H9821020R0030 Amendment 0001 DEOC Scanning.pdf

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER (Type or print)

30-105-04EXCEPTION TO SF 30

APPROVED BY OIRM 11-84

STANDARD FORM 30 (Rev. 10-83) Prescribed by GSA

FAR (48 CFR) 53.243

The purpose of this RFP Amendment is to do the follow ing:

A. Provide responses to industry questions, see "Attachment A: DEOC Scanning Questions and Responses" B. Revise Other Direct Cost (ODC) CLIN description (CLIN 0003 and 1002) adding the follow ing language "Do Not Propose".

C. Change CLIN type for ODC CLIN 0003 and 1002 from FFP to T&M.

D. Replace Enclosure 1:Performance Work Statement (PWS) in its entirety.

E. Replace Enclosure 2: Administrative Information in its entirety.

F. Replace Enclosure 3: Evaluation Factors, Criteria, and Rating Methods in its entirety.

See continuation pages for additional information.

1. CONTRACT ID CODE PAGE OF PAGES

J 1 26

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

16C. DATE SIGNED

BY 19-Aug-2020

16B. UNITED STATES OF AMERICA15C. DATE SIGNED15B. CONTRACTOR/OFFEROR

(Signature of Contracting Officer)(Signature of person authorized to sign)

8. NAME AND ADDRESS OF CONTRACTOR (No., Street, County, State and Zip Code) X H9821020R0030

X 9B. DATED (SEE ITEM 11)

10-Aug-2020

10B. DATED (SEE ITEM 13)

9A. AMENDMENT OF SOLICITATION NO.

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

X The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offer is extended, X is not extended.

Offer must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended by one of the following methods:

(a) By completing Items 8 and 15, and returning 1 copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

12. ACCOUNTING AND APPROPRIATION DATA (If required)

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS.

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE

CONTRACT ORDER NO. IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(B).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

E. IMPORTANT: Contractor is not, is required to sign this document and return copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

10A. MOD. OF CONTRACT/ORDER NO.

2. AMENDMENT/MODIFICATION NO. 5. PROJECT NO.(If applicable)

6. ISSUED BY

3. EFFECTIVE DATE

19-Aug-2020

CODE

DEFENSE HUMAN RESOURCES ACTIVITY

4800 MARK CENTER DRIVE,

SUITE 03E25

ALEXANDRIA VA 22350-4000

H98210 7. ADMINISTERED BY (If other than item 6)

4. REQUISITION/PURCHASE REQ. NO.

CODE

See Item 6

FACILITY CODECODE

EMAIL:TEL:

H9821020R0030

SECTION SF 30 BLOCK 14 CONTINUATION PAGE

SUMMARY OF CHANGES

SECTION SF 1449 - CONTINUATION SHEET

SUPPLIES OR SERVICES AND PRICES

CLIN 0003

The contract type has changed from FFP to T&M.

The CLIN extended description has changed from:

Travel and Shipping: In accordance with JTR and PWS section 9.0 TRAVEL AND

TRANSPORT OF IMAGING WORKLOAD TO AND FROM CONTRACTOR SCANNING

FACILITY. Travel MUST BE pre-approved by the Contracting Officer Representative (COR).

To:

Do Not Propose.Travel and Shipping: In accordance with JTR and PWS section 9.0 TRAVEL

AND TRANSPORT OF IMAGING WORKLOAD TO AND FROM CONTRACTOR

SCANNING FACILITY. Travel MUST BE pre-approved by the Contracting Officer Representative (COR).

ITEM NO SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0003 12 Unitless Other Direct Costs (ODC)

T&M Do Not Propose.

Travel and Shipping: In accordance with JTR and PWS section 9.0 TRAVEL

AND TRANSPORT OF IMAGING WORKLOAD TO AND FROM

CONTRACTOR SCANNING FACILITY. Travel MUST BE pre-approved by the Contracting Officer Representative (COR).

FOB: Destination

TOT ESTIMATED PRICE

CEILING PRICE

CLIN 1002

The contract type has changed from FFP to T&M.

The CLIN extended description has changed from:

Travel and Shipping: In accordance with JTR and PWS section 9.0 TRAVEL AND

TRANSPORT OF IMAGING WORKLOAD TO AND FROM CONTRACTOR SCANNING

FACILITY. Travel MUST BE pre-approved by the Contracting Officer Representative (COR).

To:

Do Not ProposeTravel and Shipping: In accordance with JTR and PWS section 9.0 TRAVEL

AND TRANSPORT OF IMAGING WORKLOAD TO AND FROM CONTRACTOR

SCANNING FACILITY. Travel MUST BE pre-approved by the Contracting Officer Representative (COR).

ITEM NO SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

1002 12 Unitless Other Direct Costs (ODC)

T&M Do Not Propose

Travel and Shipping: In accordance with JTR and PWS section 9.0 TRAVEL

AND TRANSPORT OF IMAGING WORKLOAD TO AND FROM

CONTRACTOR SCANNING FACILITY. Travel MUST BE pre-approved by the Contracting Officer Representative (COR).

FOB: Destination

TOT ESTIMATED PRICE

CEILING PRICE

The following have been modified:

ENCLOSURE 1

Defense Human Resources Activity

Knowledge Management Support Services Performance Work Statement (PWS)

Records Scanning and Digitization of Paper Documents

1.0 INTRODUCTION

The Office of the Under Secretary of Defense Personnel and Readiness (OUSD P&R) and the DHRA Enterprise Operations Center (DEOC) requires Records Management support for the conversion of paper records to electronic formats to meet Department of Defense (DoD) and other Federal requirements for the OUSD P&R and Defense Human Resources Activity (DHRA). The primary records maintenance location is located at DHRA, 4800 Mark Center Drive, Alexandria, VA building. Collectively, these entities are referred to as OUSD P&R/DHRA throughout this document.

2.0 BACKGROUND

2.1 As established by DoD Directive 5124.02, Under Secretary of Defense for Personnel and Readiness (USD (P&R)), the USD (P&R) is the Principal Staff Assistant and advisor to the Secretary of Defense for Total Force Management; National Guard and Reserve Component affairs; health affairs; readiness and training; military and civilian personnel requirements; language; dependents’ education; equal opportunity; morale, welfare, recreation;

and quality-of life matters. DoD Directive 5100.87, “Department of Defense Human Resources Activity,” DHRA is an Office of the Under Secretary of Defense, Personnel and Readiness field activity. It supports policy development, performing cutting-edge research and expert analysis. Also supports supporting readiness and departmental reengineering efforts, managing the largest automated personnel data repositories in the world.

Additionally, prepares tomorrow’s leaders through robust developmental programs, supporting, recruiting, and retaining the best and brightest while delivering both benefits and critical services to warfighters and their families.

Effective November 1, 2016, Director, HQ DHRA was assigned the responsibility for executing the OUSD P&R enterprise-wide Knowledge Management Program function. These responsibilities have been delegated to the Director, DEOC.

2.2 OUSD P&R/DHRA requires non-personal contractor support service assistance to convert OUSD P&R/DHRA’s hardcopy records to an electronic format, in accordance with federal law, Department of Defense (DoD) guidance, and National Archives and Records Administration (NARA) requirements.

3.0 SCOPE

The contractor shall provide management, personnel, and transportation necessary to assist OUSD P&R/DHRA’s conversion of hardcopy records to an electronic format in accordance with federal law, Department of Defense (DoD) guidance, National Archives and Records Administration (NARA) requirements, and the requirements below. The Contractor shall provide: onsite validation of OUSD P&R’s and DHRA Components’ scanning estimates; expert technical support and training in the field of Government Records Management for the OUSD P&R/DHRA workforce on the full range of scanning requirements; on-site engagements with OUSD P&R/DHRA Components to optimize the accuracy of all document imaging requirements; scanning of all eligible records; and an Operational Plan for Phase I Operational Assessment Period Plan as described in PWS 4.1 inclusive of scanning deployment schedule.

4.0 REQUIREMENTS

4.1 Phase I Operational Assessment Period:

4.1.1 The contractor shall become familiar with performance requirements in order to minimize the impacts on continuity of operations. The Contractor shall prepare and be capable of full contract performance within 120 daysfour months after the start of period of performance. During this period, the Contractor will ensure that it is prepared to perform the contract according to its terms and while ensuring the safety and health of all staff during the continued COVID-19 pandemic in accordance with applicable DoD guidance (see, e.g., https://www.whs.mil/Coronavirus/). The Contractor shall perform those activities that are necessary to prepare for transportation of work from transition work from the Government locations to the Contractor’s scanning facility in a manner that: (1) ensures that all work under the contract is properly aligned to federal, DoD, and NARA records management standards; (2) provides for an orderly inventory, labeling, packaging, transfer of custody from the Government to the Contractor, and shipment of documents for imaging; and (3) provides efficient and effective operations.

4.1.3 The Contractor shall submit a Phase I Operational Assessment Period Plann initial Operational Plan for Phase I services with its proposal. The Contractor shall update the Plan no later than 15 calendar days after the start of the period of performance. The Operational Plan must address how the Contractor will: adequately assess the availability, quality, and quantity of records to be scanned; confirm and inventory OUSD (P&R)/DHRA paper records holdings; determine a records packing, shipment and scanning deployment schedule; outline the Contractor’s Quality Control Plan (QCP); and complete initial packaging and shipping for 20 percent of the identified records in accordance with section 4.3. To minimize any decreases in productivity and to prevent possible negative impacts on services, the Contractor must immediately communicate to the COR any potential issues with OUSD (P&R)/DHRA

Component records access.

4.1.4 The Contractor shall provide a final Operational Plan no later than 100 days from the start of the period of performance. The final Plan must include a detailed deployment that identifies, by OUSD (P&R)/DHRA Component, the outbound dates of shipment to the contractor facility and inbound dates for scanned records to the Government’s review and approval.

4.1.4.1 Detailed communication process of the Phase I Operational Assessment Period between Contractor and Contracting Officers Representative (COR).

4.1.4.2 Identification of major Phase I Operational Assessment Period transition work activities and associated milestones, including facility setup, service connectivity, account setup, and providing logistical support requirements for movement of existing Government Furnished Materials (GFM) and the procurement of any additional required equipment identified and as approved by the COR.

4.1.4.3 Detailed process for receiving and processing shipments both outbound and inbound from the Government facility to the Contractors facility, scanning records and assigning metadata, as well as transferring scanned records to the government and destroying scanned paper records upon approval.

4.1.4.4 Detailed process for maintaining records of previously submitted and processed shipments to and from the government facility.

4.1.4.5 Detailed process to ensure minimal impacts to Government work processes during assessment, packing/shipping, and scanning periods.

4.1.4.6 Risks and assumptions associated with the Phase I Operational Assessmentthe transition of the Period support services.

4.1.4.7 Personnel staffing plan including key personnel and staffing through full operational capability.

4.1.4.8 Identification of security transitionPhase I Operational Assessment Period security activities and obtaining approvals for required access and on any relevant security documents.

4.1.4.9 Timeline for ensuring programs, plans and procedures are completed and in place within four months120 days of Phase I Operational Assessment Period and target notification date to notify the COR in writing that the Contractor is ready to assume full responsibility for all work under this contract.

4.1.5 The final Operational Plan must include a QCP to identify and correct errors due to issues including malfunctioning or improperly configured digitization equipment, improper software application settings, incorrect metadata capture, or human error. The QCP must include:

4.1.5.1 A pre- and post- scan log those documents: all pages were scanned, all pages have the correct orientation, all pages are legible, and any modifications to scanned images after they have been scanned.

4.1.5.2 A Sample Quality Control (QC) Score Sheet, denoting electronic image attributes performed during quality control, and a tracking of errors and how many documents fail the initial and secondary QC tests.

4.1.5.2.1 Procedures to verify that digital image files: meet file format requirements specified in 4.3, comply with the file attribute and technical evaluation parameters specified in 4.3 and 4.7 and meet the metadata requirements specified in 4.5.

4.1.6 The Contractor shall provide personnel and required inventory and packing equipment during Phase I Operational Assessment Periodthe transition period, unless specifically directed otherwise by the COR.

4.1.7 Contractor shall discuss the implementation of its Phase I Operational Assessment Periodinitial phase-in transition plan, including an itemized/detailed listing of specific transition activities to be accomplished with start/finish dates (timetables) and planned S canning operations are up and fully operating on day one of contract start (following the four month Phase I Operational Assessment120day transition Pperiod) in accordance with the approved deployment schedule.

4.1.8 Length of Phase I Operational Assessment Period: Four monthsAt 120 days from the start of the period of performance, the Contractor must commence full scanning operations.

4.1.9 Authorized Personnel and Points of Contact: The Plan shall clearly define all Contractor personnel holding authority to sign for transfer of operations. This shall include the name, title, and clear definition of authority or limitations in authority for each person who will sign for acceptance of the final Phase I Operational Assessment Period plan transition. The Plan shall also provide Contractor points of contact, to include names, phone numbers, and email addresses, for work to be performed under the contract.

4.1.10 After completion of the Phase I Operational Assessment Perioda transition plan and transition activities, any other subsequent scanning preparatory transition activities may be authorized or directed by the COR.

4.2 Participate in a Post-Award Conference:

4.2.1 The Contractor shall attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation (FAR) Subpart 42.5, Post Award Orientation. This meeting will provide an introduction between the Contractor personnel and Government personnel who will be involved with the contract. The meeting will provide the opportunity to discuss technical, management and security issues. The Post Award Conference aids both the Government and Contractor in achieving a clear and mutual understanding of all requirements, and to identify and resolve potential issues. The Contractor will be prepared to discuss any items requiring clarification and will gather information as necessary to support each deliverable. Within five (5) business days after the conference, the Contractor shall submit a written summary of the Post-Award Conference that includes due outs and a confirmation of instructions on process.

4.2.2 At the Government’s discretion, the Contracting Officer (KO) and COR, will meet periodically with the contractor to review the contractor's performance. At these meetings, the KO or the CORContracting Officer will apprise the contractor of how the government views the contractor's performance and the contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues.

These meetings shall be at no additional cost to the Government.

4.3 Phase II Scanning and Digitization: The contractor shall prepare documents for scanning by, among other appropriate procedures:

4.3.1 Implementing industry best practices in terms of processes to ensure accountability of records received from each (Office of Primary Responsibility (OPR).

4.3.1.1 Ensuring all documents are available or accounted for and are in the proper sequence.

4.3.1.2 Denoting pages with missing parts, stains, tears, or obliterations that affect the text of any irregularities that may affect legibility of the records.

4.3.2 Repairing documents in a manner that does not obscure text or affect legibility of the records.

4.3.3 Implementing digital quality control, image capture, and indexing to ensure there is no significant loss of detail in the scanned images of photocopied original documents.

4.3.4 If multiple images are captured, ensure images are overlapped so there is no significant loss of information at the edges between adjoining images.

4.3.5 Implementing best industry standard processes to ensure original records are not destroyed without written authorization of the OPR, as coordinated by the COR and OUSD(P&R)/DHRA Component Records Management Officer.

4.3.5 Removing from documents all staples, paperclips, binder clips, and anything that would interfere in the scanning process, as well as separating perforated pages (e.g. computer print outs), unfolding legal documents, and straightening out all page corners.

4.3.5.1 If tabs are found (specifically those tabs that present a hindrance to the scanning process), cutting off the tabs and writing the information found on the tab on the blank page to be scanned in the proper order.

4.3.6 Removing “sticky notes” when they are making text illegible or covering exist text, images, or contents of the page. The Contractor shall affix a removed sticky note to another sheet and scan it in immediately following the page from which the note was removed. The Contractor also shall transcribe sticky notes and other hand-written text on a separate sheet and scan it in immediately following the page on which it was found in the original record.

4.3.7 Making photocopies of documents that meet one (1) or more of the following criteria:

4.3.7.1 Documents that are structurally weak (such as ‘onion skin’), faded or dark, or otherwise present a hindrance to the scanning process.

4.3.7.2 Documents that may be damaged by scanning, such as already damaged or delicate papers.

4.3.7.3 Documents with substantial contrast or density variations over the area of the original, such that photocopying may improve the quality of the image.

4.3.7.4 Documents that contain paper or ink colors that do not produce legible scanned images. This includes color, halftone, and continuous tone photographs and images that may not reproduce well, particularly in black and white scanning.

4.3.7.5 Documents that are too large to be scanned as a single full-sized image or have non-standard paper sizes, non-standard text orientation, negative images, unusual character size, style, and weight, or are reduced from Dot matrix printers.

4.4 The contractor shall scan documents in accordance with the following NARA standards, as defined in 36 C.F.R.

§ 1236:

4.4.1 Textual with high inherent contrast (e.g., laser printed or typeset on a white background) shall be scanned in bitonal (1-bit black and white) at 300-600 pixels per inch (ppi). The majority of OUSD(P&R)/DHRA records will require this type of scanning.

4.4.2 Textual documents of poor legibility because of low inherent contrast, staining or fading (e.g., carbon copies, thermofax, documents with handwritten annotations or other markings) shall be scanned in gray scale (8-bit) at 300- 400 ppi.

4.4.3 Documents containing color information important to interpretation or content (e.g. color-coded charts or graphs, etc.) shall be scanned in color (24-bit RGB [Red, Green, Blue]) at 300-400 ppi.

4.4.4 Photographic prints, including monochrome and black and white originals, shall be scanned in color (24-bit RGB) at 300-400 ppi.

4.5 The contractor shall save scans in Portable Document Format (PDF) format with Optical Character Recognition and encoded to capture the following metadata:

4.5.2. Unique identifier for the image(s).

4.5.3 Official File title of the image(s) (Shall correspond with section 4.6 naming convention)

4.5.4 OPR/Owner (The organization that originated the records).

4.5.5 Description. A narrative description of the content of the record, including abstracts for document-like objects.

4.6 The contractor shall ensure each record (case file folder or binder) will constitute one PDF file, unless greater than 500 pages in which instance the case will be broken up into multiple parts and labeled to indicate the document has multiple parts.

4.6.1 The OPR will insert dividers or separator pages in between documents or batches of documents to indicate where each scanned file should start and stop.

4.7 The naming convention for each record will follow what is written on the folder tab or binder cover. The Contractor will develop in collaboration with OPR, a folder level inventory list of each box, to include the following minimum information:

4.7.1 Unabbreviated name of OPR.

4.7.2 OPR Physical location and Address.

4.7.3 File(s) Title.

4.7.4 File Number(s) per the OSD Records Disposition Schedule.

4.7.5 Volume.

4.7.6 Classification.

4.7.7 Date created (Date of record(s) creation, not date of scanning). If date of record is not available, files will be named as follows “File Title – date of scanning YYYYMMDD – Office of Primary Responsibility” (ex: BDU Study UD Green vs Desert Tan Camo-20100505-ASD (M&RA) Office of Uniform Studies).

4.7.8 Access Restrictions, including national security considerations, donor restrictions, court orders, and other statutory or regulatory provisions, including Privacy Act and Freedom of Information Act (FOIA) exemptions.

4.7.9 Use Restrictions, including but not limited to copyright, trademark, service mark, donor, or statutory provisions, including Privacy Act and FOIA exemptions.

4.8 The contractor shall submit a report on any records that cannot be digitized due to condition or complexity of the media. The Contractor shall ensure that such records remain associated with the rest of the records in the original file.

4.9 The contractor shall conduct a Quality Control (QC) review on each scanned image and the metadata.

Additionally, a Contractor analyst shall conduct a QC of an additional random sample of 10% of each batch of digital images for file, image, and metadata quality and record completeness.

4.10 The contractor shall scan box inventory lists with the box’s folders. The Contract shall clearly delineate and maintain the chain of custody for every box of records.

4.11 The Contractor shall furnish and maintain all records conversion hardware and software.

4.11.1 The contractor shall test new and updated equipment/machines prior to the beginning of scanning and shall retain testing documentation, producing it to the Government upon request.

4.12 The Contractor shall deliver DVD(s) with all data collected during this project.

5.0 GENERAL INFORMATION

5.1 This is a non-personal services contract to provide Enterprise-wide Document Imaging Services. The Government shall not exercise any supervision or control over the Contractor’s employees. Contractor employees shall be accountable solely to the Contractor. The Government will neither supervise contractor employees nor control the method by which the contractor performs the required tasks, IAW FAR 37.104(d). Under no circumstances shall the Contractor perform tasks directly assigned by Government personnel or submit to work schedules prepared by Government personnel for individual contractor employees. The contractor shall manage its employees and guard against any actions that are of the nature of personal services, or give the perception of personal services. If the contractor feels that any actions constitute, or are perceived to constitute personal services, it shall be the contractor’s responsibility to notify the Contracting Officer immediately. These services shall not be used to perform work of a policy/decision making or management nature, or those that involve the exercise of Government discretion, i.e., inherently Governmental functions. All decisions relative to programs supported by the contractor shall be the sole responsibility of the Government.

5.2 Contracting Officer Representative (COR): The COR will be identified by separate letter. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions: ensure that the Contractor performs the technical requirements of the contract; perform inspections necessary in connection with contract performance; maintain written and oral communications with the Contractor concerning technical aspects of the contract; issue written interpretations of technical requirements, including Government requirements and specifications; monitor Contractor's performance and notify both the Contracting Officer (KO) and Contractor of any discrepancies or deficiencies; inspect and approve contract required deliverables; coordinate availability of government furnished property; and provide site entry for Contractor personnel. The COR is not authorized to change any of the terms and conditions of the contract.

6.0 DELIVERABLES

When the OPR has approved the digitized versions as meeting the standards identified in the PWS and received certification of completion of all quality control activities, the OPR may authorize the destruction of the original source records pursuant to General Records Schedule (GRS) 5.2 (intermediary records) or an agency-specific records schedule that addresses disposition after digitization, subject to any pending legal constraint, such as a litigation hold per 36 C.F.R. § 1236.32.

No hardcopy file reconstitution is required after OPR receives certification of completion of all quality control activities. The contractor will coordinate with OUSD (P&R)/DHRA Component Records Management Officer in regards to all paper records not authorized for destruction by OPR for disposition instructions.

Deliverable PWS Ref. Delivery Date Phase I: Operational Assessment Period Plan

4.1- 4.1.8 NLT fifteen (15) days after start of period of performance

Phase I: Final Operational Assessment Period Plan

4.1.4 NLT hundred (100) days after the

start of period of performance

Quality Control Plan 4.1.5 NLT twenty (20) days after the start of period of performance

Records Digitization Issues Report 4.8 NLT thirty days (30) before the end of the period of performance

Electronic Records DVD(s) 4.11 NLT ten days (10) before the end of the period of performance

Destruction Report(s) 6.0 NLT twenty (20) days after destruction

Travel Trip Report 9.2 NLT five (5) days after travel is completed

7.0 PERFORMANCE REQUIREMENTS SUMMARY

The Performance Requirements Summary is a list of critical tasks that must be performed by the Contractor, the performance threshold, and the method of surveillance the COR will use to validate/inspect these tasks. Inspection of each task will be documented in the COR folder.

Performance Requirements Summary Performance Objective PWS

Paragraph Performance Standard /Acceptable Quality Level

Method of Surveillance

Contractor Phase I Operational Assessment Period Plan

4.1 Prepare and submit monthly

status reports on time. Content of reports must be accurate and require no more than 2 revision per submission.

100% inspection

Submit Quality Control Plan

4.1.3 Develop and maintain a

comprehensive quality control program. The Contractor shall develop, implement, and maintain an effective quality control program to ensure services are performed in accordance with this PWS.

Periodic Inspection via Monthly Report, Random or Periodic Surveillance

Submit Electronic Records DVD(s)

4.12 Submit electronic records

DVD(s) in accordance PWS 4.12

100% inspection

Submit Trip/Travel Report

9.2 Prepare and submit trip/travel

report within 5 days of completion of travel. No more than one revision or omission will be considered for the travel receipts per trip.

100% inspection

Shipping Report 9.3 Prepare and submit shipping report. Ensure accuracy of information for transportation to scanning facility and return to Government facility

100% inspection

8.0 CONTRACTOR MANPOWER REPORTING

The contractor shall report ALL contractor labor hours (including subcontractor labor hours) required for performance of services provided under this contract for HQ DHRA and Directorates via a secure data collection site. The contractor is required to completely fill in all required data fields using the following web address:

http://www.ecmra.mil/. Reporting inputs will be for the labor executed during the period of performance during each Government fiscal year (FY), which runs October 1 through September 30. While inputs may be reported any time during the FY, all data shall be reported no later than October 31 of each calendar year, unless a later date is otherwise authorized by the Office of the Under Secretary of Defense (Personnel and Readiness). Contractors may direct questions to the help desk at help desk at http://www.ecmra.mil

9.0 TRAVEL AND TRANSPORT OF IMAGING WORKLOAD TO AND FROM CONTRACTOR SCANNING

FACILITY

9.1 The Records Scanning Support staff (up to two people) may be required to travel to Seaside/Monetary, CA;

Pensacola, FL; Orlando, FL; San Antoni, TX; and other OUSD P&R and DHRA Component sites as deemed http://www.ecmra.mil/ necessary to prepare and obtain records for scanning. Travel must be pre-approved by the COR at least 10 business days prior to the trip. Contractor costs for Government authorized travel are included in this contract. All travel shall be in accordance with FAR 31.205-46 and applicable travel regulations (Joint, Federal or Standardized). Contractor payment submissions shall include applicable documentation to support actual costs incurred (e.g. airfare and hotel/lodging receipts) as well as any receipts. Failure to provide appropriate documentation may result in loss of reimbursement of travel expenses. All costs shall be agreed to in advance and reimbursed on a cost basis upon receipt of the invoice in Wide Area Workflow and copies of receipts turned in to the COR. All air travel shall be booked on American flagged carriers, unless otherwise directed by the Contracting Officer. No General and Administrative charges or profit will be paid on these actual costs.

9.2 Travel Cost Estimates and Trip Reports. The Contractor shall present official business travel requests in the form of a Travel Cost Estimate (TCE) to the COR. The COR will approve dates of travel and purpose. Upon the COR approval, the Contractor may take the business trip. The Contractor shall prepare and deliver Trip Reports following each trip to the COR within five business days after each trip. Trip Reports shall include, as a minimum, the following details: name of individual traveling, destination, dates, cost, purpose of trip, participation of traveler, results of trip, and problems/issues, if any.

From:

City, State

To:

City, State # of Travelers # of Days

1 TBD Alexandria/Arlington, VA 4 15 2 TBD Seaside, California 3 5 3 TBD Orlando, Florida 2 3 4 TBD San Antonio, TX 2 3 5 TBD Pensacola, FL 2 3 6 TBD Alexandria/Arlington, VA 4 10 7 TBD Seaside, California 3 5 8 TBD Orlando, Florida 2 5 9 TBD Alexandria/Arlington, VA 4 10

10 TBD San Antonio, TX 2 5 11 TBD Pensacola, FL 2 5

9.3 Packing and Shipping Cost Estimates and Trip Reports. The Contractor shall prepare and ship all records to the Contractor facility. A small percentage of records may also be prepared by the Contractor for return to the OUSD (P&R)/DHRA Component, due to structural issues that prevent scanning or the presence of paper records not authorized for destruction. The Contractor must obtain the COR’s approval for all return shipments. Upon the COR’s approval, the Contractor may prepare and ship the records. The Contractor shall prepare and deliver Shipping Reports within five (5) days of the completion of each shipment. Shipping Reports shall include, as a minimum, the following details: name of individual who prepared the shipment, destination, total number of boxes shipped, tracking numbers, and problems/issues, if any.

10.0 SECURITY - The Contractor shall:

10.1 Establish appropriate administrative, technical, and physical safeguards to protect any and all nonpublic Government data to ensure the confidentiality, integrity, and availability of government data. The Contractor and all Contractor personnel with access to or responsibility for nonpublic Government data under this contract shall:

Travel Notes: Indicate purpose of Travel for each line number entry above 1-5 To implement /develop Phase I Operational Assessment Period

6-11 To prepare records for shipping to scanning facility for Phase II Scanning and Digitization

10.1.1 Comply with:

DoD Instruction (DoDI) 8500.1, Cybersecurity The Freedom of Information Act (5 U.S.C. 552) The Privacy Act (5 U.S.C. 552a) OMB Circular A-108, Federal Agency Responsibilities for Review, Reporting, and Publication Under the Privacy Act OMB Circular A-130, Managing Information as a Strategic Resource DoD 5400.07, DoD Freedom of Information Act (FOIA) Program DoD 5400.11-R, and DoD Directive 5400.11, DoD Privacy Program DoD Manual 5200.01, Volumes 1-3, DoD Information Security Program DoDI 5200.48, Controlled Unclassified Information DoDI 5015.2, DoD Records Management Program Administrative Instruction 15, OSD Records and Information Management Program OSD Records Disposition Schedules DoD 6025.18-R, DoD Health Information Privacy Regulation DoD 5200.2-R, Personnel Security Program HSPD-12, Homeland Security Presidential Directive.

DHRA Privacy Program Playbook

10.1.2 Ensure that contractor personnel with access to or responsibility for Government data under this contract comply with HSPD-12 Personal Identity Verification (PIV) issuance requirements, known as the Common Access Card (CAC) and:

10.1.2.1 Provide contractor personnel who are immediately CAC ready at the IT Level II prior to reporting for work.

At a minimum, all Contractor personnel must obtain/maintain a favorable Tier 3 investigation. This requirement is critical in order to access the data base systems within DHRA HQ and Directorates. The DHRA HQ Security Office or COR will notify the Contractor if security requirements change.

10.1.2.2 Be citizens of the United States.

10.2 Any Contractor personnel requiring a CAC are unable to obtain/maintain an adjudicated Tier 3 investigation, the Contractor shall immediately notify the COR, coordinate removal of such a person from work under this contract, and replace the individual with another employee with the appropriate level clearance, knowledge, skill and abilities (KSA) within two weeks.

10.3 Report immediately to the HQ DHRA Privacy Office and secondly to the COR discovery of any Privacy breach.

11.0 GOVERNMENT FURNISHED PROPERTY/EQUIPMENT/INFORMATION (GFP/GFE/GFI)

The Government will provide contractor personnel with government workspace for the preparation of records, as required, to include but not limited to the DEOC offices at 4800 Mark Center Drive in Alexandria, VA. On-site parking will not be provided.

12.0 PLACE OF PERFORMANCE

The work shall be performed at a contractor’s scanning facility. Contractor provided preparatory assistance of records shall occur in Government space/facility, to include but not limited to the DEOC offices at 4800 Mark Center Drive in Alexandria, VA. Contractor shall prepare all deliverables and other contract documentation utilizing contractor resources.

13.0 QUALITY CONTROL

The contractor shall implement and maintain a Quality Control Plan (QCP) to ensure work performed conforms to the scope of work and meets the requirements under this PWS. The QCP shall, at a minimum provide a method for performing inspections; identifying, correcting and preventing problems/defective service; addressing customer complaints, documenting percentage of errors that are allowable. A letter or certificate should be issued upon completion of all quality control activities confirming that the scanned images comply with the quality control plan.

14.0 QUALITY ASSURANCE

14.1 The Government reserves the right to perform inspections and surveillance to evaluate the Contractor’s compliance to the contract terms and performance of the requirements in the PWS. The Government will make every effort to ensure that the surveillance methods described in the Quality Assurance Surveillance Plan (QASP).

14.2 Contract Discrepancy Report (CDR). In the event of unsatisfactory contractor performance, the COR or CO will issue a CDR that will explain the circumstances and findings concerning the incomplete or unsatisfactory service. The contractor shall acknowledge receipt of the CDR and respond in writing as to how he/she shall correct the unacceptable performance and avoid a recurrence. The Government will review the contractor's corrective action response to determine acceptability and will use any completed CDR as part of an overall evaluation of Contractor performance when determining present or future contractual actions.

15.0 ORGANIZATIONAL CONFLICTS OF INTEREST

The Contractor acknowledges that it is familiar with Federal Acquisition Regulation (FAR) Subpart 9.5, Organizational and Consultant Conflicts of Interest, and agrees to avoid, neutralize or mitigate such conflicts of interest in accordance with the principles set forth in the FAR. If the performance requires the Contractor (to include subcontractors) to supply technical support related to requirements, systems or projects with which the Contractor is already directly concerned, either by prime or subcontract, the Contractor shall immediately inform the Contracting Officer. The PWS may be withdrawn if a conflict is found. The Contractor shall not undertake performance of any PWS requirements which requires it to supply technical support regarding such systems until the notice is given, and written consent to proceed is issued by the Contracting Officer.

1.0. INTRODUCTION.

1.1. The Government will evaluate all Proposals in accordance with the factors and criteria established in the Request for Proposal (RFP). The criteria provides the basis for evaluation that is established before receipt of the Proposal that ensures evaluations are structured while employing equitable measures. Proposals will be evaluated and a contract awarded under the Trade-off approach, to the responsible Offeror whose Proposal is considered the most advantageous to the Government, price and other factors considered. The lowest priced Proposal may not necessarily receive the award; likewise, the highest rated technical Proposal may not necessarily receive the award.

1.2. The Government intends to evaluate Proposals and make award without meaningful exchanges. However, the Government reserves the right to seek clarifications or to conduct meaningful exchanges with any or all offerors including to request additional technical or pricing information if it is determined to be in the best interest of the Government to do so. This method does not rely on FAR subpart 15.3. The use of this process does not obligate the Government to determine a competitive range, conduct communications with any

Enclosure 3: Evaluation Factors, Criteria, and Rating Methods Best Value Trade-off contractors, solicit proposals or revisions thereto, or use any other source selection techniques associated with FAR subpart 15.3. Therefore, Offerors are encouraged to submit their best proposal as their initial proposal.

1.3 Offerors are cautioned that “parroting” of the PWS with a statement of intent to perform does not reflect understanding of the requirement or capability to perform. Typographical errors are indicative of a lack of attention to detail and may result in a weakness noted against the Proposal.

2.0. EVALUATION FACTORS

2.1 Technical

2.1.1. The purpose of the technical factor is to assess the Offerors’ proposed approach, as detailed in its Proposal, to satisfy the Government’s requirements. The Offerors’ technical proposal shall demonstrate its understanding of the requirement outlined in the PWS, Enclosure 1, by providing the best technical approach addressing the technical elements.

There are many aspects that may affect an Offeror’s ability to meet the solicitation requirements to include technical approach, risk, management approach, personnel qualifications, facilities, and others. The evaluation of risk is related to the technical assessment.

2.1.2. Risk assesses the degree to which the Offeror’s proposed technical approach for the requirements of the solicitation may cause disruption of schedule, increased costs, degradation of performance, the need for increased Government oversight, or the likelihood of unsuccessful contract performance. Risk will be assessed as one aspect of the technical factor rating.

2.1.3. Any proposal receiving a rating of “Marginal” or “Unacceptable” is deemed to have a risk that is so high that award cannot be made against the Proposal and the Proposal will not be further evaluated.

2.2. Past Performance

2.2.1 The Past Performance Evaluation results in an assessment of the Offerors’ probability of meeting the solicitation requirements, based on past performance information. The Performance rating is assessed as an overall factor after evaluating aspects of the Offerors’ recent past performance, focusing on performance that is relevant to the technical factors and cost or price.

2.2.2 Recency refers to the state or quality of being current. The more recent the contract, the greater the likelihood that the offeror has the capacity to perform in a like manner. Information regarding contract performance that is recent and has a logical connection with the matter under consideration indicates relevancy.

2.2.3 The following areas will be considered by the Government in determining past performance relevancy (1) Similarity in services to this RFP’s requirements and experience providing services within a contractor operated facility, successfully supporting records management programs.

2.3. Price. The purpose of the price factor is to determine if the proposed price is fair and reasonable. In no event will the Government make an award against an offer that the Government does not find to be fair and reasonably priced.

3.0. EVALUATION FACTOR CRITERIA

3.1. Criteria for Technical Factor.

Element A: Technical Approach and Methodology Element B: Staffing Plan

Element C: Phase I Operational Assessment Period Plan Element D: Phase II Scanning and Digitization Plan

Element A: Technical Approach and Methodology:

1. Will be evaluated based on the degree to which it addresses Section 4.0 of the PWS. The offeror shall demonstrate its understanding of the requirement, including creativity and thoroughness shown by explaining the offeror’s assessment of the objectives to be accomplished and presenting the offeror’s methodologies for accomplishing the required performance, which must include how the offeror proposes to satisfy the performance requirements and planned execution of project.

2. Ability to address anticipated potential problem areas, and creativity and feasibility of solutions to problems and future integration of new processes and technology enhancements.

3. Evidence of specific methods and techniques for completing each discrete task, to include such items as quality assurance, and customer-service as detailed in the Quality Assurance Plan.

Element B: Staffing Plan: Will be evaluated based on the degree to which it demonstrates how its staffing plan supports its technical approach by providing labor categories, experience and skill level of proposed personnel, labor hours, and a crosswalk to the PWS requirements. The offeror shall demonstrate its capability to provide the appropriate staffing to accomplish the tasks in Sections 4.0 and 9.0 and of the PWS. Contractor shall also self-certify regarding the Demonstration Project requirement to employ a minimum 33% personnel who are severely disabled. This requirement is met when the vendor’s proposal clearly demonstrates how it will appropriately staff to meet these tasks on day one and through the duration of the contract.

Element C: Phase I Operational Assessment Period Plan: The vendor shall demonstrate its ability to effectively, provide resources and personnel for Phase I Operational Assessment Period plan onto this contract, and ensure full performance of Records Scanning Support Services on the required performance start date of the Contract. The offeror proposes a sound plan to address the needs of the workforce. The Phase I Operational Assessment Pperiod will be completed within four months120 calendar days from contract award. Contractor shall discuss the implementation of its initial Phase I Operational Assessment Period plan, including an itemized/detailed listing of specific transition or logistical activities to be accomplished with start/finish dates (timetables) and planned efforts to ensure a full assessment and inventory of OUSD(P&R)/DHRA’s paper records holdings are complete and scanning operations are up and fully operating on day one of contract start (following the four month120 day Phase I Operational Assessment period) for the first 20% of identified eligible records.

Element D: Phase II Scanning and Digitization Plan: The vendor shall demonstrate its ability to effectively and efficiently provide resources and personnel for Phase II for this contract and ensure full performance for scanning and digitization. The offeror proposes a sound plan to address the needs of the workforce. The contractor shall discuss the implementation of its Phase II Scanning and Digitization plan.

3.2. Criteria for Past Performance Factor

The Contractor will be evaluated on its ability to successfully carry out a contract of this nature by including a description of the timeliness and quality of services provided; a brief description of how the project(s) relate to this project; and how the success of the prior project(s) was determined. The Contractor shall include all relevant information regarding past projects, including contract number, value, description, and technical/contracting points of contact’s (POC’s) names, telephone numbers, agency and e-mail addresses.

Recency. To be recent, past performance efforts being submitted for evaluation must have occurred within the last five (5) years from the date of issuance of this solicitation.

Relevancy. The Government will evaluate offeror’s demonstrated ability to perform work of a similar, scope and, magnitude to this solicitation’s requirements. Accordingly, the proposal shall include a rationale on how each reference contract’s effort is similar to the magnitude and scope of the work required by this solicitation.

Magnitude is defined as providing services within a contractor operated facility, successfully supporting records management programs for organizations of similar size to this solicitation’s requirements.

In conducting the past performance evaluation, the Government may use data provided by the offeror and data obtained from any other source the Government considers current and accurate, including the Contractor Performance and Assessment Reporting System (CPARs). Offerors shall submit no more than three past performance references in accordance with Enclosure 4.

(f) Past performance will be reviewed for quality of performance and customer satisfaction based on information found in CPARS. Evaluation will be determined acceptable or unacceptable as follows:

Acceptable: Based on the vendor’s performance record, the government has a reasonable expectation that the offeror will successfully perform the required effort, or the vendor’s performance record is unknown.

Unacceptable: Based on the vendor’s performance record, the government does not have a reasonable expectation that the vendor will successfully perform the required effort.

The Government will evaluate the Offeror’s total proposed solution for completing the requirements as outlined in the PWS and attachments. Proposals will be evaluated to identify strengths, weaknesses and deficiencies of non-price factors. These ratings will be used to assign an adjectival rating to each Offeror’s proposal.

3.0. Criteria for Price Factor. Proposed price will be reviewed to determine if the price is…