documents/information.) Verify all caller information (caller’s name, number, and agency) is already input into the database or the refer the call to the Government.

• Print database record of call and forward to designated area for action.

Accurately records information into database.

Promptly answers incoming calls with no wait times over 1 minute.

15,000

4.2 NRC Retirements

4.2.1 NRC Retirement Preparation

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Use file pick lists or instructions by the COR to identify file populations for retirement. The Government requires the contractor to perform a cursory review of the top documents in the file to determine retirement eligibility. The contractor shall remove files meeting RPM, USCIS, or COR-provided criteria from the shelf for retirement processing.

• Verify key data elements (KDEs) in CIS2 match the file documents and update accordingly, to include Naturalization certificate data.

(Approximately 10% of the files require at least one update action).

• KDEs include, but are not limited to: A-File number, first, middle, and last names, date of birth, country of birth, class of admission, and date of entry. KDEs can be found in a Naturalization Certificate or any other Official Government Document such as, but not limited to: Visa, Immigrant Data Summary Sheet, AR2, AR3, I-181, I-485, I-130, I- 140, I-129F, I-213, G-166, I-275, I-590, Interfiling I-90 coversheet (usually has a marriage certificate with a name change, birth certificate, divorce certificate etc.) and certified copy of a State /Court Adoption Record. Additional guidance may be provided by the COR.

• Annotate year of birth (YOB) on the file jacket as per RPM standards when not present.

• Perform file maintenance activities, to include number verification barcode labels, repair/replace torn file jackets, process oversized files, and create files electronically in CIS2 if needed.

• Sort files by year of birth (YOB) and place in retirement staging area by YOB.

• Ensure file locations are updated in RAILS at every process to easily identify the file location in the event of a file request.

• Review daily files not created in CIS – SMART Report. Within one business day – pull, deliver to designated area to create A-files in CIS.

• Review daily Retirements SMART Reports – pull files and correct errors within one business day of identification.

Only retirement eligible A-files are prepared for retirement, files are accurately sorted and staged by year of birth.

CIS/RAILS are accurately updated.

File maintenance, YOB on jacket front and file creates are accurately completed and YOB is on the front of file jacket.

RAILS location annotations are complete.

Daily, files not created in CIS are reviewed. Files not created in CIS are pulled delivered to designated location within one business day of identification.

Daily, Retirements reports are reviewed.

Files with errors are pulled and corrected within one business day of identification.

VCC

RS

1,750,000

4.2 NRC Retirements

4.2.2 DIG Retirement Preparation

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

Following the digitization of a file into the Enterprise Document Management System (EDMS), the physical file becomes eligible for retirement. Digitized (DIG) files will be boxed, stored and tracked in RAILS at NRC or NRC ES-1 until designated for retirement or offsite storage. Files are staged in a separate retirement staging area designated to distinguish digitized files from other files. Mark boxes as digitized to distinguish digitized files from other files. Sort digitized files by YOB and place in boxes within YOB groupings.

Stage boxes in a separate retirement designated for digitizes files. T-files digitized after the A-file was digitized are retired in their own accessions.

• Separate files by A and T (two different accessions)

• Sort files according to YOB

• Place files in terminal digit order (TDO)

• Place files in boxes by YOB

• Write YOB on boxes o 1st set boxes are “1921 to 1925”, 2nd set of boxes are “1926 to 1930”, etc.

• Mark box “Digitized NRC Files”

• Stage files in a separate retirement staging area designated to distinguish digitized files from other files.

A&T’s are in different accessions, YOB on file jacket, files are in TDO order, and YOB range is written on the box.

Digitized files are accurately separated and staged in the appropriate area.

25,200

4.2 NRC Retirements

4.2.3 Field Retirement Preparation

Task Requirement Standards PRS Accuracy

PRS

Time

Surveillance Method

Estimated 12-month Workload

• Conduct a cursory review of 15% of files per box to ensure the files are retirement eligible. Verify that CIS2 electronic data matches file data for eight KDEs (using the data from the A-File. This includes, but is not limited to, the following eight KDEs: A-File number, first, middle, and last names, date of birth, country of birth, class of admission, and date of entry). Segregate reviewed files in a unique RPC for USCIS review. Notify COR when errors are discovered during sampling.

• If more the 15% cursory review reveals greater than 50% error rate, notify the COR for proper disposition.

• Ensure file locations are updated in RAILS at every process to easily identify the file location in the event of a file request.

• Sort field retirement files by YOB and place in boxes within YOB groupings. Stage boxes in a separate retirement staging area designated for Field/NRC files.

• Field Retirement files must be through Preparation within 21 business days of receipt into the facility.

• Prepare files for retirement In Accordance With (IAW) special USCIS guidance and IAW RPM.

• Update Government-provided database/systems with work counts…