RFI_Secure Document Destruction Services ().pdf

88310324RFI0004 – Secure Document Destruction Services

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

REQUEST FOR INFORMATION

Secure Document Destruction Services

88310324RFI0004

1.0 Introduction

The National Archives and Records Administration (NARA) is an independent Federal agency that helps safeguard and preserve our nation's history by overseeing the management of all

Federal records. The stories of our nation and our people are told in the records and artifacts cared for in NARA facilities around the country and people can discover, use, and learn from this documentary heritage. The mission is to ensure ready access to the essential evidence that documents the rights of American citizens, the actions of Federal officials, and the national experience.

NARA issues this Request for Information (RFI) package to obtain information about contractors that can provide Secure Document Destruction services for NARA’s Records Centers located across the United States.

This RFI is intended strictly for market research. It is issued for information and planning purposes only and does not constitute a solicitation. Potential solutions presented may or may not lead to a solicitation. Any decision to proceed with a solicitation would be based, in part, on available funding.

2.0 Description/Objective

Reference Attachment 1, draft Performance Work Statement (PWS)

3.0 Response Instructions

3.1 Content

Briefly describe your company, products and services, history, ownership, financial information, and other information you deem relevant. Include any appropriate copyrighted, patented, trademark, or sensitive information markings and provide points of contact, company address, phone/fax number, email, website, and business size and type (i.e. large business, small business, small, disadvantaged business, HUBZone small business, woman-owned small business, service-disabled, veteran-owned small business).

You are encouraged to provide comments on the Secure Document Destruction services acquisition approach. Discuss your willingness to engage in a long-term agreement (i.e. Base

Year plus (4) Option Years. Furthermore, please include substantive responses to the following questions:

1. Address any experience you may have providing secure document destruction services to the Government. If applicable, provide details of at least three (3) past engagements occurring within five (5) years of issuance of this RFI.

2. Describe your logistical approach to serving NARA’s locations. Explain your capabilities to deploy resources and sustain a solution to meet NARA’s performance requirements.

3. Provide feedback on our requirements. Specifically, provide comments on potential constraints or risks you think NARA may face if it implements a nationwide or regional solution.

4. What tools and metrics do you use to measure performance?

5. Describe your security program.

3.2 Format

RFI responses are limited to a total of 10 pages and must be in Microsoft Word format. Page size must be 8.5” x 11", font must be 12 point or larger, and margins must be at least 1".

Supplemental product brochures or marketing materials outlining specifications and capabilities may also be submitted and will not be counted in the overall page count limits.

3.3 Due Date

Each RFI response should be e-mailed to the Points of Contact listed below. The subject of the email should be "Secure Document Destruction Services RFI Response 88310324RFI0004”

Responses to this RFI should be received by 4:00 PM ET on June 3, 2024. Responses submitted after this date and time will not be accepted. Firms submitting responses via e-mail are cautioned to allow one extra business day for delivery and confirm receipt of response as the e-mail will need to pass through IT security.

3.4 Questions

Questions regarding this RFI shall be submitted in writing via email to the Points of Contact listed below by 4:00 PM ET on May 9, 2024. Verbal questions will not be accepted.

4.0 Disclaimer

This RFI is issued for information and planning purposes only and does not constitute a solicitation. The Government does not intend to award a contract on the basis of this RFI or to otherwise pay for information received in response to this RFI. All information received in response to this RFI that is marked “Proprietary” will be handled accordingly. Responses to the

RFI will not be returned. Information provided in response to this RFI will be used to assess tradeoffs and alternatives available for determining how to proceed in the acquisition process and may lead to the development of a work statement. Responders are solely responsible for all expenses associated with responding to this RFI.

5.0 Industry Engagement

NARA may choose to engage with responders. However, such engagement is intended to clarify aspects of the response.

6.0 Points of Contact

Tyrell Jenkins, Contract Specialist (Contractor) sellers.jenkins@nara.gov

Shobana Vengadasami, Contract Specialist (Contractor) shobana.vengadasami@nara.gov

ATTACHMENT 1

DRAFT PERFORMANCE WORK STATEMENT (PWS)

1.0 BACKGROUND

1.1 The United States Code (44 U.S.C. §2907) provides for the establishment, operation, and maintenance of records centers by the National Archives and Records Administration (NARA) for Federal agencies. NARA Records Centers are authorized to store records of Federal agencies that are properly covered by a NARA-approved records disposition schedule or the General

Records Schedule. The records disposition schedule provides for either the accessioning of permanent records into the National Archives or the destruction of temporary records after a specified period or occurrence of an event. The sensitive confidential nature of many of the records requires that the destruction process be secure and thorough to ensure against public dissemination of any of the data in the records.

1.2 The NARA Records Centers have an ongoing need for the destruction of stored paper and cardboard that is no longer viable for record keeping purposes. The Records Centers require a smooth, continual process of shipping and destruction to create space for the new annual accessions that are received from various agencies. To facilitate the process, the Government desires to create a no-cost contract for the shipping, storage, and destruction of the stored records while receiving revenue for part of the recycled paper's value, at the higher of the two quoted prices for "mixed paper" in the Pulp and Paper Week (PPW) for either the New York or Chicago markets (as indicated in the solicitation and contract). This is intended as a no cost to the

Government revenue generating award.

1.3 This PWS allows for a Contractor to provide the destruction services by any of these methods (shredding, pulping) provided the Contractor can fulfill the requirements of the PWS.

1.4 The nature of the material to be destroyed comes in two basic varieties: 1) Government-witnessed material (which must be destroyed in the presence of a Government official in order to ensure maximum protection from disclosure); and 2) Contractor-witnessed material (which requires that the Contractor provide a certified document to the Government, verifying that the destruction of the material was witnessed by the Contractor’s management staff). These classifications, as briefly noted above, require different procedures for shipping, storage, and destruction. It is imperative that the requisite safeguards are followed.

2.0 SCOPE OF WORK

2.1 The Contractor shall provide all labor, personnel, equipment, supplies, secured vehicles (as required), materials, supervision, and other related services necessary to provide off-site secure document destruction services for the Records Center(s) located below:

2.1.1. Federal Records Facilities or Centers. Vendor shall provide to NARA no cost to NARA transportation from this location:

• Boston Federal Records Center (FRC) located in Waltham, MA

• Philadelphia Federal Records Center (FRC) located in Philadelphia, PA

• Washington National Records Center (NRC) located in Suitland, MD

• Atlanta Federal Records Center (FRC) located in Ellenwood, GA

• Kingsridge Federal Records Center (FRC) located in Miamisburg, OH

• Dayton Federal Records Center (FRC) located in Moraine, OH

• Chicago Federal Records Center (FRC) located in Chicago, IL

• National Personnel Records Center (NPRC), Civilian, located in Valmeyer, IL

• National Personnel Records Center, (NPRC), Military, located in Spanish Lake, MO

• Lee’s Summit Federal Records Center (FRC) located in Lee’s Summit, MO

• Kansas City Federal Records Center (FRC) located in Kansas City, MO

• Lenexa Federal Records Center (FRC) located in Lenexa, MO

• Ft. Worth Federal Records Center (FRC) located in Ft. Worth, TX

• Denver Federal Records Center (FRC) located in Denver, CO

• Riverside Federal Records Center (FRC) located in Perris, CA

• Seattle Federal Records Center (FRC) located in Seattle, WA

• San Bruno Federal Records Center (FRC) located in San Bruno, CA

2.1.2 NARA FRC Hours of Operations for Scheduling Trailers at the Centers:

Days: Monday through Friday (except Federal Holidays)

Hours: TBD by location

2.2 The Records Centers Program requires destruction of Federal Records and the Contractor to securely process and destroy Federal Records hereafter referred to as “secure paper or printed media” that are ready for destruction. The Records Centers may have paper or printed media varying in quality and quantity. The Contractor shall take all appropriate measures to prevent unauthorized disclosure of protected information. Every Contractor employee must be aware of the information that must be protected and the methods that will be used in its destruction.

NARA shall have the right to send its officers, employees, and customers (including the Internal

Revenue Service and/or any other Federal agency whose records are being processed) to inspect the offices and plants of work under this contract prior to award and at any time during the performance of the work under this agreement. Because of such inspection, specific remedial measures may be required in cases where the Contractor is found to be non-compliant with contract safeguards.

2.3 All IRS data and records, including Federal Taxpayer Information (FTI) which is categorized as Controlled Unclassified Information (CUI), are sensitive and confidential. All data and records are sensitive and confidential. These documents must be safeguarded to prevent the occurrence of any unauthorized inspections and/or disclosures of the data and records. All secure paper or printed media to be destroyed under this contract are to be treated as CUI and must be safeguarded as such.

2.4 Estimated quantity. The disposal qualities in this contract are estimates only and may vary significantly due to various regulatory causes. Due to these unforeseen factors, quantities may vary by as much as 200-300% or more. No minimum quantity is guaranteed.

2.5 Transport of Secure Paper or Printed Media. Transportation to the Contractor’s primary processing location shall be accomplished by the Contractor:

2.5.1 Contractor Provided Transportation to Contractor Facility. This is Contractor provided transportation and shall conform with PWS paragraph 3.3 below.

2.5.2 NARA Transportation to Contractor Facility. This is NARA direct contracted transportation (NARA funded Bills of Lading (BOL)), and the material is delivered directly to the Contractor processing facility. This is accomplished at no cost to the Contractor.

2.5.3 Transshipping between NARA FRCs. NARA may, based on agency need, transship secure paper or printed media from other NARA FRC locations to the site detailed in PWS paragraph 2.1.1 (at NARA expense) and the secure paper or printed media may subsequently be disposed under this contract using the transportation methods in PWS paragraph 2.5.1 or 2.5.2.

2.6 All contracted processing and destruction services shall be performed at Contractor or

Subcontractor owned facilities. Mobile destruction services are prohibited.

2.7 Applicability of National Association of Information Destruction (NAID®)

Requirements. NARA has adopted numerous best industry practices into this PWS for secure paper or printed media destruction and these are identified by paragraph citation throughout the

PWS. The paragraphs shown as follows in the PWS (NAID® paragraph X.X) where the “X.X” is the relevant numbered paragraph. A NAID AAA® certification certificate is not required;

however, a current NAID AAA® Certificate for secure paper or printed media destruction is evidence of compliance with the indicated paragraph requirements. NAID AAA® certification definitions and procedures are available online at https://naidonline.org.

2.8 Definitions. The below listed definitions are quoted from the NAID® Certification Program and are the applicable definitions for the terms used throughout this work statement.

2.8.1 ACCESS INDIVIDUALS – Individuals who have access to, or who can grant or authorize access to the Confidential Customer Media/(Confidential Government Information) to be destroyed at the Company’s location, including but not limited to 1) employees, 2) agents of

“Subcontractors” as defined herein, or 3) others providing any type of services to the applicant company that allows access to any area in which Confidential Customer Media/(Confidential

Government Information) is accessible. For NAID® Certification, Access Individuals also include officers, directors, owners, partners of the company or other individuals who have access to, can grant access to, or authorize access to the Confidential Customer Media/(Confidential

Government Information) to be destroyed at the Applicant Company’s location. (NARA

Definition: For use in this PWS, within the NAID definition for ACCESS INDIVIDUALS

NARA defines “access employees” as follows – Contractor Employees who have access to, or who can grant or authorize access to the Confidential Customer Media/(Confidential

Government Information) to be destroyed at the Company’s location, but excludes employees of subcontractor companies (mills or transportation).

2.8.2 ACCESS NON-EMPLOYEES – Access Individuals who are not employees. This subset of

Access Individuals is distinctly identified because of background screening requirements that apply to this category.

2.8.3 NON-ACCESS EMPLOYEES – Employees of the Company who are restricted from access to secure destruction areas and other areas where Confidential Customer Media/

(Confidential Government Information) is accessible or who have not been through or cannot be fully vetted for the NAID® Certification employee screening requirements. These employees must be accompanied, supervised, or escorted by an Access Employee at all times when in presence of Confidential Customer Media/(Confidential Government Information) to be destroyed. Also see Visitors.

2.8.4 PAPER OR PRINTED MEDIA – Information printed on paper or other material that can be read by the naked eye without the assistance of a special device, such as documents, ID badges, credit/debit cards and photos.

2.8.5 SUBCONTRACTOR - Any entity the Company uses to provide services that are an integral part of the Company’s destruction service program and whose employees or agents have access to Confidential Customer Media/(Confidential Government Information) to be destroyed.

Examples include providers of temporary staffing, transportation, etc.

2.8.6 VISITORS - All individuals who may enter the secure destruction area/facility or enter an area/facility with Confidential Customer Media/(Confidential Government Information) for destruction and who are 1) not employed by the Company, 2) working as (or for) an independent contractor for the Company, 3) otherwise providing services for compensation to the Company, &/or 4) employees from another division or Company location who have not met all of the

NAID® Certification Employee Screening requirements and are not wearing a Photo ID badge, are considered Visitors. All Visitors must sign a Visitor log maintained by the Company, be provided a Visitor badge and be escorted or under the supervision of an Access Individual at all times while in the secure destruction building or area with Confidential Customer

Media/(Confidential Government Information) for destruction. This includes, but is not limited to, current or prospective clients, service providers such as vending machine distributors, mechanics or technicians, or employees as noted above.

3.0 SECURE DOCUMENT DESTRUCTION AND RECYCLE SERVICES

3.1. Secure Paper or Printed Media Description

3.1.1 Annual Estimate of Volume and Weight [Average weight – 30 pounds per box]. The material is mixed paper and categorized as Controlled Unclassified Information (CUI). The age of the paper may date from the 1940s to the present day. Disposal falls into the following categories.

3.1.2 Vacant

3.1.3 Contractor Witnessed Material.

3.1.4 Government Witnessed Disposal.

3.1.5 Special disposal projects generating large amounts of material will be coordinated with the

Contractor.

3.1.6 Secure paper or printed media will be palletized by NARA in the original boxes or deposited in special containers/cardboard type boxes. Cardboard may be used on top of the top level to cover the open ends of boxes. The average weight of a box of records is calculated at

(30) pounds per box.

3.1.7 Paper Quality. The secure paper or printed media is described as “mixed paper."

However, NARA does not guarantee the quality of the paper.

3.2 NARA Provided Transportation to Contractor Primary Processing Facility

Requirements.

NARA’s intent is that this will be a no cost contract. As some Contractor locations may be very far from the NARA FRC/NRC/NPRC, transportation is provided by NARA funded and procured transportation directly to the Contractor’s disposal location. In these cases, NARA is responsible for security until the trailer enters the Contactor’s security perimeter at the Contractor’s primary disposal facility. NARA will obtain clearance from the Contactor prior to shipping to the contractor’s facility. NARA will provide the Contactor the following:

3.2.1 NARA will plan to limit deliveries to the following:

3.2.1.1 Contractor normal operating hours.

3.2.1.2 Contractor shall be able to receive a minimum of two (2) trailers per day, but the minimum may increase based upon the Contractor’s ability to ingest trailers. The maximum number of trailers to be delivered to the Contractor’s location in a day is ____________.

3.2.1.3 Obtain pre-clearance from Contractor’s logistics manager before dispatching load.

3.2.1.4 NARA will provide a NARA shipping POC to coordinate will transportation with the

Contractor which will include the notifications as follows:

3.2.1.5 When delivery is planned.

3.2.1.6 When the truck is booked.

3.2.1.7 Carrier name.

3.2.1.8 Origin of the load (which NARA site).

3.2.1.9 List of all loads scheduled for each day.

3.2.1.10 Minimum 48-hour notice of arrival of trailer loads.

3.2.1.11 Provide scanned and emailed copy of the BOL on departure from the NARA location.

3.2.1.12 The Contractor shall receive the material at its disposal location at the designated time and:

3.2.1.13 Visually inspect the load for signs of tampering or unauthorized entry and report to the

NARA COR any discrepancies.

3.2.1.14 Remove the cable seal by cutting.

3.2.1.15 Remove the padlock.

YBean Cross-Out

3.2.1.16 Return the seal and padlock to the shipping location as listed on the BOL.

3.3 Contractor Provided Transportation Requirements.

Contractor provided transportation from NARA FRC/NRC/NPRC to Contractor primary processing facility and transportation from Contractor primary processing facility or when

Contractor transports shredded material to a final destruction facility these requirements below apply:

3.3.1 Contractor provided transportation from NARA FRC/NRC/NPRC to Contractor primary processing facility.

3.3.1.1 Boxes of disposable records will be secured to Contractor-provided pallets by NARA personnel using plastic shrink-wrap and/or non-metal banding. The Contractor shall deliver pallets within 72 hours of a request placed by NARA. The Contractor shall provide pallets in quantities sufficient to provide at least one (1) week of continuous palletizing without re-supply, normally 75 – 100 pallets. Pallets must be in good repair and capable of supporting a full load of records.

3.3.1.2 NARA personnel will load full pallets inside Contractor furnished trailers to full visible capacity (1200 cubic feet on average) with an electric forklift or pallet-jack. NARA personnel will secure pallets and boxes to prevent boxes from opening and spilling. Contract and

Subcontractor drivers shall speak and read English to facilitate communication between the driver and NARA dock staff as well as ensure that the driver can fill out and verify shipment documentation.

3.3.1.3 The Contractor shall provide empty tractor-trailer trucks at the Records Center facility, on dates agreed upon between the Records Center and the Contractor, for the removal of secure paper or printed media. The Records Center will provide a minimum 48-hour advance notice to schedule Contractor trucks at the NARA facility. Orders for trucks placed after 12:00 noon

(local) shall be computed as placed the next business day. The Contractor shall provide the COR with a trailer number and the name of the driver before the truck arrives at the Records Center.

The Contractor shall wait for the truck to be loaded (approximately 1 hour or less) and promptly remove it once loading is complete. The peak time of the year is November through June. No minimum number of trailers per week is guaranteed. The Contractor may inspect the location to identify specific limitations and requirements of dock and storage space. A typical load will consist of 24 pallets on 53-foot trailers. The Contractor shall ensure that no single load exceeds state imposed gross weight limits including pallets, even if a load must contain fewer than 24 pallets. Less Than Load (LTL) destruction requirements may occur occasionally.

3.3.1.4 NARA secure paper or printed media shall be the only material on each trailer load. The

Contractor may mix loads of secure paper or printed media from one NARA location with loads of secure paper or printed media from another NARA location. However, loads shall not be commingled with loads from other firms or agencies. Secure paper or printed media shall only be transported on enclosed trailers with metal sides. The NARA location will furnish a single use cable seal for the truck for each load. The single use cable seal used to secure the trailer doors will be engraved with a serial number, which will be used to “seal” the load. The single use cable seal will be removed by cutting it with cable cutters prior to processing at the primary Contractor site. The cut seal will be returned to the NARA location with the verification of destruction paperwork. At origin NARA will also secure Contractor trailers with a lock, which NARA will provide. The Contractor shall return cut cable seal, NARA provided lock and key, and a copy of the Certificate of Destruction to the originating shipping location as listed on the BOL.

3.3.1.5 NARA will provide a “no cost to the Government” bill of lading (BOL) or manifest to the driver authorizing the transportation of the material. This form will be used for both NARA funded transportation and contractor provided transportation. The driver shall accept the load by signing the manifest including the date and time of departure. The manifest shall include the following information: (1) Point of origin; (2) Contents; (3) Date loaded; (4) Number of pallets;

(5) Trailer number; (6) Seal Number; (7) Any remarks; (8) Signature of Records Center employee affixing lock and seal; and (9) Contractor driver signature.

The form includes the following wording:

National Archives and Records Administration (NARA) Security Requirements. NARA shipments of Government secure paper or printed media require trailers to remain locked and always sealed. These locks and seals may only be removed by Government authorized personnel at the destination facility. Should a Transportation Services Provider be required to remove the NARA lock or seal, the National driver must contact NARA Security immediately:

Security Hotline (TBD) 24 hours-day 365 days a year. The driver must provide NARA

Security:

● The NARA BOL number

● Truck address and position

● Nature of the problem

● Drivers name

● Drivers phone number

● Approximate time of the occurrence

NARAs Transportation Department will contact the driver to obtain additional information regarding the lock and seal removal and to provide instructions on how to proceed with the shipment. Railroad use for this shipment is Not Authorized.

3.3.1.6 The truck shall proceed directly to the disposal site. NARA prohibits the use of interim

"collection" points. All shipments must be directly shipped from NARA to the primary

Contractor facility and (when using Subcontractor mills) from the primary Contractor facility to the Subcontractor facilities. If utilizing a Subcontractor for final destruction, the Contractor shall notify NARA how long an over-the-road trailer will take to travel between the primary

Contractor’s shredding facility and the Subcontractor’s pulping plant. Truck transfer must abide by all state and federal laws regarding speed or other road rules and requirements. It is understood that the travel between the Record Center facilities and/or the destruction facilities may require significant travel time. Short layovers in secure yards controlled by the Contractor or Subcontractor-Transportation may be allowed to change drivers and/or tractors. In no instance should the trailer be left unattended by either the driver or a yard manager. There shall be a direct hand-off of the trailer between drivers, but this contract recognizes that there may be a delay between the exchange and allows for a limit (no more than 2 hours) between the drop and pick-up of the trailer within a secure yard. Per the BOL, the Contractor (or Subcontractor) shall about:blank promptly inform the designated Records Center officials should a delay of any nature occur in the delivery of the material to the destruction facility. The cable lock seal shall not be removed until the destruction facility is ready to process the material. If the trailer cannot be unloaded immediately, or if the destruction process is delayed or interrupted, the trailer shall be kept locked, sealed, and in a secure area on the plant grounds. If the materials to be destroyed have been unloaded from the trailer and are to be stored within the Contractor’s (or Subcontractor's) facility, the Contractor shall ensure the security of the secure paper or printed media.

3.3.1.7 Mishaps or delays. If a delay or a mishap occurs or the trailer lock and seal need to be removed, contact NARA Security as soon as possible, but no later than 24 hours, per the wording concerning notifications as detailed on the BOL (and explained in paragraph 3.3.1.5 above).

3.3.1.8 Some of the trucks may contain secure paper or printed media that requires a NARA employee to witness the disposal process. The Contractor or Subcontractor-Mills will provide accommodation for this additional step. The NARA witness will be responsible for verifying the seal and lock have not been tampered with and will watch the destruction of the Government-witnessed contents of the trailer.

3.3.1.9 The Contractor shall leave the Records Center’s docks in a clean and orderly condition and shall be liable and reimburse NARA for any damage to Government property caused by removal operations of the Contractor or its agents due to carelessness or neglect.

3.4 Contractor Equipment. The Contractor shall provide enclosed 53-foot trailers with metal sides which have two load-lock bars for the pick-up and removal of secure paper or printed media. All vehicles used for transfer and/or destruction of media (whether intact or destroyed) will have lockable cabs and lockable, fully enclosed boxes. (NAID® paragraph 2.8) Specific containers and other equipment will be coordinated with the approval of the COR. The

Contractor is also responsible for unloading secure paper or printed media at the destruction facility. All Contractor equipment shall be properly maintained by the Contractor to minimize mechanical problems and breakdowns. (NAID® paragraph 2.6) The Government is not responsible for damage to the Contractor’s equipment.

3.4.1 NARA requires the trailer to the primary Contractor location to be secured and locked by

NARA staff using NARA provided locks and/or cable seals.

3.4.1.1 NARA staff will provide the drivers keys to the trailer locks in case of an emergency or law enforcement action occurs and the driver must provide access to the trailer. However, due to the presence of the cable seals, the drivers do not have direct access to the load during shipment and are determined to be “non-access employees” (see definitions paragraph 2.8.3).

3.4.1.2 NARA also requires that the trailer load from NARA to the primary Contractor location shall only consist of NARA secure paper or printed media.

3.4.2. Contractor Vehicles

3.4.2.1 All Contractor and Subcontractor vehicles utilized in the performance of this contract shall be insured (at least to the minimum coverage required by the respective State) and shall have current state vehicle registration. All Contractor and Subcontractor drivers shall possess a valid and current Interstate or State Commercial Driver’s License. The Contractor and

Subcontractor shall not use personal vehicles for transportation of secure paper or printed media under this contract.

3.4.2.2 The Contractor and Subcontractor shall ensure that all Contractor and Subcontractor vehicles utilized under this contract are kept in proper working condition. Contractor and

Subcontractor vehicles shall be locked and properly secured while at the Government site(s) or

Contractor site(s). Vehicles used in the performance of the contract shall not be left unattended while transporting materials under this contract. (NAID® paragraph 2.7)

3.4.2.3 Contractors and Subcontractors are prohibited from moving secure paper or printed media by rail or intermodal transport.

3.5 Requirements for Destruction of secure paper or printed media received from the

Records Center.

3.5.1 Witnessed Disposal: All disposal of secure paper or printed media received from the

Records Centers must be handled as either Government—or Contractor—witnessed disposal.

3.5.1.1 Contractor Witnessed Disposal: For contractor witnessed disposal, the Contractor shall provide a signed Certificate of Destruction after the secure paper or printed media are destroyed.

(See paragraph 3.3.1.5)

3.5.1.2 Government Witnessed Disposal: If NARA requires that a Government employee witness the disposal of its records, the disposal and witness will be coordinated with the

Government. The estimated amount of Government Witness Disposal is zero and would only exist if specifically requested by another Federal agency. However, the Contractor must be able to accommodate Government Witness Disposal if the need occurs during the term of the contract. The Government recognizes the requirement to establish supplemental procedures between the Contractor and the Government if this situation arises.

3.5.2 Destruction of Secure Paper or Printed Media

3.5.2.1 End product specifications/requirements. For hard copy material (paper or printed media), the Contractor shall use cross-cut shredders which produce particles of 1 mm x 5 mm

(0.04 inch x 0.2 inch) in size (or smaller) or the Contractor shall pulverize/disintegrate paper materials using disintegrator devices equipped with a 3/32 inch (2.4 mm) security screen. If shredding deviates from the above specification, the material must be safeguarded in accordance with this PWS until it reaches the stage where it is rendered unreadable through additional means, such as burning or pulping. Only when these standards are met is the material deemed to be destroyed.

3.5.2.2 Multi-Phased Destruction. The Contractor may employ a multi-phased destruction process where the initial shred particle size is larger than the requirement in paragraph 3.5.1.1.

However, only when the material meets the standard in paragraph 3.5.1.1 is it deemed to be destroyed. Under multi-phase destruction, when paper or printed media is cross-cut shredded to

5/16 inch plus or minus 1/16-inch, certain security requirements are reduced. However, the

Contractor and Subcontractors shall still provide specified levels of security (throughout this

PWS) until the material is “destroyed” per paragraph 3.5.1.1.

3.5.2.3 Metal. The material may contain several contaminants beyond the normal level for mixed paper – including staples, paper clips, and metal fasteners.

3.5.2.4 Electronic Media. It is not intended for the Contractor to destroy electronic media

(tapes, hard drives, floppy discs, etc.) under this contract. Therefore, Contractors discovering any electronic media shall safeguard it in accordance with this PWS and contact the NARA

Government Contracting Officer Representative (COR) named in Attachment 4, paragraph1B to determine disposition of electronic media. The Contractor shall double-wrap all electronic media found.

3.5.3 Requirements for Destruction Controlled Unclassified Information (CUI): The following procedures and policies are in place at the Records Centers to ensure all document destruction follows Controlled Unclassified Information (CUI) policy:

3.5.3.1 Trucks carrying Controlled Unclassified Information (CUI) are to be locked and always sealed until actual destruction takes place. All “access employees” (see 2.8.1 above) are required to undergo disclosure safeguards awareness training during contract award orientation and annually thereafter.

3.5.3.2 In addition, the following guidelines from NIST 800-88, Rev 1 are incumbent upon

Contractors:

• Shredding Precautions: When the Contractor uses shredding as the means to conform to the requirement for final destruction the Contractor shall ensure that material still in readable form after going through the shred process is re-shredded. Contractors shall ensure that designated shred areas are cleared of CUI materials.

• Certificate of Destruction: The Contractor shall provide a Certificate of Destruction for all recyclable materials after the final destruction (secure paper or printed media conform with PWS paragraph 3.5.2.1) of each trailer load.

• Contractor Secure Destruction Facility: Contractor agrees to provide a Secure Document

Destruction facility capable of handling forecast volumes of destruction material for the

Records Centers. The Contractor shall utilize an existing Secure Document Destruction facility or set up a new Secure Document Destruction facility where these capabilities do not currently exist.

3.5.4 The Contractor shall ensure the following:

• Baled material that is collected and/or stored at interim storage facilities (or at

Subcontractors locations) shall be protected within a controlled environment that prevents access by unauthorized individuals (NAID® paragraph 2.5)

• Accountability measures shall be in place to account for and track any baled CUI up to and until it is destroyed to the standards of the CUI Program.

• CUI media shall be secured while awaiting destruction. (NAID® paragraph 2.3)

• Shall only use a single location for primary processing.

3.5.5 Prior to the Contractor beginning performance under the contract, the NARA Contracting

Officer or designated representative will inspect and approve each Contractor facility and

Subcontractor facility designated in the contract.

3.5.6 The Contractor upon arrival of the secure paper or printed media at the Contractor facility, and until completion of destruction, shall maintain the secure paper or printed media in a secure holding area, which will prevent any disclosure or unauthorized access. The Contractor and

Subcontractor shall each have (3) three business days to process or destroy the secure paper or printed media. If vendor is unable to destroy material in (3) three days (normally this shall be a rare event due to equipment failure or maintenance) vendor shall notify NARA of delay and estimated time of repair and complete destruction within (3) three days of restoration of service.

This performance metric will be used by NARA in monitoring compliance with the contract.

(NAID® paragraph 3.7)

3.5.7 The Contractor shall provide security video recordings of all facility access points, loading docks, and storage areas and shall retain video files for a minimum of 30 consecutive days in an organized, retrievable manner.

3.5.8 The Contractor shall provide for security systems, including security cameras to be inspected weekly and ensure they are operating as intended. (NAID® paragraph 2.7)

3.5.9 In accordance with IRS clause 1052.224-9002, Disclosure of Information – Inspection

“The Internal Revenue Service shall have the right to send its officers and employees into the offices and plants of the Contractor and Subcontractors for inspection of the facilities and operations provided for the performance of any work under this contract.”

3.6 Compliance with regulations

3.6.1 The Contractor shall ensure that all secure paper or printed media are handled in accordance with FAR 52.245-1, Government Property.

3.6.2 The Contractor shall comply with all Federal, State, and local laws and regulations pertaining to the transport, processing, and sale of recyclable materials. Prior to contract start date, the Contractor shall obtain all necessary permits, registrations, and licenses for recycling for the jurisdiction in which services are to be performed.

3.6.3 Publicity. The Contractor understands that publicity about the hauling and reuse of secure paper or printed media might increase the possibility of loss due to disclosure. Therefore, the

Contractor shall obtain prior written approval from the CO before releasing any publicity about such activity.

3.7 Operating policies and procedures.

3.7.1 The Contractor shall maintain current written policies and procedures for drivers and destruction processing employees (these employees are “access employees” – reference 2.8.1 above who physically open boxes and touch the material to be destroyed). (NAID® paragraph

2.7) NARA requires the contractor to have written policies and procedures and requires the

Contractor to communicate requirements to its employees.

3.7.2 The Contractor shall provide for, prior to gaining access to secure paper or printed media, all drivers and destruction processing employees shall sign an acknowledgement indicating that they have received, read, and understand the Company’s current written policies and operating procedures. The Contractor shall provide for a new acknowledgment to be signed by employees on an annual basis and kept on file. (NAID® paragraph 2.7)

3.7.3 The Contractor shall have a written policy in place, stating that the Contractor shall notify any Customer of a potential release of, or unauthorized access to, that Customer’s Confidential

Customer Media that poses a threat to the security or confidentiality of that information within

60 days of the date of discovery of the data security breach incident. (NAID® paragraph 2.7)

3.7.3.1 The Contractor shall report to NARA as soon as possible, but no later than 24 hours after a confirmed release or access of NARA information.

3.7.4 The Contractor shall have in place a written policy instructing and requiring employees to notify management of a potential release of, or unauthorized access to, Confidential Customer

Media that poses a threat to the security or confidentiality of the information. (NAID® paragraph

2.7)

3.7.5 Baling of shredded secure paper or printed media is allowed if it is protected within a controlled environment that prevents access by unauthorized individuals. (NAID® paragraph

2.7)

3.7.6 The Contractor shall ensure that all visitors entering the secure destruction building, at a minimum, sign a log with their name, time in, affiliation, and time out. (NAID® paragraph 2.8.6)

3.7.7 The Contractor shall have in place a third-party monitored alarm system and utilized when the secure destruction building, or Transfer Processing Station is unoccupied. (NAID® paragraph 2.7)

3.7.8 The Contractor shall have in place a written Incident Response Plan for responding to suspected or known security incidents. The Incident Response Plan shall include a post-incident business impact analysis and a process for documenting all incidents and their outcomes.

(NAID® paragraph 2.7)

3.8 Requirements Applicable when Contractors Utilize Subcontractors – Mills. These

Subcontractor-Mill requirements in this paragraph (and sub paragraphs) are the reduced requirements allowable only when the material is reduced to the standards in PWS paragraph

3.5.2.2 in a Multi-phased Destruction. In a Multi-phased Destruction if the standards in PWS paragraph 3.5.2.2 are not met at the primary processing location then all requirements applicable to the primary location are also required of all subcontractors.

3.8.1 Certificate of Destruction. The Contractor shall complete the Certificate of Destruction only after final destruction (material conforms to PWS paragraph 3.3.1.5) is completed by the

Subcontractor.

3.8.2 Dedicated Loads. The Contractor shall ensure only NARA secure paper or printed media is the only material on each trailer load. The Contractor shall ensure no whole documents are transferred between the primary Contractor location and the Subcontractor-Mill.

3.8.3 Lock and Seal. The NARA lock and seal are required on each truck load from receipt by the Contractor to the final destruction site. When a Contractor uses a Subcontractor for final destruction, it shall provide its own locks and seals from the primary Contractor site to the

Subcontractor final destruction site. Contractor locks and cables shall be equivalent to those

NARA provided.

3.8.4 Final Destruction. The primary Contractor shall only use a single Subcontractor location for final destruction. The contract shall contain the address of the Subcontractor location.

NARA will inspect the Subcontractor location and must approve in writing any change to the location. The Contractor shall ensure that final destruction only occurs within the continental

U.S.

3.8.5 Log. The Contractor shall ensure that all visitors entering the Subcontractor’s secure destruction building, at a minimum, sign a log with their name, time in, affiliation, and time out.

3.8.6 On-Site Destruction. The Subcontractor shall perform final destruction on site and may not further subcontract out the final destruction.

3.8.7 Secure Holding Area. At the Subcontractor location, material which is not immediately destroyed shall be in a secure area pending destruction. The standards in PWS paragraph 3.5.4 and 3.5.6 also apply to the Subcontractor.

3.8.8 Subcontractor-Mill location employees. Only after the material has been reduced to the standards in paragraph 3.5.2.1 and the material is transported to the Subcontractor- Mill in the secure location then the employees handling final destruction in the secure area are determined to be “non-access employees” (see definitions paragraph 2.8.2). The primary processing location

(subcontracted or not) employees are deemed “access individuals” IAW the definition in PWS paragraph 2.8.1 ACCESS INDIVIDUALS.”

3.9 Requirements Applicable When Contractors Utilize Subcontractors –Transportation.

These Subcontractor-Transportation requirements in paragraph 3.3 (and sub paragraphs) are the reduced requirements allowable only when the material is reduced to the standards in PWS paragraph 3.5.2.2 in a Multi-phased Destruction.

3.9.1 The prime Contractor may use multiple Subcontractors for transportation.

3.9.2 Monitor employees for Substance Abuse. Subcontractors shall monitor employees for

Substance Abuse (NAID® paragraph 2.7). The requirements of PWS paragraph 4.2.4 apply to transportation subcontractors.

3.9.3 Drivers Licenses. Subcontractors shall ensure drivers possess valid and current drivers’ licenses (NAID® paragraph 2.7). The requirements of PWS paragraph 3.4.2.1 apply to the

3.9.4 Transportation of Secure Paper or Printed Media. Subcontractors shall provide secure

Transportation of Secure Paper or Printed Media. The requirement of PWS paragraph 3.3 applies to the transportation subcontractors.

3.9.5 Dedicated Loads. Subcontractors shall ensure NARA secure paper or printed media shall be the only material on each trailer load. The requirements of PWS paragraph 3.8.2 apply to the

3.9.6 Report Mishaps or Delays. Contractor shall immediately report to NARA all

Subcontractor mishaps or delays. The requirement of PWS paragraph 3.3.1.7 applies to the

3.9.7 Truck proceeds directly to the disposal site. Subcontractors shall ensure the truck proceeds directly to the disposal site. The requirement of PWS paragraph 3.3.1.6 apply to the transportation subcontractor.

3.9.8 Contractor Equipment. Subcontractors shall ensure sufficient Contractor Equipment.

The requirements of PWS paragraph 3.4 apply to the transportation subcontractor.

3.9.9 Intermodal. Subcontractors are prohibited from moving secure paper or printed media by rail or intermodal transport. The requirements of PWS paragraph 3.4.2.3 apply to the transportation subcontractor.

4.0 CONTRACTOR PERSONNEL

4.1 Project Manager. NARA requires the Contractor provide an individual to act as the Project

Manager and serve as primary point of contact. This person must understand the requirements of this effort and be available to handle various logistical and management concerns. This position is considered key personnel in accordance with NARA terms and conditions outlined for this effort. The key personnel (Project Manager/Contractor point of contact) shall meet the following minimum requirements: Five (5) years of experience in industry. Two (2) years as project supervisor handling sensitive (controlled) document destruction.

4.2 Personnel Identification and Security Requirements

4.2.1 All Contractor “access individuals” shall be required to carry Contractor issued photo identification cards containing, as a minimum, the following information (individuals/employees or visitors not read into the safe-guards, non-disclosure, and penalties can only have escorted access): (NAID® paragraph 2.7)

● Contractor’s Company Name

● Employee’s Name

4.2.2 The Contractor shall ensure all employees (including drivers) always have in their possession when on duty a government-issued photo identification.

4.2.3 The Contractor shall ensure employee access to authorized areas is controlled.

4.2.4 The Contractor shall have in place an anti-drug policy and employee drug use monitoring program. The Contractor shall monitor “access employees” for drugs/substance abuse.

4.2.5 The Contractor shall have a system for employee background checks. (see NAID® paragraph 2.7).

4.2.6 Contractor shall ensure that while at NARA’s locations, drivers and other employees of

Contractor shall wear a specific uniform (minimum of Company shirt) to improve recognition by

Customers. (NAID® paragraph 2.7).

4.3 Mandatory Training for Contractor Staff

4.3.1 The Contractor shall comply with Section 6103 of the Internal Revenue Code (IRC) (26

CFR, §301.6103(n)-1(d)). This regulation requires agencies receiving taxpayer data to provide safeguards to the satisfaction of the IRS in three areas: 1) protecting the confidentiality of taxpayer data; 2) providing measures to prevent unauthorized inspection or disclosure; and 3) restricting use to the purpose for which it was intended.

4.3.2 Contractor shall conduct annual disclosure/safeguards training. All Contractor “access employees” (reference 2.8.1 above) and Subcontractor employees working in the Secure

Document Destruction Facility shall receive orientation training regarding disclosure/safeguards requirements and agree to comply with safeguard requirements, prior to actual pickup by

Contractor of IRS boxes or records. Thereafter, Contractor “access employees” will continue to receive annual disclosure/safeguards training. Training shall include the presentation of IRS

Disclosure Awareness Training (Pub. 4711) video available online at http://www.irsvideos.gov/Governments/Safeguards/SafeguardsSecurityAwarenessTraining, as well as a general but clear discussion of IRC 6103 (26 CFR §301.6103) and the penalties under law for any unauthorized disclosure or inspection. At the completion of training, all participants shall have signed the “Acknowledgement of Privileged Nature of Records.” The signed form

(original) shall be retained by the Contractor. If requested, the Contractor shall provide copies of the signed forms to the COR.

4.3.3 As new Contractor “access employees” (reference 2.8.1 above) join the Contractor, the

Contractor shall ensure that disclosure/safeguards awareness training occurs upon the beginning of their service. From that point forward, they should participate in the next annual disclosure/safeguards awareness training program at the facility.

4.3.4 Contractor shall ensure that NARA-provided training materials are adapted to meet any special or unique training requirements of Contractor “access employees”.

4.4 Employee Disclosure Safeguards: Prior to beginning performance under this contract, the

Contractor shall notify its employees in writing of the Civil and Criminal sanctions about unauthorized Disclosure and inspection of Federal tax returns and return information. Prior to beginning performance under this contract, the Contractor shall obtain signed certifications from each “access employee” (see 2.8.1 above), that the employee understands and accepts the terms and conditions as related to the civil and criminal sanctions related to unauthorized Disclosure.

Contractor shall have in place with Subcontractors agreement which requires non-disclosure agreements for the subcontractor employees. The Contractor shall maintain signed

Acknowledgement of Privileged Nature of Records form for…