Attachment14_Records_OEI_OTOP_DraftSOW.pdf

PERFORMANCE WORK STATEMENT

Records Management Services for Office of Environmental Information / Office of Technology Operations and Planning

Information Management Center Services IV (IMCS IV) Contract

Contract #: TBD Task Order # TBD

TASK ORDER PERFORMANCE WORK STATEMENT

June 29, 2016

I. TITLE: Records Management Services for Office of Environmental Information / Office of

II. PERIOD OF PERFORMANCE

Start Date End Date Base Period: Month Day, Year Month Day, Year Option Period 1: Option Exercise 12 months after Option Exercise Option Period 2: Option Exercise 12 months after Option Exercise Option Period 3: Option Exercise 12 months after Option Exercise Option Period 4: Option Exercise 12 months after Option Exercise

III. KEY EPA PERSONNEL:

Task Order Contracting Officer Representative (TOCOR)

Name: Anne Mangiafico Office: OEI/OTOP Address: US EPA, 1200 Pennsylvania Av., NW Washington, DC 20460 Telephone Number: 202-564-9483 Email: mangiafico.anne@epa.gov

Alternative Task Order Contracting Officer Representative (ATOCOR)

Name: Mary Reid Office: OEI/OTOP/EDSD Address: US EPA, 1200 Pennsylvania Av., NW Washington, DC 20460 Telephone Number: 202-566-1812 Email: reid.mary@epa.gov

IV. AUTHORITIES

a. Legal Authority:

Paperwork Reduction Act of 1995

Paperwork Reduction Act of 1980 (P.L. 96-511)

44 U.S.C. Chapter 31 – Records Management by Federal Agencies (Federal Records Act)

36 CFR Chapter XII, Subchapter B – Records Management

40 CFR 2, Public Information

2 U.S.C. Section 11001 Emergency Planning and Community Right-to-Know Act

(EPCRA)

5 U.S.C. 552 Freedom of Information Act as amended

5 U.S.C. 553, Rule Making

5 U.S.C. Chapter 5 Administrative Procedures Act

18 U.S.C. Chapter 101, Records and Reports Paperwork Reduction Act of 1995

44 U.S.C. Chapter 31 – Records Management by Federal Agencies (Federal Records Act)

44 U.S.C. Chapter 33, Disposal of Records

Executive Order 12291 – Federal Regulation

Section 206(d) of the E-Government Act of 2002 (P.L. 107-347, 44 U.S.C. Chapter 36)

Section 508 of the Rehabilitation Act (20 U.S.C. § 794d)

b. Regulatory Authority:

OMB Circular A-130, Management of Federal Information Resources

c. EPA Documents:

EPA Communications Stylebook: Writing Guide (https://www.epa.gov/stylebook/epa-communications-stylebook-writing-guide)

EPA Information Directives (https://www.epa.gov/irmpoli8/current-information-directives)

EPA Records Management Policy (CIO 2155.3), Procedures and Standards

EPA Essential (Vital) Records Procedures (CIO 2155-P-01.1)

EPA Information Security Policy (CIO 2150.3) Procedures and Standards

EPA Privacy Policy (CIO 2151.1)

EPA Freedom of Information Act (FOIA) Policy (CIO 2157.1)

Web Governance and Management Policy (CIO 2180.1)

Digitization (Scanning) Procedures (CIO 2155-P-05.0)

Document Digitization (Scanning) Standards (CIO 2155-S-01.0)

EPA Records Retention Schedules, (https://www.epa.gov/sites/production/files/2015-09/documents/epa-records-schedules.pdf)

EPA Vendor Communication Plan – Revised March 20112 (EPA Order 900.1A) (https://www.epa.gov/contracts/epa-vendor-communication-plan)

EPA Web Guide (https://www.epa.gov/webguide)

EPA Web Guide: Policies and Procedures (https://www.epa.gov/web-policies-and-procedures)

EPA Web Style Guide (https://222.epa.agov/webguide/web-style-guide)

EPA Web Standards (https://www.epa.gov/web-policies-and-procedures/epa-web-standards)

Intranet documents to be provided:

Clearance Procedure for Employees Separating or Transferring from EPA (3110.5A) (http://intranet.epa.gov/ohr/rmpolicy/ads/orders/3110-5a.pdf)

Using the Federal Records Center, A Guide for Headquarters Staff http://intranet.epa.gov/records/rlos/files/frcGuidancehq.docx

Using ARCIS to Manage FRC Transfers and Reference Requests for EPA Regional Staff http://intranet.epa.gov/records/rlos/files/ARCISWebinarRegions.pptx

Using ARCIS to Manage FRC Reference Requests and Retirements for EPA Headquarters Staff http://intranet.epa.gov/records/rlos/files/ARCISWebinarHQ.pptx

A Short Guide to ARCIS For EPA Headquarters Staff http://intranet.epa.gov/records/rlos/files/Shortguide-ARCISHQ.docx

EPA Records Management Manual, (http://intranet.epa.gov/records/tools/files/rm-manual.pdf

V. TASK ORDER COMPONENTS

1. BACKGROUND

The Federal Records Act (FRA), as amended, requires all federal agencies to make and preserve records containing adequate and proper documentation of their organization, function, policies, decisions, according to applicable laws and regulations. The FRA also requires agencies to establish a records management program, defined as a planned, coordinated set of policies, procedures, and activities needed to manage their recorded information. Major elements include periodically issuing up-to-date records management directives, properly training those responsible for implementation and carefully evaluating the results to ensure adequacy, effectiveness and efficiency. Records serve a number of purposes including:

planning for administrative and program needs, providing evidence of EPA activities, protecting legal and financial rights, enabling oversight by Congress and other authorized agencies, documenting the Agency’s history, and continuing key functions and activities in the event of an emergency or disaster. Records capture the Agency’s institutional memory and preserve the historical record; they are of critical importance in ensuring that the organization continues to function effectively and efficiently. In conformance with the Presidential Memorandum, Managing Government Records, November 28, 2011, the Agency must “meet the executive branch-wide effort to reform records management policies and practices. [The http://intranet.epa.gov/records/tools/files/rm-manual.pdf results will improve] performance and promote openness and accountability by better documenting agency actions and decisions.”

In order to meet EPA’s requirements and needs in the records realm, the support of knowledgeable contract staff is essential. Contractors may be requested to assist with training, developing materials, tools, processing records reference requests, tracking databases, records lifecycle management and, managing records file rooms.

The Office of Environmental Information (OEI) / Office of Technology Operations and Planning (OTOP) provides technology services and manages EPA's information technology (IT) investments and infrastructure. OTOP oversees IT operations, including IT investment management, enterprise architecture, desktop and telecommunications services, application development and hosting, high performance computing, as well as the development of policies and standards to guide IT expenditures and operations, and the operations and management of the Working Capital Fund.

OTOP needs to continue its records management program in accordance with the guidance provided by the Office of Environmental Information’s Office of Information Collection (OIC).

OTOP seeks contractor support to perform selected records management functions described below. OTOP has set up an overall records management program where the TOCOR serves as the Office’s lead coordinator and each division/branch has a lead records management contact that has responsibility to ensure coordination and implementation.

Where work is to be performed:

EPA Headquarters 1300 Constitution Av., NW Washington, DC 20460

Work will be performed at EPA Headquarters in Washington DC at the EPA-West Building and coordinated with OTOP staff located in Research Triangle Park (RTP), NC. In addition, work may be performed remotely during regular work hours if the government office building is not open. The OTOP staff at RTP have a contract with another vendor to carry out its records management program, however, OTOP wants to ensure that coordination exists to allow for consistency in managing OTOP’s records regardless of location. The list of offices for primary work is:

Office of the Director, OTOP, Immediate Office Customer & Business Support Staff (CBSS) Enterprise Desktop Solutions Division (EDSD) Mission Investment Solutions Division/Immediate Office (MISD) National Computer Center/Immediate Office (NCC)

2. PURPOSE

The purpose of this Performance Work Statement is to acquire contract support for the operation of the OEI/OTOP Records Center, provide records services to EPA programs and regions. Services shall be made available in person as well as electronically via client desktops. Contract support activities may include:

a) Program Management

b) Management and Administration

c) Web Maintenance

d) Presentations and Trainings

e) Customer Service

f) Records Management

g) Transition

3. SCOPE

This Task Order will require the services described in Section 4, Specific Tasks.

4. SPECIFIC TASKS

TASK 1: PROGRAM MANAGEMENT (Contract PWS Task 1) The contractor shall provide program management support.

Subtask 1.1 – Work Plan (Contract PWS Subtask 1.1) The contractor shall create and submit a Work Plan within 15 business days after award of the task order.

Deliverables

1.1 – Work Plan

Acceptance Criteria The work plan shall meet agency requirements for accuracy, completeness, and ease of use, and shall include the following: staffing plan, project management, organization and management of tasks, operation & maintenance, schedules, hours and cost estimate.

Subtask 1.2 – Annual Business Improvement Plan (Contract PWS Subtask 1.2) The contractor shall create an annual business improvement plan and provide it to the TOCOR at least 10 business days before the end of each contract year. The document shall include recommendations for improving task order business practices, procedures, etc. Plan to be provided to the TOCOR in MS Word.

Deliverables

1.2 – Business Improvement Plan

Acceptance Criteria

The annual business improvement plan shall include recommendations on the following but not limited to: development and updating of Agency tools used for managing and locating materials, automating and streamlining work flow processes, tracking of performance.

Subtask 1.3 – Reporting (Contract PWS Subtask 1.4) Subtask 1.3.1 - The contractor shall create an accomplishments report if the contractor works off-site under special circumstances and approved by the TOCOR.

Subtask 1.3.2 - The contractor shall create monthly technical reports outlining task accomplishments/progress for the previous month. Monthly technical reports to be provided to the TOCOR by the 10th of each month. In addition, special reports/analyses shall be performed at the request of the TOCOR via written direction.

Deliverables

1.3.1 – Accomplishments Report (as necessary)

1.3.2 – Monthly Technical Report

Acceptance Criteria

1.3.1 - Accomplishments reports to be provided to the TOCOR within 24 hours of working off-site.

1.3.2 - Monthly Technical Reports, and Ad-hoc reports shall be as described in section 5.

Special Technical Requirements, or as directed by the TOCOR/ATOCOR.

TASK 2 – MANAGEMENT AND ADMINISTRATION (Contract PWS Task 2)

Subtask 2.1: Review and Revise Standard Operating Procedures (SOPs), Manuals and Guides (Contract PWS Subtask 2.1) On an annual basis, or as directed by the TOCOR/ATOCOR, the Contractor shall review and revise the Standard Operating Procedures (SOPs), manuals, and guides as needed. The Contractor shall notify the TOCOR/ATOCOR anytime TO guidance materials require revision as a result of changes to policy or business procedures.

Deliverables

2.1 – SOP Documents, Manuals and Guides

Acceptance Criteria The SOPs, guidance and manuals should meet EPA standards for writing and publications design, unless directed by the TOCOR/ATOCOR.

Subtask 2.2: Clearance of Separating Contractors (Contract PWS Subtask 2.2) Departing contractors shall account for all government property and records in their possession or custody, and must complete form 3110-1, Personnel Separation or Transfer Checklist, per agency policy 3110.5a.

Deliverables

2.2 - Form 3110-1 - Personnel Separation or Transfer Checklist

Acceptance Criteria Form 3110-1 is completed according to Agency procedures and provided to the TOCOR prior to separating from the task order.

TASK 3 – WEB MAINTENANCE (Contract PWS Task 3) The contractor shall work with OTOP’s web lead to keep the OTOP Record Center intranet site up to date with new material as requested by the TOCOR/ATOCOR.

Deliverable 3 - OTOP Record Center Intranet Site

Acceptance Criteria The OTOP Record Center Intranet site shall be maintained according to EPA Policy and procedures.

TASK 4 – PRESENTATIONS AND TRAININGS (Contract PWS Task 4) The contractor shall prepare and deliver records management presentations/trainings at meetings upon receipt of written direction from the TOCOR/ATOCOR. Presentations/training may need to be provided for groups of people or such training may involve oneon-one sessions at the work station. For example, assisting an employee with identifying paper or email records, providing clean-up day guidance, and assisting with providing records to the OTOP Records Center or email archive.

Deliverables

4.1 - Initial draft and final presentation in electronic format.

4.2 - All questions arising from presentation successfully responded to or forwarded to

TOCOR/ATOCOR for resolution via email.

4.3 - Sign in sheets, handouts and evaluation sheets of group training sessions or a short (one to two paragraphs) summary of any one-on-one training with an employee.

All presentations, briefings, training sessions, demonstrations, and educational programs regarding information products, services and databases shall be organized, set-up, and conducted per Agency guidelines. All corresponding materials shall be created and facilitated in accordance with the Agency’s regulations and policies governing media, and section 5.

Special Technical Requirements, or as directed by the TOCOR/ACOR.

TASK 5 – CUSTOMER SERVICE (Contract PWS Task 5) The contractor shall maintain OTOP records rooms that are accessible to customers. The contractor shall treat customers in a professional and courteous manner.

Subtask 5.1: Information Requests (Contract PWS Subtask 5.2)

The contractor shall provide routine service, and client requests or issues shall be reviewed and resolved promptly and in accordance with Agency and program guidelines.

Deliverable 5 – Email Notification to TOCOR

Acceptance Criteria The contractor shall resolve routine client requests or issues within one business day unless otherwise directed by the TOCOR/ATOCOR. The Contractor shall immediately report the issue to the TOCOR/ATOCOR if it requires interpretation of EPA policy.

TASK 6 – RECORDS MANAGEMENT (Contract PWS Task 8)

Subtask 6.1: Retention of EPA Records and Information Products (Contract PWS Subtask 8.1) The contractor shall review, maintain and implement retention schedules for OTOP’s records per Agency policies and procedures.

Deliverable

6.1 – Retention Schedules

Acceptance Criteria OTOP records are retained according to Agency retention schedule unless approved by the

TOCOR/ATOCOR.

Subtask 6.2: Records Collection Maintenance (Contract PWS Subtask 8.2) The contractor shall maintain, organize, index, track and make OTOP records easily accessible from receipt through disposition of records. As reorganizations that impact OTOP offices occur, the contractor shall assist in creating new file plans for new organizations.

Deliverable

6.2 – Organizational file plans

OTOP file plans are maintained according to Agency and NARA policies unless approved by the

TOCOR/ATOCOR.

Subtask 6.3: Safe Storage and Retrieval (Contract PWS Subtask 8.3) Subtask 6.3.1 - The contractor shall maintain record collections and records rooms in accordance with records management best practices. The TOCOR/ATOCOR shall be immediately notified in writing by the Contractor if a weakness in storage is detected.

Subtask 6.3.2 - The contractor shall provide records to customers as requested via email, and create/maintain a charge out process.

Subtask 6.3.3 - The contractor shall prepare and transfer eligible records to and from the Federal Records Center (FRC). For records eligible for destruction, complete destruction forms, obtain concurrence signatures and process for recycled/shredding.

Deliverables

6.3.1 – Email to TOCOR/ATOCOR

6.3.2 – Charge-Out Document

6.3.3 – ARCIS form or records destruction form

Acceptance Criteria

6.3.1 - OTOP Records rooms are maintained with clear aisles, trash removed daily and no materials stored in unsafe manner at any time.

6.3.2 - Requested records are made available to the customer within 24 hours unless otherwise approved by the TOCOR/ATOCOR.

6.3.3. - OTOP records are transferred to FRC or destroyed in accordance with approved records schedules, and EPA procedures and guidance documents.

Subtask 6.4: Electronic Documents and Tracking (Contract PWS Subtask 8.4) The OTOP database tool shall be updated and maintained by the contractor, to track records identification, location, and disposition.

Deliverable

6.4 – Inventory of OTOP database tool

Acceptance Criteria Inventory is accurate. Records are separated from non-record materials, and unnecessary materials identified and staged for removal.

Subtask 6.5: Digitization of Records (Contract PWS Subtask 8.6) The Contractor shall provide services to complete scanning of agency paper records into digital format, per agency procedures and standards.

Deliverable

6.5 – electronic copies of records

Records are digitized according to Agency procedures and standards.

TASK 7 – TRANSITION (Contract PWS Task 14) The contractor shall create a 30 day phase out plan for the end of the task order. The plan is to include a process to transfer information including records inventory, business and technical documentation, and contractor keys and badges.

Deliverables

7 – Phase-Out Plan

Phase-Out Plan to be created to stated standards under section 5 of the TO PWS.

5. SPECIAL TECHNICAL REQUIREMENTS

5.1 Writing Standards

All written products or deliverables shall correspond with a minimum 8th grade reading/writing level following the Associated Press Stylebook and EPA Writing Guide. All statistical and other technical terminology shall not be used without providing a glossary of terms.

5.2 FOIA Requests

The National FOIA Office assigns incoming FOIA requests to the appropriate program office.

Any FOIA request directed to the program office shall be responded to as directed. The contractor may be requested to provide support for incoming FOIA requests.

5.3 Personnel

5.3.1 Program Manager Responsibility and Availability

The Contractor Program Manager shall be responsible for the day-to-day operations of their respective TO duties. This includes supervision, quality control, and interaction with the TOCOR/ATOCOR and customers. The Program Manager shall designate a stand-in Program Manager in the event that he/she is not available during normal business hours.

The stand-in Program Manager shall be available to assist on all contractual matters, as directed by the TOCOR/ATOCOR.

5.3.2 Collaboration with other Contractors

The Contractor is responsible for recommending the periodic use of subcontractors when specialized assistance is needed to meet TO requirements. Any subcontracting work requires prior approval from the CO. The Contractor shall work cooperatively and collaboratively with subcontractors that are selected to operate TO specific tasks. The Contractor shall report to the TOCOR/ATOCOR any issues that arise from collaborating with subcontractors.

5.4 Knowledge and Training

5.4.1 Knowledge

The Contractor shall be knowledgeable of the information lifecycle processes and understand how to manage information and records derived from multiple sources (potentially including mobile devices and Web interfaces) in a variety of formats (e.g. data, paper documents, electronic documents, audio, social business, video, microfiche, and microfilm). The Contractor shall have experience in both information intake (i.e. capturing, managing, preserving, and storing) and output (i.e. making it accessible and/or delivering it to the customers in a quick and efficient manner). The Contractor shall also be required to develop a working level understanding of hardware and software used on their TO, be capable of cooperating with EPA specialists to offer litigation and FOIA support, and demonstrate a general understanding of relevant EPA and federal regulations and policies.

5.4.2 Training/ Technical Competency

The Contractor shall ensure that all contract staff complete EPA required trainings and provide the documentation to the TOCOR/ATOCOR. The Contractor shall also complete the necessary trainings required by the TO subject area.

Required EPA training includes, but is not limited to:

Information Security Awareness

5.6 Background Investigations

The Contractor shall comply with EPA's Personnel Security in all steps to accomplish background investigations. All Contractor staff must pass background checks before commencing work on this contract.

5.7 Telework

Teleworking privileges shall be granted under special circumstances. The Contractor shall submit a list of all staff that wish to telework for TOCOR/ATOCOR approval. The Contractor shall ensure that all Contractor staff have submitted the appropriate documentation for telework privileges.

6. TRAVEL

The Contractor may be required to travel to other offices, relevant conferences, or EPA sponsored training as directed by the TOCOR/ATOCOR.

7. GOVERNMENT ACCEPTANCE PERIOD

The TOCOR/ATOCOR will review deliverables and/or performance prior to acceptance. The criteria for acceptance will be provided in the Task Order Performance Work Statement. The

TOCOR/ATOCOR will have the right to reject or require correction of any deficiencies found in the deliverables that do not meet the requirements of the Task Order Performance Work Statement or the Contractor’s accepted proposal for each task order. In the event of a rejected deliverable, the Contractor will be notified in writing by the TOCOR/ATOCOR of the specific reasons for rejection and provided instructions for correction and resubmission.

8. MANAGEMENT CONTROLS

The following management controls are intended to ensure that Agency officials remain accountable, retain control over the Contractor’s services do not place EPA in a vulnerable position. The TOCOR/ATOCOR is responsible for assuring compliance.

The TOCOR/ATOCOR will monitor the deliverable schedule and review the deliverables to ensure that the content and quality are responsive to the requirements of the PWS. Under this contract, the TOCOR/ATOCOR may not provide technical direction to the Contractor which would affect the overall scope of the contract or TO or the level of effort without consulting with the contract COR (if applicable) and CO. Technical communication between the TOCOR/ATOCOR and Contractor for the purpose of clarification or preliminary advisement of issues or problems is permissible. Deliverables will be requested through technical direction.

The Contractor shall submit all deliverables and documents for publication to the TOCOR/ATOCOR prior to public release, if applicable.

Contractors shall clearly identify themselves as an EPA contractor when acting in fulfillment of this contract. While working onsite or meeting with federal employees, contractors shall wear or display government issued identification designating them as such. Contractors shall be excluded from sensitive Agency discussions related to policy, enforcement, legal matters, and procurements.

EPA shall be mentioned as the funding source in publications and other distributed final work products that arise from this contract.

9. QUALITY ASSURANCE

Quality assurance for services and/or supplies shall be conducted in accordance with the Contractor’s existing quality assurance processes prior to tender of deliverables for Government review and acceptance.

10. QUALITY ASSURANCE SURVEILLANCE PLAN

In order to ensure the quality of work performed under this Task Order, EPA will use a Quality Assurance Surveillance Plan (QASP).

11. GOVERNMENT ACRONYMS

ARCIS: Archives and Records Center Information Systems ATOCOR: Alternate Task Order Contract Officer’s Representative CBI: Confidential Business Information CBSS: Customer and Business Support Staff CO: Contracting Officer COR: Contracting Officer’s Representative CUI: Controlled Unclassified Information ECMS: Enterprise Content Management System EDSD: Enterprise Desktop Solutions Division ERA: Electronic Records Archives FOIA: Freedom of Information Act FR: Federal Register FRA: Federal Records Act FRC: Federal Records Center IM/IT: Information Management/ Information Technology GFE: Government Furnished Equipment GFI: Government Furnished Information MISD: Mission Investment Solutions Division NARA: National Archives and Records Administration NCC: National Computer Center OEI: Office of Environmental Information OIC: Office of Information Collection OTOP: Office of Technology Operations and Planning PII: Personally Identifiable Information PMO: Program Management Office PWS: Performance Work Statement QA: Quality Assurance SOP: Standard Operating Procedures TD: Technical Directive TO: Task Order TOCOR: Task Order Contracting Officer’s Representative

12. SCHEDULE OF DELIVERABLES

Task Description Frequency/Deadline

1.1 Work Plan Within 15 business days after

award of the task order

1.2 Business Improvement Plan 10 business days before the

end of each contract year

1.3 Accomplishments Report within 24 hours of working

off-site.

2.1 SOP Documents, Manuals and Guides Annual

2.2 Form 3110-1 - Personnel Separation or Transfer

Checklist As Needed

3 OTOP Record Center Intranet Site As Needed

4.1 Initial draft and final presentation in electronic

format.

As Needed

4.2 Questions arising from presentation successfully

responded to or forwarded to TOCOR/ATOCOR for resolution via email

As Needed

4.3 Sign in sheets, handouts and evaluation sheets of

group training sessions or a short (one to two paragraphs) summary of any one-on-one training with an employee.

As Needed

5 Email Notification to TOCOR Within 1 business day of issue identified

6.1 Retention Schedules As Needed

6.2 Organizational file plans As Needed

6.3.1 Email to TOCOR/ATOCOR As Needed

6.3.2 Charge-Out Document

Within 1 business day of records being requested

6.3.3 ARCIS form or records destruction form As Needed

6.4 Inventory of OTOP database tool As Needed

6.5 electronic copies of records As Needed 7 Phase-Out Plan 30 days prior to end of task order