Performance Work Statement - Records Management.pdf

SECTION 1 - PERFORMANCE WORK STATEMENT

1.1 BACKGROUND

The US Access Board is an independent Federal agency devoted to accessibility for people with disabilities. Created in 1973 to ensure access to federally funded facilities, the Board is not a leading source of information on accessible design. The Board develops and maintains design criteria for the built environment, transit vehicles, telecommunications equipment, and for electronic and information technology. It also provides technical assistance and training on these specific requirements and on general accessible design. Furthermore, the Board continues to enforce accessibility standards that cover federal funded facilities.

The Access Board is structured to function as a coordinating body among Federal agencies and to directly represent the public, particularly people with disabilities. The Board consists of twenty-five members: twelve are representatives from most of the Federal departments and the other thirteen are members of the public appointed by the President, a majority of whom must have a disability. The work of the Access Board is supported by approximately twenty-eight (28) civil servants. Currently no staff is dedicated full time to support records management functions. The Access Board depends on contractor support for records management functions for the proposed performance period and to comply with the NARA M-19-21 mandate.

1.2 CURRENT INFORMATION TECHNOLOGY ENVIRONMENT

The Access Board currently owns, operates and maintains 31 desktop computers with Windows operating system, Office 365 E5 plan including MS-Word, MS-Excel, MS- Outlook, and Internet Explorer. The Access Board platform also includes MS SQL server; SharePoint Services; and, Joomla! Web server. All electronic and information technology developed and/or purchased for the Access Board under this task order shall comply with Section 508 of the Rehabilitation Act of 1972 (as amended).

The Access Board is responsible for complying with the National Archives and Office of Management and Budget M-19-21 Transition to Electronic Records Directive by managing and preserving electronic records to provide adequate and proper documentation of its organization, functions, policy decisions, procedures, and essential transactions. The Access Board relies on its hosted Electronic Records Management System (ERMS) designed by Feith Systems. The System is currently hosted in the Amazon cloud. The Feith system utilizes a proprietary product, BridgeLogiQ which includes the ERMS iQ and Mail iQ solutions that provide the capability to manage the agency’s electronic, physical, and vital records. The Access Board has developed a SharePoint portal for the collaboration and storage of its agency records that are sync’d to the Feith ERMS for the preservation and disposition of its agency records.

1.3 APPROACH

The Access Board will award for continuing support of records and information management services as outlined in Section 1.3 Requirements.

The Contractor shall provide continuing support of agency-wide records and information management program assessment, implementation, services and support for the Access Board. The Contractor shall also offer consulting and supplemental personnel to guide and assist the Access Board personnel with records and information management responsibilities, the purpose of which is to achieve efficiency and consistency in approach across all elements in the Access Board offices and facilities. The Contractor shall provide continuing support to the oversight of the Electronic Records Management System utilizing Feith BridgeLogiQ , which includes the ERMS iQ and Mail iQ solutions for the Access Board’s electronic records. The Contractor shall assist Access Board personnel with the categorization of agency records to the appropriate subject metadata within the Access Boards SharePoint site. The Contractor shall provide internal audits and oversight to the Access Board’s records metadata in coordination within the SharePoint portal and the Feith Electronic Records Management System (ERMS) via reporting mechanisms to ensure autocategorization and synching from the SharePoint working environment to the Feith ERMS records archive environment. The Contractor shall provide the Access Board with records file plan and metadata documentation and records documentation for the Access Board records program.

1.4 REQUIREMENTS

The Contractor shall:

• Support the Access Board in meeting their records management objectives as outlined in M-19-21 Transition to Electronic Records Directive. The contractor shall provide records management services to the Access Board’s Records Officer and Chief Information Officer to meet the M-19-21 memorandum to manage electronically all Access Board records for the eventual transfer to National Archives (NARA)

• Provide personnel who have experience to assist the Access Board Records Officer to comply with the M-19-21 Presidential Memorandum.

• Support the Access Board with National Archives and Records Administration (NARA) reporting requirements to include the Senior Agency Official, Federal Electronic and Email Reporting, and Records Management Self-Assessment annual reports. This also includes any additional NARA reporting that is a result of the M-19-21 Presidential Memorandum.

• Support government staff with effective development, implementation, and maintenance of records management practices, schedules, and systems, to include records retention, inventorying, classification, and protection.

• Consult and work with agency officials to appraise new Federal records and review and update retention/disposition schedules and the associated File Plan.

The majority of the information to be reviewed will be electronic.

• Have a thorough knowledge and experience with the Feith RMA Tool Suite including but not limited to: RMA Mail iQ, FeithDrive, Disposition Center, Auto Categorizer, File Plans. The knowledge and experience using this Tool suite is paramount for the Access Board to meet the M-19-21 managing electronic records by December 31, 2019.

• Provide hands-on support managing the records file plan meta data cross walk and look up tables for the Access Board Records Officer as the agency moves forward with utilizing their SharePoint site to identify the appropriate subject areas that will auto-categorize agency records into the Records Management Application

(RMA).

• Provide continuing records file plan guidance, and oversight for changing records metadata and implementation of the Access Board’s Electronic Records Management System (ERMS), this support includes the following:

Annual review and continued oversight to the keyword metadata search criteria and email addresses with the ERMS Mail iQ application.

Assist with the review and disposition of Access Board emails within the

ERMS Mail iQ application.

Continues oversight of the metadata auto-categorization via reports provided by the ERMS to ensure that agency records within the SharePoint site are being categorized accordingly based on the Access Board File Plan.

Perform a quarterly review of records eligible for disposition within the ERMS and Mail iQ applications and initiate all steps needed in order to complete the disposition of the temporary and permanent records that are eligible for disposition.

• Review and identify electronic legacy records within the agency IT infrastructure for disposition, specifically permanent records that are 30+ years old. Perform internal audit of the legacy records migration into the SharePoint portal and the Feith production RMA to ensure all electronic records have been assigned the appropriate subject area metadata.

• Facilitate effective and efficient handling of records and other information and assure compliance with federal and agency record keeping requirements policies, procedures, and practices.

• Review and update the agency’s Records Management Handbook to include the incorporation of rules for applying the appropriate subject area metadata within the SharePoint portal that will sync to the appropriate records category within the

ERMS.

• Perform records disposition to assist NARA with meeting their strategic goals to have all paper records transferred by 2022.

• Perform annual review and reconcile the inventory of agency electronic and paper records.

• Develop and provide assistance with all staff hands-on records management training as required. This effort includes:

Annual Records Management Training Email and Electronic Records Training Individual Office Specific Training

• Review and update records management policies (i.e., electronic records, email and vital records) and standardize practices for filing, protecting, and retrieving records, reports and other information contained on any media in accordance with agency and federal policies and requirements.

The underlying goal is to continue to align agency records management practices and ensure retention schedules that comply with NARA policies to include electronic records regulations 36 C.F.R. 1236 Electronic Records Management and the Department of Defense (DoD) 5015.2-STD, Design Criteria Standard for Electronic Records Management

1.5 PLACES OF PERFORMANCE/GOVERNMENT FURNISHED

PROPERTY

Work shall be performed at the Access Board offices at 1331 F St., NW, Washington DC, or at the Contractor’s facilities, or remotely, as appropriate. Due to constraints on physical space at the Access Board offices, only limited workspace is available for Contractor personnel to occupy on a long-term basis. Access Board will provide Government furnished equipment or service to the extend necessary for the contractor to carry out the requirements of this task order.

1.6 CONTRACTOR FURNISHED EQUIPMENT

The Contractor shall not be required to furnish their own electronic and information technology equipment, due to the need to have access to the Board’s shared drives and use of the RMA.

1.7 PERIOD OF PERFORMANCE

The period of performance for this task order is:

Base Year: September 9, 2020 – September 8, 2021 Option Year I: September 9, 2021 – September 8, 2022 Option Year II: September 9, 2022– September 8, 2023

1.8 LEVEL OF EFFORT

It is anticipated that Contractor staff shall work 8 hours per week NTE 32 hours per month for the base contract year and all option years.

Period Period-of- Performance (PoP) Labor Required

Total Labor Hour estimate per Year

Base Year 9/9/2020 – 9/8/2021 8 hours per week for 12 months; NTE 32 hours per month

Option Year I 9/9/2021 – 9/8/2022 8 hours per week for 12 months

Option Year II 9/9/2022 – 9/8/2023 8 hours per week for 12 months

1.8.1 OPTIONAL HOURS

The Federal Government reserves the right to modify the hours and level of effort in the base and option years to increase from 8 to 16 hours per week. This option will include unanticipated contractor hours necessary to provide support for compliance with M-19-21 or other NARA directives and to include but not limited to Controlled Unclassified Information (CUI), Digitalizing and scanning permanent records and management of the Access Board’s Electronic Records Management System (Feith).

1.9 SECURITY REQUIREMENTS

The Contractor shall comply with all Federal laws and regulations regarding computer security, information security and privacy. The Contractor and its employees shall exercise the utmost discretion in regard to all matters relating to their duties and functions, and in the safeguarding of pre-decisional or sensitive information (privacy, etc.) from inadvertent release.

In response to HSPD-12, the Federal Government has initiated a new program for improving the identification and authentication of Federal Contractors for access to Federal facilities and information systems. All Contractors shall comply with the HSPD- 12 requirements as they are implemented or changed. Contractor, sub-contractor, and support personnel shall be subject to the current personnel security requirements of the Government. Those not possessing the necessary Security Investigation are subject to a security screening, background investigation and completion of the PIV (Personal Identify Verification) process according to the Federal Information Processing Standards 201.

1.10 DELIVERABLES

The Contractor shall be responsible for providing qualified personnel who have current and relevant knowledge of and experience with records management and excellent communication skills (written and oral). All documents developed under this contract shall be the property of the Government. Contractor personnel shall provide assistance in developing policy however, they are not the decision makers on any action or task given, and final decision making shall rest with the Government. Contractor personnel shall have a thorough knowledge of the Feith RMA software Tool Suite to provide continuous development towards the Feith RMA production portal to meet the M-12-18 Managing Government Records Directive compliance December 31, 2019. All products and other deliverables shall be delivered within the time frame established at the time of assignment. The Government has unlimited rights to all deliverables on this contract.

There shall be no license or user fees associated with the deliverables under this contract.

Before final submission, all deliverables must be reviewed and approved by the Access Board. In addition to the review of deliverables, monthly activity reports shall be submitted to the Records Officer in a format prescribed by the Access Board. All tasks and products must be consistent with NARA and Access Board records and information management policies and procedures and shall be in one of the following formats (Microsoft Word, Excel or Adobe Acrobat (.doc, .docx, .xls, .xlsx or .pdf formats only)).

All files shall be preserved in the RMA until they have reached the end of their life cycle and are eligible for transfer to NARA. All work products are the property of the Government.

Deliverable Due Date Develop, implement and maintain records management Monthly Federal Records review and updates Monthly Update Records Management Handbook Quarterly Administer off-site records storage and reconcile inventories Yearly Provide hands-on records management training Yearly

1.12 ACCESSIBILITY REQUIREMENTS

Section 508 must be considered as a requirement on the delivered Electronic Documents.

Technical requirements 1194.22 Web-based Internet and Intranet Applications and Information, as well as the Functional Performance Criteria detailed in 1194.31 apply to these deliverables. Solicitation respondents must describe how their proposed delivered Electronic Documents will meet at least those requirements identified in the attached Government Product/Service Accessibility Template (GPAT).

Electronic documents delivered must also be made available in alternate formats upon request, including formats compatible with assistive technology at no additional charge.

Solicitation respondents must describe how their Electronic Document deliverables meet this requirement in addition to those identified in the attached Government Product/Service Accessibility Template (GPAT).

1.13 KEY PERSONNEL

All services under this task order are to be performed by competent personnel experienced and highly qualified to perform under this award and in accordance with best practices. The Contractor shall provide all necessary personnel, administrative, financial, and managerial resources necessary for the support of this task order. The Contractor shall designate a single point of contact (POC) for Access Board communication. This person shall have the authority to make decisions for and commit the Contractor's organization in response to Access Board issues, concerns or problems. Although Access Board staff may coordinate with other Contractor staff, this POC shall serve as the single Contractor representative responsible for responding to and resolving all issues, concerns, and problems; as well as being proactive in alerting the Access Board to potential issues. The Contractor shall provide supervisory management and leadership to ensure quality deliverables and timely execution of assigned tasks.

1.13.1 The key personnel shall be identified on the contract.

1.13.2 The individuals named above shall work as critical or senior-level staff with the Government on this Task Order. For planned key personnel replacements, the Contractor shall provide the Government with a minimum of 30 calendar days advance notice. Substitutions or additions to approved key personnel under this task order shall not be accepted unless specifically approved in writing by the Contracting Officer (CO) and the Contracting Officer 's Representative (COR).

Any substitutions and/or additions shall be subject to the terms and conditions of this clause.

1.13.3 All notification requests for substitutions and additions shall provide a justification and detailed explanation of the circumstances necessitating the proposed substitution or addition, a complete resume for the proposed substitute or addition, and any other information requested by the Contracting Officer needed to approve or disapprove the request. Resumes submitted shall identify the education and experience of the Key Personnel candidate(s) relative to the Task Order position and labor category level proposed, experience, education, and citizenship status. All proposed substitutes and additions shall have qualifications equal to or better than the person to be replaced.

1.13.4 The CO, with input from the COR, will evaluate such requests and promptly notify the Contractor of the approval or disapproval thereof.

1.14 QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

The Government considers the successful outcome of this project to be delivery of the required records system in a manner that meets the Board's project objectives outlined in Section 1.2 of this PWS, and the functional and performance requirements laid out below. Additionally, the COR will evaluate the Contractor's project performance relative to meeting the project's schedule, deliverables quality, and timeliness standards. The Contractor has an incentive to meet and/or exceed these standards in order to obtain a favorable Contractor evaluation.

The Contractor shall establish and maintain a complete Quality Control Plan (QCP) to ensure that the requirements of the task order are provided as specified.

The QCP shall describe the methods for identifying and preventing problems before the level of performance becomes unacceptable.

1.15 QASP TABLE

Task/Deliverables Evaluation

Date Performance Standard/Acceptable Quality Level (AQL)

Incentives/Disincentives

Develop, implement, and maintenance of r·ecords management Per Section 1.4

Monthly Reports will describe activities carried out in the previous month, rational consequence and expectations.

The acceptable quality level for the requirements will be based upon no more than one report may be late during the yearly period.

If Contractor achieves requirements in accordance with performance standard/AQL, favorable comments will be documented on Contractor's Pas Performance.

If Contractor does not perform requirements in accordance with performance standard/AQL, unfavorable comments will be documented on Contractor's Past Performance.

Federal Records review and updates

Monthly Updates will address all activity to date and · specify any changes required.

The acceptable quality level for the requirements will be based upon 100% inspection of the Update

If Contractor achieves requirements in accordance with performance standard/AQL, favorable comments will be documented on Contractor's Pas Performance.

If Contractor does not perform requirements in accordance with performance standard/AQL, unfavorable comments will be documented on Contractor's Past Performance.

Update Records Management Handbook

Quarterly Updates will address all activity to date and specify any changes required.

The acceptable quality level for the requirements will be based upon 100% inspection of the update

If Contractor achieves requirements in accordance with performance standard/AQL, favorable comments will be documented on Contractor's Pas Performance.

If Contractor does not perform requirements in accordance with performance standard/AQL, unfavorable comments will be documented

Task/Deliverables Evaluation Date

Performance Standard/Acceptable Quality Level (AQL)

Incentives/Disincentives on Contractor's Past Performance.

Administer off-site records storage and reconcile inventories.

Yearly Updates will address all activity to date and specify any changes required.

The acceptable quality level for the requirements will be based upon 100% inspection of the update

If Contractor achieves requirements in accordance with performance standard/AQL, favorable comments will be documented on Contractor's Pas Performance.

If Contractor does not perform requirements in accordance with performance standard/AQL, unfavorable comments will be documented on Contractor's Past Performance.

Provide hands-on records management training

Yearly Training will address all areas of records management.

The acceptable quality level for the requirements will be based upon 100% evaluation of training.

If Contractor achieves requirements in accordance with performance standard/AQL, favorable comments will be documented on Contractor's Pas Performance.

If Contractor does not perform requirements in accordance with performance standard/AQL, unfavorable comments will be documented on Contractor's Past Performance.