FY25_IO_RP_SOW _RIMContractSupport_2025 - draft.docx

Government Accountability Office Statement of Work Records and Information Management Administrative Services (RIMAS)

1.1 The U.S. Government Accountability Office (GAO)

GAO, headed by the Comptroller General of the United States, was created by the Budget and Accounting Act of 1921. GAO is a legislative agency, independent of the executive departments. GAO assists the Congress in its oversight of executive branch departments and agencies by providing audits, evaluations, and investigations of federal programs and activities.

GAO is comprised of a multi-disciplinary staff, including analysts, accountants, auditors, attorneys, economists, and social scientists. The majority of GAO's employees are located in the GAO building located at 441 G Street NW, in Washington, D.C. In addition, GAO has field offices located throughout the continental United States.

1.1.1 Infrastructure Operations (IO) is comprised of three departments—Office of Security, Records and Privacy and Facilities Management. This contract provides support for Records and Privacy.

1.1.2 Records and Privacy (R&P) is responsible for agency records and information management services. R&P preserves organizational knowledge and mitigates risk and exposure to GAO by following best practices and developing processes, procedures, and enabling technologies that adhere to good recordkeeping guidance and standards.

R&P staff create, implement, manage, and enforce the policies and procedures concerning the creation, organization, maintenance, use, storage, retrieval, and disposition of the GAO's records (regardless of record media and formats), and administers the oversight program for federal agency requests for records disposition under Title 8 of the United States Code. R&P answers information requests and performs research on all GAO collections after custody of the records is transferred to R&P from the originating GAO offices.

The records collections within GAO are comprised of administrative, engagement, and policy documents. R&P manages records of historical significance, such as the Legislative Histories and GAO’s publications. GAO records have varying degrees of sensitivity from National Security-classified to business-sensitive requirements. Few of GAO’s holdings have permanent electronic retention, but several collections must be maintained for decades. GAO has over ten million (pls confirm?) documents in its document and records management system and approximately 16,000 cubic feet of records in storage at the Federal Records Centers.

2.0 Scope of this Procurement

The purpose of this procurement is to acquire clerical, administrative, and professional services as well as data management, documents preparation, records management support services and electronic records management.

To complete this effectively, the Contractor shall be required to collaborate with the Records Management Team, designated GAO employees and/or contractors. Records Management requires a wide range of skillsets and capabilities to include expertise in Microsoft Office Suite/SharePoint and knowledge of National Archives and Records Administration policies, regulations, and resources (General Records Schedule (GRS), Federal Records Act, 44 U.S.C., 36 CFR etc.). Comment by Whitney, M'Lisa M: Should we include expertise in SharePoint? MS Office Suite does not include SPO.

3.0 Objective Comment by Whitney, M'Lisa M: Should we include digitization here? There is a task for it listed later, but I think note of it should be included in the Objective statement as well.

The Contractor shall support RM to meet its mission to standardize its information and records management processes effectively and efficiently:

· Promote transparency and accountability by better documenting GAO actions and decisions

· Apply proper metadata for appropriate records disposal using the GAO Records Retention Schedules and General Records Schedule (GRS)

4.0 Tasks

The Contractor shall perform the specific tasks identified below to provide the Records and Information Management support services to include:

4.1 Perform agency-wide Inventory and File Plan of all GAO records

Contractor shall perform agency-wide inventory and develop file plans to ensure that all records created and used by each program are identified, scheduled, and appropriately maintained. This includes creating a records inventory and file plan to ensure each program office's records are managed according to their applicable records retention schedule.

Contractor shall assist with the storage and maintenance of records currently located on RIM share drives, systems, applications, internal, and external to GAO. These services are necessary for reliable storage, retrieval, protection, preservation and destruction of records. Contractor personnel shall identify records and work with RIM Specialists and/or designees to identify points of contact (POCs) to migrate, transfer and/or destroy records.

The Contractor shall classify and index file material such as administrative, engagement and policy records in an established filing system containing a number of varied subject matter files, in conjunction with maintaining records of various types.

These services include conducting and reconciling inventories of data and assets; performing word processing and data entry relevant to case documentation; entering and retrieving data from databases; preparing and formatting management reports; manipulating, transferring, computing, and printing information; and preparing and correcting reports and correspondence. Accuracy is required for the performance of these services to ensure audit compliance. Comment by Whitney, M'Lisa M: And digitizing where appropriate for transfer? There is an item for this later, but should a note of it be included here as well?

Contractor shall conduct 100% quality assurance (QA) on all documents.

4.2 Records Appraisal

Contractor shall ensure that all records created by GAO are represented on the existing Records Retention Schedules, records retentions continue to meet the business needs of the agency, and adjusting the retentions as appropriate, and identifying new records series and retentions by collaborating with Records Management Staff and/or designees and records creators to conduct a records appraisal using guidelines set for by internal GAO guidelines and the National Archives and Records Administration (NARA) to determine whether Federal records have archival value. Comment by Whitney, M'Lisa M: How about “Records Management staff” instead?

4.3 Digitization

Contractor shall assist in developing digitization information and records management processes (excel documents, PowerPoints presentation etc.) to track enterprise-wide compliance with M-19-21 and M-23-07. Digitization is key to addressing challenges associated with large volumes of paper and achieving compliance with electronic recordkeeping mandates. This task requires but is not limited to:

· Assisting the Records Management Team, designated GAO employees and/or contractors with creating a single service-wide comprehensive digitization strategy document that identifies priorities, objectives, interim target dates, milestones, etc., and identifies the RIM business units responsible for the applicable actions

· Assisting the Records Management Team, designated GAO employees and/or contractors with developing project management tracking tool/document to monitor digitization efforts and compare results against the plans, goals, objectives, milestone dates, etc., and analyze any significant deviations to identify needed strategic changes.

· Contractor personnel shall conduct quality assurance (QA) on all documents.

The contractor shall establish, review, and save all meeting summaries to the appropriate repository with the correct metadata.

4.4 Records and Information Management Training Support

The Contractor shall assist and provide training to GAO employees and contractors, including the GAO Capstone Officials and bi-weekly New Employees Orientation briefings. Contractor personnel shall work with the R&P Team within 90 days of contract kick-off to develop enterprise-wide information and records management training, role-based training, policies, and how-to guides and presentations that ensure features and functionality work aligned with GAO policies and best practices.

4.5 Management and Supervision of Contractor Employees

The Contractor shall provide supervision and management of its contractor personnel as well as consistent and timely management of the support services to be provided under this contract.

This supervision shall include but not be limited to the following activities:

a) Day-to-day supervision and management of Contractor personnel and assignments.

b) On-site supervision for Contractor personnel.

c) Coordination of on-the-job training for new Contractor personnel as applicable.

d) Periodic training of Contractor personnel.

e) Scheduling of Contractor personnel.

f) On-site quality control of work performed by Contractor personnel.

4.6 Contractor Personnel

4.6.1 Qualified Personnel

The personnel provided by the Contractor shall be United States citizens and shall possess the skills and technical background necessary to successfully complete the tasks described in this Statement of Work.

4.6.2 Key Personnel

The personnel specified below are considered essential to the work being performed under this contract and may, with the consent of the contracting parties, be changed from time to time during the course of the contract by adding or deleting personnel, as appropriate. If any replacement of a Key Personnel position becomes necessary, the Contractor shall notify the Contracting Officer (CO) and Contracting Officer’s Representative (COR) in writing fifteen (15) business days in advance, accompanied by the qualifications of the proposed replacement. In the case of a replacement, the proposed individual shall possess qualifications equal to or superior to those of the Key person being replaced, unless otherwise approved by the Contracting Officer.

All requests for approval of changes must be in writing, via email, and provide a detailed explanation of the circumstances necessitating the proposed change and to enable the CO to evaluate the potential impact of the change on the contract. The Contractor shall not remove or replace personnel until the CO approves the change in writing. Requests for changes to key personnel shall be made as soon as, but no later than three (3) business days after the Contractor first knows of the need for such change.

Records Management has determined that the following positions are key personnel positions for this requirement: Project Manager and Senior Records and Information Management Specialist. The key personnel shall possess the required education, experience, and security clearance to perform their specific duties and tasks.

Project Manager - The Contractor shall provide a Project Manager who shall manage the team of contractor support personnel. The Project Manager shall organize, direct, and manage contract operation support functions, involving multiple and complex and inter-related project tasks. The Project Manager shall maintain and manage the client interface at the senior levels of the client organization and shall meet with customer and Contractor personnel to formulate and review task plans and deliverable items. The Project Manager shall ensure conformance with program task schedules and costs; establish and maintain technical and financial reports to show progress of projects to management and customers; organize and delegate responsibilities to subordinates; and oversee the successful completion of all assigned tasks.

The Project Manager shall be available via telephone or email during the GAO core hours, and not before or after our approved work time (6am-7pm EST) Monday through Friday, and shall respond to a request for discussion or resolution of technical problems within one (1) hour of notification. The Project Manager shall respond or acknowledge any communications or other taskings within 24 hours of receipt. The Project Manager shall be a full-time position. Comment by Whitney, M'Lisa M: This seems too short of a required response time.

Senior Records and Information Management Specialist - Duties for the current GAO PT-III-0308?

Educational Requirements – Key Personnel shall possess a minimum of a Bachelor of Arts or Sciences Degree in (library science or business - pls confirm?) or other related discipline. Preferred MLS? Comment by Whitney, M'Lisa M: The PD for the RIM Specialist (PT-III) does not have an education qualification requirement. Pulling ‘experience requirements’ from the PD should be sufficient

Experience Requirements –

In addition to the educational requirement, the Project Manager shall also have a minimum of eight (8) years of experience in performing program and project management support services as described in this statement of work. The Project Manager shall also possess a minimum of two (2) years supervisory experience and the preferred knowledge and skills: Comment by Whitney, M'Lisa M: This seems arbitrary Comment by Whitney, M'Lisa M: It would make more sense to ‘prefer’ supervisory experience and not call out a number of years - and what exactly is ‘supervisory experience’? “Supervisor” in job title, leadership experience, how would we enforce this?

· Ability to communicate effectively, both orally and in writing, with federal personnel.

· Ability to read and interpret Government policy, regulations, and directives and to apply those interpretations to all activities described in this statement of work.

· Provide clear leadership, technical direction, and guidance to contractor personnel.

· Ability to provide all reporting information identified and required in this SOW.

· Ability to resolve issues related to overall contract performance.

· Ability to provide subject matter expertise on the overall contract requirement.

· Proficient In Microsoft Office Suite.

A current Project Management Professional (PMP) certification is desirable but not required.

In addition to the educational requirement, the Senior Records and Information Management Specialist shall also have a minimum of five (5) years relevant experience as a developer and/or administrator of MS SharePoint and Microsoft 360 Office Suite and providing information and records management support. In addition, the Senior Records and Information Management Specialist shall not possess less than three (3) years’ experience administering and configuring records management applications and providing records and information management and the preferred knowledge and skills: Comment by Whitney, M'Lisa M: 5 years experience seems arbitrary. When calling out number of years experience, it needs to be defined what constitutes a year of experience – using SharePoint? In the job title? Full-time SPO Administrator? Worked somewhere that had SPO? What if they are a Certified MS Administrator (MS offers educational certificates), does this count for a year of experience? Comment by Whitney, M'Lisa M: This seems somewhat redundant. I suggest we pull in items from our PT-III PD as required experience and pull back on requiring a number of years

· Comprehensive knowledge of MS SharePoint / MS 365 Office Suite.

· Experience working with file plans, inventories, retention schedules, and e-discovery.

· Demonstrated experience to configure GAO/RIM’s record information and management tools.

· Ability to communicate effectively with GAO employees and contractor personnel.

· Experience to include technical project management, leadership, or supervision.

· Ability to conduct comprehensive technical research and analysis.

Before replacing any individual designated as Key Personnel by the Government, the Contractor shall notify the Contracting Officer in writing no less than fifteen (15) business days in advance, submit written justification for the replacement, and provide the name and qualifications of any proposed substitute(s). All proposed substitutes shall possess qualifications equal to or superior to those of the Key person being replaced, unless otherwise approved by the Contracting Officer. The Contractor shall not replace Key Contractor personnel without advance written approval from the Contracting Officer. The Government reserves the right to review resumes of key personnel candidates prior to their assignment. Comment by Whitney, M'Lisa M: This is already called out more explicitly in 4.5.2

Note: Contractor Key Personnel shall not be assigned by the Contractor to more than one key position for this requirement.

4.7 Non-Key Personnel

Records Management (RM) Subject Matter Expert (SME) - Duties from the PT-III-0308 PD? Comment by Whitney, M'Lisa M: What is the difference between this and the RIM Specialist?

Educational Requirements – Non-Key Personnel shall possess a minimum of a Bachelor of Arts or Sciences Degree in (library science or business - pls confirm?) or other related discipline. Comment by Whitney, M'Lisa M: To my knowledge, there is no Bachelor’s level degree in this field. For the Master’s level, this degree is called a lot of different things - the entire field has moved away from Library Science as RM is now considered electronic/systems based so more Information Science, which has varied degree titles. Comment by Whitney, M'Lisa M: Even NARA doesn’t (and can’t) require a degree for their Records Management staff

Experience Requirements –

In addition to the educational requirement, the Records Management Subject Matter Expert shall also have a minimum of five (5) years of experience that equipped the candidate with the skills needed to perform the job duties. In addition, at least three (3) years developing and/or managing records programs that provide support to the Government and has experience with drafting records management artifacts in accordance with NARA and GAO requirements. Comment by Whitney, M'Lisa M: 5 years seems arbitrary

Other examples of specialized experience include project planning, editing, drafting, and writing file plans, records inventories, records schedules and performing a wide variety of analytical studies and projects related to records management improvement, productivity improvement, records management controls, and long-range records planning including developing guidance on techniques for records management and records methods improvement, training, analyzing and advising on proposed reorganization or realignment of functions in the context of handling records, and developing manuals and directives covering varying aspects of records operations. Comment by Whitney, M'Lisa M: And project planning

4.8 Monthly Status Reports

The Contractor shall submit a monthly status report covering the previous month to the COR, Contracting Officer (CO) and Program Manager (PM). The monthly status report shall contain a heading with the following information at a minimum: Contract number, Order number, Order Period of Performance, Contractor Name, Program Manager’s name and telephone number, Order Award amount, Reported Period of Performance, and Date of submission. The Contractor shall deliver this report on the 10th business day of every month. This report shall include a summary of all Contractor work performed, including a breakdown of labor hours by labor category, all direct costs by line item, an assessment of technical progress, schedule status and any Contractor concerns or recommendations for the previous reporting period.

Monthly Progress Reports (MPRs) shall be delivered both orally at Program Management Reviews (PMRs) and in writing via electronic mail. Note that the organization, content, and format may change with time, as mutually agreed upon by the Contractor and the Contracting Officer Representative (COR). MPRs shall be submitted monthly, to be delivered no later than ten (10) calendar days after the end of the preceding month. PMR material, shall be provided at least two (2) business days prior to the scheduled PMR to the COR and Program Manager (PM). The MPR shall include a summary of all Contractor work performed, an assessment of technical progress, schedule status, resource onboarding and offboarding status, any travel conducted and any Contractor concerns or recommendations for the previous reporting period.

The monthly report shall also summarize the routine support provided and briefly describe major accomplishments or problems that occurred during the previous month. The report shall incorporate a description of major accomplishments, milestones achieved, reports generated, and any recommendations submitted for consideration by the Government.

4.9 Deliverables

The Contractor shall consider items in BOLD as having mandatory due dates. Items in italics are deliverables or events that must be reviewed and/or approved by the COR prior to proceeding to next deliverable or event in this SOW.

CO/CS/COR/PM

Meeting Minutes

Enterprise-wide information and records management training, policies, and how-to guides.

Within 90 days of contract kick-off

PM COR

Government review.

COR, Contracting Officer

7.3 Monthly Progress Reports (to include currently assigned work due within the next 90 days).

10th calendar day of each Month

COR, Contracting Officer

4.8 Contract Deliverables

The Contractor shall deliver all deliverables in PDF format except where otherwise noted: One

(1) electronic copy containing deliverables and a letter of transmittal to both the PM and the COR.

4.9 Post Award Kick-Off Meeting

The Government will conduct a Post Award Kick-off meeting within fifteen (15) calendar days after contract award. The purpose of the Kick-off meeting is to aid both the Government and Contractor personnel to:

· Achieve a clear and mutual understanding of the contract tasks, management, and technical requirements.

· To identify and resolve potential problems.

The Contractor shall be responsible for compiling the meeting minutes and providing the meeting minutes to the Government NLT seven (7) calendar days after the conclusion of the Post Award Kickoff Meeting.

4.10 Project Management Plan

The Contractor shall develop a Project Management Plan, outlining resources, activities, and milestones necessary to accomplish work specified in the SOW. Technical activities in the schedule shall be at a level of detail sufficient for the Contractor to manage the task. The Contractor shall develop a new Project Management Plan schedule whenever a modification to the contract occurs. The Contractor shall provide the draft plan within thirty (30) calendar days of contract award and shall include:

The final Project Management Plan shall be due seven (7) calendar days after Government review.

4.11 Monthly Progress Report

The Project Manager shall provide a Monthly Progress Report to the Contracting Officer and COR via electronic mail. These reports shall include a summary of all Contractor work performed, including a breakdown of labor hours by labor category for time-and-materials and labor-hour tasks, all direct costs by line item at the individual service or resource level, an assessment of technical progress, schedule status, any travel conducted and any Contractor concerns or recommendations for the previous reporting period. The Monthly Progress Report shall be provided by the 10th calendar day of the following month.

4.12 Invoicing

The contractor shall provide an invoice and no later than the 15th of each month.

4.13 Period of Performance

The base period of performance will be from date of award through twelve months and four (4) one-year option periods.

4.14 Government Points of Contact (POCs)

Contracting Officer’s Representative (COR) - Name: TBD Voice: TBD Email: TBD

Program Manager - Name: TBD Voice: TBD Email: TBD

Contracting Officer (CO) - Name: TBD Voice: TBD Email: TBD

Contract Specialist (CS) - Name: TBD Voice: TBD Email: TBD

Other requirements are:

· The vendor must be registered in System Award Management (SAM).

· All protocols for the handling of classified, sensitive governmental information and PII must be followed by the contractor.

· *The vendor must supply personnel who have been thoroughly screened with a background check and favorably adjudicated by the company to handle sensitive information.

· The government shall submit a Notice of Visit (GAO Form 65) to Security and Emergency Management (SEM) at least 24 hours prior to the scheduled visit.

*Questions – Should any of the contractors be required to have a TS or S clearance to handle classified information prior to date of award?