Attachment16_Records_HQORD_DraftSOW.pdf

PERFORMANCE WORK STATEMENT

Records Management Services for EPA Office of Research and Development (ORD)

Headquarters Offices in the Ronald Reagan Building (RRB)

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 EPA OFFICE OF RESEARCH AND

DEVELOPMENT (ORD) HEADQUARTERS OFFICES IN THE RONALD REAGAN

BUILDING (RRB)

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: Brian Devir

Office: Office of Research and Development (ORD) - Office of Science Information Management (OSIM)

Address: ORD MC W136A

USEPA

26 West Martin Luther King Drive Cincinnati, OH 45268

Telephone Number: 513-569-7809

E-mail: devir.brian@epa.gov

Alternative Task Order Contracting Officer Representative (ATOCOR)

Name: Laura Doyle

Office: Office of Research and Development (ORD) - Office of Science Information Management (OSIM)

Address: ORD MC 8107R USEPA Headquarters

William Jefferson Clinton Building 1200 Pennsylvania Avenue, N. W.

Washington, DC 20460

Telephone Number: 202-564-2078 Email: doyle.laura@epa.gov

IV. AUTHORITIES AND BACKGROUND DOCUMENTS

a. Legal Authority:

44 U.S.C. Chapter 31, Records Management by Federal Agencies 44 U.S.C. Chapter 33, Disposal of Records 18 U.S.C. Chapter 101 Records and Reports Paperwork Reduction Act of 1995

b. Regulatory Authority:

OMB Circular A_130, Management of Federal Information Resources NARA/OMB Managing Government Records Directive (M-12-18) 36 C.F.R. Chapter XII, Subchapter B

c. Background Documents:

Records Management Policy (CIO 2155.3), February 10, 2015 https://www.epa.gov/irmpoli8/current-information-directives

Agency Records Retention Schedules https://www.epa.gov/sites/production/files/2015-09/documents/epa-records-schedules.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 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 https://www.epa.gov/irmpoli8/current-information-directives https://www.epa.gov/sites/production/files/2015-09/documents/epa-records-schedules.pdf https://www.epa.gov/sites/production/files/2015-09/documents/epa-records-schedules.pdf http://intranet.epa.gov/records/rlos/files/frcGuidancehq.docx http://intranet.epa.gov/records/rlos/files/ARCISWebinarHQ.pptx http://intranet.epa.gov/records/rlos/files/Shortguide-ARCISHQ.docx http://intranet.epa.gov/records/tools/files/rm-manual.pdf

V. TASK ORDER COMPONENTS

1. BACKGROUND

The Office of Research and Development is responsible for creating and preserving records to provide adequate and proper documentation of its organization, functions, policy decisions, procedures, and essential transactions. ORD is also responsible for establishing and maintaining a continuing program for the economical and efficient management of its official records. The Office of Science Information Management (OSIM) is responsible for providing technical assistance in implementation of EPA's National Records Management Program (NRMP) policies and programs for ORD. At Headquarters, this assistance includes the Immediate Office of the Assistant Administrator (IOAA), the Office of Science Policy (OSP), Office of the Science Advisor (OSA), Office of Program Accountability and Resource Management (OPARM), Office of Administration & Research Support (OARS), Office of Science Information Management, the National Center for Environmental Research, and any other ORD organization staff who are located in the RRB.

Where work is to be performed:

Ronald Reagan Building 1300 Pennsylvania Avenue, N. W.

Washington, DC 20004

2. PURPOSE

The purpose of this Performance Work Statement is to acquire contract support for the Office of Research and Development offices by providing records management services to EPA staff to ensure EPA records are being managed appropriately. Contract support activities may include:

Program Management

Management and Administration

Presentations and Trainings

Customer Service

Information Management

Records Lifecycle Management

Transition

3. SCOPE

This task order will offer the services described in Section 4. Specific Tasks

4. SPECIFIC TASKS

TASK 1 – PROGRAM MANAGEMENT (Contract PWS Task 1)

Subtask 1.1 - Events and Meetings (Contract PWS Task 1.3)

The Contractor is responsible for attending regularly scheduled weekly meetings with the TOCOR and other professional conferences, ad-hoc meeting or events as directed by the TOCOR/ATOCOR. The contractor may be required to record and distribute meeting notes.

1.1 Deliverable:

Attend weekly meetings with TOCOR and any other meetings as directed.

1.1 Acceptance Criteria

Report status of activities at weekly meetings and adjust activities as instructed by TOCOR.

Subtask 1.2 – Reporting (Contract PWS Task 1.4)

Provide monthly progress reports (in Microsoft Word format) that are broken down by task.

Special reports/analyses shall be performed at the request of the COR via written direction.

1.2 Deliverable:

Progress reports submitted to the TOCOR/ATOCOR and ORD RLO via e-mail by COB on the tenth day of the following month.

1.2 Acceptance Criteria

All reports shall be submitted in a timely manner and be accurate, complete, and clear and will include statistics on work performed, such as number of boxes reviewed, indexed, and customers served.

TASK 2 – PRESENTATIONS AND TRAININGS (Contract PWS Task 4)

Prepare and deliver records management presentations/trainings at meetings upon receipt of written direction from the COR. Presentations/training may need to be provided for groups of people, or such training may involve one-on-one sessions at the work station; for example, assisting an employee with identifying e-mail records and how to declare records to ECMS.

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 EPA Communications Stylebook and Agency regulations and policies governing media, or as directed and approved by the TOCOR/ATOCOR.

2.0 Deliverables:

Initial draft and final presentation in electronic format.

2.0 Acceptance Criteria

Upon delivery of presentation, all questions arising from presentation successfully responded to or forwarded to RLO for resolution. Contractor provides original sign-in sheets, handouts and evaluation sheets for group training sessions or a short (one to two paragraphs) summary of any one-on-one training with an employee.

TASK 3 – RECORDS MANAGEMENT (Contract PWS Task 8)

Subtask 3.1 – Inventory Records (Contract PWS Task 8.2)

Conduct record inventories and identify records for ORD HQ RRB organizations and staff.

Assign records to agency schedules and separate records from non-records. Assist staff in initial file plan implementation and respond to any follow up questions from RLO or staff.

3.1 Deliverable:

Quick reference guide listing the relevant employee's records holdings, the record schedules for those records (with hyperlinks to those schedules), location of records, to be delivered to the ORD RLO for approval. Once approval has been received, the final version of the quick reference guide will be sent to the employee.

3.1 Acceptance Criteria

All products are determined to be complete, clear, technically accurate, timely, and organized.

Subtask 3.2 – Review, Update and Maintain File Plans (Contract PWS Task 8.2)

Review, update and maintain file plans for each ORD HQ RRB organization. As reorganizations that impact ORD HQ RRB offices occur, assist in creating new file plans for new organizations.

3.2 Deliverable:

Up-to-date file plans with references to only current record retention schedules for each ORD RRB organization.

3.2 Acceptance Criteria

Subtask 3.3 – Identify Essential (Vital) Records (Contract PWS Task 8.2)

When requested by the TOCOR, assist ORD HQ organizations in the identification of records which may be considered essential (vital) records and deliver completed inventory.

3.3 Deliverable:

The contractor shall identify and provide completed inventory for potential essential records at ORD HQ RRB to the RLO within two weeks of request.

3.3 Acceptance Criteria

Subtask 3.4 – Record Identification and File Maintenance (Contract PWS Task 8.2)

Provide assistance and expertise in record/non-record identification, assistance to departing staff with transfer of records, and in setting up and maintaining centralized file stations, which must follow the EPA file plan.

3.4 Deliverable:

Completed assistance to staff in record identification and file organization.

3.4 Acceptance Criteria

Appointments with staff are made promptly, appointments are kept, and all issues are resolved. For file stations, the contractor shall organize files according to file plan and complete cabinet/shelf labels and guide cards for file stations as required.

Subtask 3.5 – Maintain ORD Record Storage Rooms (Contract PWS Task 8.3)

Set up and maintain file rooms for storage of inactive records. Inventory incoming materials, apply records schedules, and store accordingly. Keep inventory of all materials and work with ORD organizations to disposition files as needed. Records and nonrecord materials are separate and marked accordingly. Room kept in a safe and orderly manner, free of excess materials not appropriate for storage.

3.5 Deliverable:

Contractor shall develop and maintain an inventory tool containing all data fields necessary for records identification, maintenance and ultimate disposition. The Contractor shall ensure finding aids, indexes, cross-references, box inventories, and tracking reports accurately reflect the file’s organization and contain complete information entered for all incoming materials placed into storage. Status of materials in storage to be included in monthly report.

3.5 Acceptance Criteria

Data compiled for records in storage will be reviewed in weekly meeting with TOCOR and any identified issues shall be addressed by following week. Room maintained with clear aisles, trash removed daily and no materials stored in unsafe manner at any time. Non record materials separated from records, and unnecessary materials identified and staged for removal.

Subtask 3.6 – Records Dispositioning (Transfer / Disposal) (Contract PWS Task 8.3)

In accordance with approved records schedules, EPA procedures and guidance documents, prepare records eligible for transfer to the Federal Records Center (FRC) and complete shipment. For records eligible for destruction, complete destruction forms, obtain concurrence signatures and process for recycling/shredding.

3.6 Deliverable:

3.6.1 Records eligible for transfer to the FRC are successfully transferred.

3.6.2 Records eligible for destruction are processed according to agency policy and destruction forms are completed and all concurrences are obtained prior to destruction.

3.6 Acceptance Criteria

3.6.1 Records eligible for transfer to FRC are successfully transferred electronically via the NARA ARCIS database, and physically via required EPA forms (box folder listings for all boxes, and EPA logistics forms and boxes are accepted by the FRC.

3.6.2 Records eligible for destruction have completed destruction forms, with required concurrence signatures. Upon completion of destruction forms, records are recycled/shredded, as directed by TOCOR and finding aids/inventories are updated to reflect status.

Subtask 3.7 – Records Retrieval from On-Site Storage/FRC (Contract PWS Task 8.3)

Locate records, deliver records to requestor, and return records to storage and/or the FRC upon request by persons authorized to request records. E-mail responses copied to the RLO as well as the information requestor.

3.7 Deliverable:

The contractor shall locate and deliver records to the requestor as needed.

3.7 Acceptance Criteria

Records that are stored in the Ronald Reagan Building shall be delivered within one day of request and discovery of records, if the number of boxes is five or less. Records located at the

FRC shall be requested by the contractor via the NARA ARCIS database within one day of identification and records requested from the FRC shall be arranged to be returned to EPA within 72 hours. Original records being returned to storage shall be resubmitted to the FRC within one week of return from requestor.

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 style guidelines. All statistical and other technical terminology shall not be used without providing a glossary of terms.

5.2 Knowledge and Training

5.2.1 Knowledge

The Contractor shall be knowledgeable about the information lifecycle processes, including the management of different sources and formats (data, paper documents, electronic documents, audio, social business, video, microfiche, and microfilm) for delivery through multiple channels that may include cell phones and Web interfaces. The Contractor shall have experience in capturing, managing, preserving, storing and delivering the right information to 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, offer litigation support, and shall conduct all work following applicable regulations and EPA policy.

5.2.2 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.

5.3 Certifications

No certifications are required prior to contract personnel beginning work; however, all contractors will be required to complete the EPA online training modules titled “Records Management Training for RLOs and Records Contacts” as well as all other Records Management training courses required of all staff.

5.4 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.

5.5 Telework

Teleworking privileges may be granted under special circumstances. The Contractor shall submit a request documenting special circumstances, with a list of all staff that wish to telework for TOCOR/ATOCOR approval.

6. TRAVEL

The Contractor may be required to travel to other offices, relevant conferences, or EPA sponsored training as directed by the TOCOR/ATOCOR. No travel is expected to be required under this task order.

7. GOVERNMENT ACCEPTANCE PERIOD

The TOCOR/ATOCOR will review deliverables and/or performance prior to acceptance.

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 are contrary to the information contained in 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 for Government review and acceptance.

10. QUALITY ASSURANCE SURVEILLANCE PLAN

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

11. GOVERNMENT ACRONYMS

ARCIS: (NARA) Archives and Records Center Information Systems ATOCOR: Alternate Task Order Contract Officer’s Representative COR: Contracting Officer’s Representative CO: Contracting Officer ECMS: Enterprise Content Management System ERA: (NARA) Electronic Records Archives FOIA: Freedom of Information Act FRC: Federal Records Center IM/IT: Information Management/ Information Technology NARA: National Archives and Records Administration NRMP: (OEI) National Records Management Program OEI: Office of Environmental Information PII: Personal Identifiable Information PRA: Paperwork Reduction Act PWS: Performance Work Statement QA: Quality Assurance

QASP: Quality Assurance Surveillance Plan RLO: Records Liaison Officer TO: Task Order TOCOR: Task Order Contracting Officer’s Representative WNRC: Washington National (Federal) Records Center

12. SCHEDULE OF DELIVERABLES

Task Description Frequency/Deadline

1.1 Attend weekly meetings with TOCOR and any other

meetings as directed.

Weekly, and as otherwise directed.

1.2 Provide monthly progress reports submitted to the

TOCOR/ATOCOR and ORD RLO via e-mail by COB on the tenth day of the following month.

Monthly, by COB on the 10th of the following month.

2.0 Initial draft and final presentation of any records

management trainings/presentations in electronic format.

As directed by TOCOR.

3.1 Record Inventories - Quick reference guide listing the

relevant employee's records holdings, the record schedules for those records (with hyperlinks to those schedules), location of records, to be delivered to the ORD RLO for approval.

3.2 Up-to-date file plans with references to only current

record retention schedules for each ORD RRB organization.

3.3 The contractor shall identify and provide completed

inventory for potential essential records at ORD HQ RRB to the RLO within two weeks of request.

3.4 Completed assistance to staff in record identification

and file organization.

Ongoing, as requested.

3.5 Contractor shall develop and maintain an inventory

tool containing all data fields necessary for records identification, maintenance and ultimate disposition.

The Contractor shall ensure finding aids, indexes, cross-references, box inventories, and tracking

Ongoing, status to be reported in monthly report of task 1.2 reports accurately reflect the file’s organization and contain complete information entered for all incoming materials placed into storage.

3.6 Records eligible for transfer to the FRC are

successfully transferred.

Ongoing, status to be reported in monthly report of task 1.2

3.6 Records eligible for destruction are processed

according to agency policy and destruction forms are completed and all concurrences are obtained prior to destruction.

Ongoing, status to be task 1.2

3.7 The contractor shall locate and deliver records to the

requestor as needed.

Ongoing, status to be task 1.2