Amendment 4 - RFP Attachment 1 - ROSS PWS_Amendment 04.pdf

SOLICITATION – ATTACHMENT 1

U.S. Citizenship and Immigration Services (USCIS)

Records Operations Support Services (ROSS)

70SBUR20R00000005

Amendment 4 Changes in Red Font

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U.S. Citizenship and Immigration Services National Records Center (NRC) and Harrisonburg File

Storage Facility (HBG FSF)

Records Operations Support Services

(ROSS)

Performance Work Statement (PWS)

Records Operations Support Services (ROSS)

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1. INTRODUCTION:

The mission of the Department of Homeland Security (DHS), United States Citizenship and Immigration Services (USCIS) is to secure America's promise as a nation of immigrants by providing accurate and useful information to our customers, granting immigration and citizenship benefits, promoting an awareness and understanding of citizenship, and ensuring the integrity of our immigration system.

USCIS requires a contractor to provide records operations, records maintenance and records transportation services for the National Records Center (NRC), NRC Extension Site-1 (NRC ES-1), Harrisonburg File Storage Facility (HBG FSF) and other current or future storage facilities, either contracted with other Government Agencies or with other vendors, located within 30 miles radius of the

NRC.

The mission of the NRC, NRC ES-1, and HBG FSF is to provide customers with timely access to complete and accurate information from the agency’s immigration records and or subsidiary data systems.

The objective of the contract is to provide comprehensive records operations services in a manner that ensures efficient, effective, and accountable records responsibility and excellent customer service.

2. BACKGROUND:

As part of the USCIS mission, USCIS is responsible for administering the Immigration and Naturalization Act. In support of this mission, the USCIS, Immigration Records and Identity Services (IRIS) Directorate was established to provide trusted and timely immigration, employment, and identity information through a culture of efficiency and creativity. The following operations have been established to facilitate this need:

• National Records Center (NRC), Lee’s Summit, MO

• NRC Extension Site – 1 (ES-1), Kansas City, MO (located less than 1 mile from the NRC within the same underground complex)

• Harrisonburg File Storage Facility (HBG FSF), Harrisonburg, VA (sub-office of the NRC)

Enforcement and eligibility decisions rely upon the accuracy and integrity of the information contained within the immigration records, which include, but is not limited to electronic records, Alien-Files (A- Files), Temporary-Files (T-Files), Work-Files (W-Files), Substitute-Files (S-Files) and Receipt Files.

The RAILS system is used to track all file movement and file location data. This system is used throughout the DHS and interfaces select file location data into the Central Index System 2 (CIS2).

The NRC is an underground storage facility that was opened in 1999 to serve as the central repository of all inactive Alien-Files (A-Files) and related files. USCIS has been designated as the custodian of these records. The NRC currently houses approximately 13.3 million files located in 4 large file rooms known as stack rooms, with a capacity to store 16.5 million files.

The NRC ES-1 is also an underground storage facility that opened in 2018 to serve as an extension of the NRC. NRC ES-1 includes a processing area and a 5th stack room, currently housing 2.4 million files with a capacity to store approximately 4.4 million files.

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The HBG FSF reports to the Director of the NRC. It is an above ground warehouse facility in Harrisonburg, VA, that serves as the central repository for Receipt Files, which are stored until scheduled for destruction. The HBG FSF currently stores in excess of 22 million receipt files. Records stored at HBG FSF are currently exceeding its shelving capacity of 336,000 boxes.

3. SCOPE:

The services under this requirement include administrative and technical functions in support of records management for the USCIS Records Operations Support Services (ROSS) vehicle. The primary functions of this requirement include but are not limited to, correspondence operations, file operations, scanning and digitization of files/documents, and transportation of files/documents. The term correspondence includes all mail, documents, files and parcels, whether transported by U.S. Mail, commercial carriers, or courier. These functions will require select contractor employees (with secret clearances) to have access to A-Files and Receipt files classified at the SECRET level.

In the performance of these services, the contractor shall gather information, exercise judgment and present facts to USCIS for review and decision or resolution. However, the contractor shall not make official policy or decisions on behalf of USCIS. While the contractor employees may handle files and records, they may not make decisions that are inherently Governmental in nature, nor have USCIS signature authority.

The contractor shall provide all personnel and supervision onsite necessary to perform the entirety of the requirement. In addition, the contractor shall provide all file warehousing equipment that the contractor deems necessary in performance of the requirement, such as forklifts, pallet jacks, scissors lifts, pallet lifts, stretch wrap machines, etc. at all three locations. The contractor shall provide appropriate vehicle(s) to transport files securely between the NRC, ES-1, Federal Records Center’s (FRC) (co-located with the NRC), and any other storage facility within a 30 mile radius of the NRC, and provide all consumable, office type supplies. USCIS will provide limited property and equipment as listed in PWS Section 8, Government-Furnished Equipment and Information. In addition, USCIS will provide select supplies that require special specification and are not readily available on the open market to commercial entities.

It is anticipated that the services and products required under this contract shall be provided primarily at the NRC and the NRC ES-1 in Lee’s Summit, MO, and the File Storage Facility in Harrisonburg, VA.

NRC and NRC ES-1 are considered one location for the purpose of deliverables.

Workload or volume numbers provided by the Government are estimates based on history. Workload for this requirement may increase or decrease during the life of the contract based on a number of factors, including flow of incoming files, volume of requests for physical files, Freedom of Information Act (FOIA) request fluctuation, change in DHS policy, implementation of new laws and policies, changes in United States Government administration, and/or changing global events.

The contractor will invoice based on the monthly firm fixed price in the SF1449 regardless of production quantities. The COR will manage, with the assistance of the contractor, the actual production amounts to ensure the workforce is flexed in order to more closely align actual work to the volumes identified in the schedule. The tasks identified relate directly to a contract line item and are an integral part of it (e.g., tasks under NRC File Management Contract Line Item Number (CLIN)).

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The scope of this contract includes all support actions necessary to satisfy the following objectives established by IRIS to achieve the organizations’ mission and goals and ensure continuous and efficient operations:

• Pursue continuous improvement in all operations.

• Provide continuous improvement to overall quality.

• Provide efficient and effective records operations and records maintenance functions in support of the USCIS Records Program and in accordance with the USCIS Records Policy Manual.

• Provide outstanding customer service with high customer satisfaction.

• Implement mandatory policy changes seamlessly.

• Adjust to and embrace technological changes of any immigration system or policy.

• Ensure compliance with all federal mandated directives.

• Maintain proper personnel security clearance levels.

• Report all personnel actions timely.

• Ensure proper security of all files, to include empty A-File jackets.

• Ensure proper handling of security-sensitive materials, including PII, SPII and chain-of-custody requirements.

Future changes/modifications due to a significant increase in the estimated yearly volumes as a result of new immigration legislation, a change in immigration policy or new executive orders are considered within scope of this contract.

Any travel associated with this contract will not be paid for by USCIS; it will be the responsibility of the contractor to pay for travel.

USCIS has noted that a couple tasks are optional. These tasks will be exercised by the government when needed. If the contractor needs to onboard additional staff in order to execute optional tasks, the contractor shall submit complete security packages for employees supporting those tasks no later than 30 days after a fully executed modification, exercising the optional task, is complete. The contractor and government will mutually agree on a start date for those tasks once a sufficient number of personnel have received favorable EODs from USCIS OSI.

4. CONTRACTOR TASKS

4.0 NRC / NRC ES-1 / HBG FSF General Operations:

The day-to-day supervision and direct control over the work performed by contractor personnel is the sole responsibility of the contractor. The contractor shall furnish the required staffing resources to satisfy all contract requirements. Unless specifically noted, the items below are required at all three locations.

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.

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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.

4.0.3 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.

4.0.4 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).

4.0.5 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.

4.0.6 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.

4.0.7 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.

4.0.8 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. 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).

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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” in order to ensure adequate guard coverage - coordination with the COR must occur when it is adjusted or OT is authorized).

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.

4.0.12 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.

4.0.13 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.

4.0.14 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.

4.0.15 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.

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

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.

4.0.18 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.

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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.

4.0.20 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.

4.0.21 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.

4.0.22 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.

4.0.23 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.

4.0.24 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).

4.0.25 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.

4.0.26 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 security roster.

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4.1 - NRC File Management

The contractor shall use RAILS to track all movement and locations of all files. RAILS provides a record of transactions and identifies the Responsible Party Codes (RPCs) for files. The COR or designee will direct the utilization of shelf space within the stack rooms and between the NRC/NRC

ES-1.

The contractor shall keep assigned work area shelving, floors and file room floors clear of debris such as paper clips, binder clips, acco-fasteners, rubber bands, routing slips, buck slips, paper, etc. The contractor shall also be responsible for maintaining clean desktop surfaces and/or other work surfaces.

All file management is conducted within the Government leased space within the contractor’s defined processing areas. All incoming work is managed by the contractor in this same defined processing area.

NOTE: Files received at the NRC under Task 4.3.1, FRC Compaction, are not included within this task.

4.1.1 - Incoming Files.

In order to ensure file accountability and for statistical record keeping, RAILS is used to track every movement and location of all files using specific RAILS transactions and RPCs in dedicated process and work areas for both the Government and the Contractor. Shelf space within the stack rooms or other offsite locations will be utilized according to the direction of the

COR.

NOTE: Files received at the NRC under Task 4.3.1, FRC Compaction Preparation, are not included within this task. The contractor shall deliver boxes addressed to FOIA on the same day received or as directed by the COR.

The contractor shall complete the following tasks:

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 or 26-36 T-Files per box (note these figures can be highly variable).

• 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.

Records Operations Support Services (ROSS)

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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).

The Government considers this task complete when the contractor uses the correct RAILS transaction code to receive files to the correct RPC. Obtain production counts from RAILS or SMART reports by adding the total files processed using the applicable transactions for the reporting time period.

4.1.2 - Shelving Files

Daily shelve all files into the NRC or NRC ES-1 stack rooms. Government will determine the file populations to be directed to NRC ES-1 or other sites as directed by the COR. Shelving files consists of adding files to open areas throughout shelf space or into areas of open shelves. With COR approval the contractor shall manage the most efficient use of shelf space for open areas throughout stack rooms. All shelves are assigned RPCs in sequential order. Please refer to the Records Policy Manual (RPM) for more information on responsible party filing.

The contractor shall complete the following tasks:

• 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.

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The Government considers this task complete when files are shelved, RAILS is updated with new shelf RPC, and all reports are reconciled. Production counts are captured from the download of the PBCS into RAILS for shelved files.

4.1.3 - Internal File Request

File requests from internal customers for files located at NRC/NRC ES-1/FRC or other storage facilities within 30 miles of the NRC, or other FCOs are received via RAILS, file pick lists, email, pull ticket, spreadsheet or phone. The file is requested via RAILS/Archives and Records Centers Information System (ARCIS)/Electronic Workload Reporting and Tracking System (eWRTS). Any file requests received by 3pm, local time, will be considered requested on the same business day. Cancel RAILS requests electronically as requested by COR. All timeframes specified within this task will be NRC local time (Central Time).

NOTE: Files pulled for Retirements Tasks 4.2.1, 4.2.2, 4.2.3, 4.2.4 or Compaction Preparation

4.3.1 are not included within this task.

The contractor shall complete the following tasks:

• 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.

Internal File Requests

Type Location of File Receive/Print Pull Tickets Timeliness Requirement National Security

Event NRC, NRC ES-1, FRC or Other Metro Area Location

Phone & eWRTS Ticket to Printer

Request and deliver within 1 hour or per direction of the COR

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Urgent – Information Management Liaison

Section (IMLS) NRC/NRC ES-1 eWRTS Ticket to Printer

Request and deliver within 1 hour of receipt of request (Applicable for NRC ES-1 during its normal hours of operation)

Urgent – IMLS FRC or other Metro Area Location eWRTS Ticket to Printer Request, pick up on next scheduled run and deliver within one hour of receipt

Priority – IMLS NRC/NRC ES-1 Email Staffing Spreadsheet

6 hours of receipt of request if Email Staffing Spreadsheet received between 6AM and 2PM on a business day.

6 hours after start of next business day if Email Staffing Spreadsheet received after 2PM on a business day.

6 hours after start of next business day if Email Staffing Spreadsheet received on a non-business day.

Priority – IMLS FRC or Other Metro Area Location Email Staffing Spreadsheet 6 hours of receiving file into the NRC

Priority – FOIA NRC or NRC ES-1 Daily Email Staffing Spreadsheet

Same business day of receipt of request if Email Staffing Spreadsheet received before 3:00 PM.

Next business day of receipt of request if Email Staffing Spreadsheet received after 3:00 PM.

Priority – FOIA FRC or Other Metro Area Location or FCO

Daily Email Staffing Spreadsheet

Request in RAILS or ARCIS same business day as receipt of request if Email Staffing Spreadsheet received before 3:00 PM. Deliver file(s) same business day as received into the NRC.

Request in RAILS or ARCIS next business day from receipt of request if Email Staffing Spreadsheet received after 3:00 PM. Deliver file(s) same business day as received into the NRC.

Priority – Other NRC or NRC ES-1 Print from RAILS in morning (AM) Same business day for AM Print

Priority – Other NRC or NRC ES-1 Print from RAILS after noon (PM) Next business day for PM Print

Priority – Other FRC or Other Metro Area Location Email/Spreadsheet/Phone

Request in RAILS or ARCIS same business day of receipt of request if receipt of request is before 3:00 PM.

Deliver file(s) same business day as received into the NRC.

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Request in RAILS or ARCIS next business day from receipt of request if receipt of request is after 3:00 PM.

Deliver file(s) same business day as received into NRC.

Regular NRC or NRC ES-1 Print from RAILS AM Deliver file within 3 business days from print date

Regular FRC or Other Metro Area Locations Email/Spreadsheet/Phone

Request in RAILS or ARCIS same business day as receipt of request if receipt of request is before 3:00PM;

next business day if after 3:00PM

Complete daily runs to retrieve available files – twice a day for FRC co-located with NRC, between 1 to 2 per day for all other locations in Kansas City Metro Area.

Deliver file same business day as received into facility

Regular Located at Other Field Office Email/Spreadsheet/Phone

Request in RAILS same business day of receipt of request if receipt of request is before 3:00 PM. Deliver file(s) same business day as received into the NRC.

Request in RAILS next business day from receipt of request if receipt of request is after 3:00 PM. Deliver file(s) same business day as received into the

NRC.

The Government considers internal file requests complete when the file is retrieved, merged with all related files, interfiling is secured, file maintenance is performed as needed, file is received to the correct RPC in RAILS and delivered to the correct location. The Government considers internal requests for files located at another FCO complete when the contractor makes the request in RAILS. The contractor shall manually separate production counts and total by the type of internal request.

4.1.4 - External File Requests

External requests for files located at the NRC, NRC ES-1, other storage location within the metropolitan area or at the FRC are received through RAILS, distinct file pick lists (i.e.

spreadsheets), and e-mail. This task includes all activities required from pulling the file, through shipping the file to the requestor. RAILS generates the file request via “pull tickets” which are printed in accordance with USCIS policies and procedures. Additionally, the pull tickets provide the file location, and identify the priority mailing account number and the requesting FCO Code for shipment. All timeframes specified within this task will be NRC local time (Central Time).

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• 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% 9% 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.

• 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:

Regular Requests Priority Requests

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

External File Requests

Type Location of File Receive/Print Pull Tickets Timeliness Requirement

Priority - External NRC or NRC ES-1 or other metro area location (non-

FRC)

Print from RAILS in morning (AM)

Send Same business day for AM Print (send within one business day upon receipt from other metro area location)

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Priority – External NRC or NRC ES-1 or other metro area location (non-

FRC)

Print from RAILS after noon (PM)

Send Next business day for PM Print (send within one business day upon receipt from other metro area location)

Priority – External FRC Email/Spreadsheet/Phone/ Pull Ticket

Request in RAILS or ARCIS same business day of receipt of request if receipt of request is before 3:00 PM. Deliver file(s) same business day as received into the NRC.

Request in RAILS or ARCIS next business day from receipt of request if receipt of request is after 3:00 PM. Deliver file(s) same business day as received into NRC.

Regular - External NRC or NRC ES-1 or other metro area location (non-

FRC)

Print from RAILS AM Send within 3 business from print (send within one business day upon receipt from other metro area location)

Regular - External FRC Email/Spreadsheet/Phone/ Pull Ticket

Daily runs to retrieve available files – twice a day for FRC co-located with NRC, between 1 to 2 per day for all other locations in Kansas City Metro Area. Send file within one business day of receipt.

All Types NRC/NRC ES-1 Operating Unit (i.e. FOIA Unit) Email/Spreadsheet/Phone

Send email to individual 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.

The Government considers external file requests complete when the contractor updates RAILS with the correct FCO and enters RAILS transaction data and tracking numbers in RAILS and Mail Room Tracking Database. Contractor obtains production counts by totaling the RAILS transactions listed on the RAILS transaction by user report.

4.1.5 – File Merge

Merging files is the process of adding the contents of two or more files with the same number into one file. This could be combining/merging S-Files, T-Files, W-Files, or duplicate A-Files.

NOTE: Files merged during file retirement preparation under Retirement Tasks 4.2.1, 4.2.2, 4.2.3, 4.2.4 or Compaction Task 4.3.1 are not included within this task.

• 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

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• 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.

Merging of files is complete when RAILS is updated correctly. Production counts are obtained by totaling the number of “Combination of Like Suffixes” “T” & “S” transactions utilizing the RAILS/SMART Transaction By User Report minus the number of “Combination of Like Suffixes” performed for retirement files and minus the number of “A” transactions from the report. Each relating file combined into the parent file, no matter how many files are combined, is a count of one combination/merge.

4.1.6 - Interfiling

Interfiling consists of loose documents or packets received from field offices that must be triaged to determine the proper disposition. Documents with the correct disposition and related to NRC records are physically placed in the relating A-file, T-file, W-File, or S-File. Identification of the sender or FCOs return address must be maintained from the mailroom through interfiling the documents into a physical or electronic record.

• 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.

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

The Government considers interfiling complete when the contractor completes one or more of the following actions:

• The material is secured in the correct file

• A T-file is created

• The document is routed to the appropriate office or Metro Area storage facility for disposition

Obtain production counts by using the interfiling database/electronic log. When interfiling is placed in a single file, it is counted as one piece regardless of the number of pages. Interfiling is by piece regardless of size or number of pages going into a single file.

4.1.7 - File Maintenance

Maintenance of the file consists of replacing damaged file jackets; creating or replacing barcode labels; and processing over-sized files into new and/or multiple jackets.

NOTE: File maintenance actions completed during Retirement Tasks 4.2.1, 4.2.2, 4.2.3 or Compaction Task 4.3.1 are not included within this task.

• 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.

The Government considers file maintenance complete when the contractor completes one or more of the following on a single record: repairs file jackets, creates multiple part files, bands the multiple parts, and attaches correct barcodes to the file jacket. Each record is considered one

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4.1.8 - Problem Files

Through various contracted processes, such as interfiling, the NRC identifies problem files including incorrect information in electronic systems. Problem files/electronic systems contain erroneous documents/data. Examples include: incorrect material within the file; misspelling of names; and incorrect consolidations.

NOTE: Problem file corrections completed during Retirement Tasks 4.2.1, 4.2.2, 4.2.3 or Compaction Task 4.3.1 are not included within this task.

• 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.

The Government considers problem files complete when the contractor updates the appropriate system(s)/logs, removes all unrelated file material, and routes the information to the correct file.

The contractor shall use the work count database to produce production counts.

4.1.9 - A-File Create

A-File material is generally received from foreign offices, Consulates, and from interfiling. It requires the creation of a physical file and/or an electronic file in CIS2. The Government provides a GSA approved secure cabinet for securing unused A-file jackets.

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NOTE: A-files created in CIS2 as part of the retirement process under Tasks 4.2.1, 4.2.2, 4.2.3 or Compaction Task 4.3.1 or 4.3.3 are not included in this task.

A-File Creates consists of:

• Documents received from foreign offices or consulates with coversheets or G-361’s attached identifying KDEs necessary for creating the A-file in CIS2.

• Physically created incoming A-Files that are not in CIS2.

• Documents received in interfiling that are A-File material, but an A-File does not exist.

• Populations as directed by the COR.

• Identify classified information, report file to IRCMS and place in designated USCIS-provided safe until a determination is made on the file.

• Note – no translation services are expected from the contractor.

• 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.

The Government considers A-file creates complete when the contractor inputs all the correct information into CIS2 and the same information is verified by CIS2. Obtain production counts from the daily work counts.

4.1.10 - File Audits

Audits consist of continuous validation of file location in the stack rooms against the electronic location within RAILS. It also includes a monthly audit of all files located within USCIS and contractor work units throughout the NRC/NRC ES-1. Per USCIS Policy and RPM, the NRC and NRC ES-1 are required to complete an audit of entire file holdings once every 5 years.

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• 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.

The Government considers audits complete once the contractor reconciles the audit reports, re-audits any missed files and RAILS reflects the correct location of the audited files. The contractor shall obtain production counts from the electronic count of the number of files audited found in the download of the PBCS into RAILS.

4.1.11 – Information Liaison (IL) Phone Intake

The NRC responds to telephonic request for file information 24 hours a day, 7-days a week, including all holidays except Thanksgiving Day and Christmas Day. The contractor shall answer incoming phone calls for information Monday-Thursday from 8:15 pm until 6:45 am and on weekends from Friday at 8:15 pm until Monday at 6:45 am and occasionally during the day shift when all Government personnel are required to attend a meeting or training. All timeframes specified within this task will be NRC local time (Central Time).

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