Attachment17_Records_HQOAR_DraftSOW.pdf

RECORDS AND INFORMATION MANAGEMENT SERVICES

PERFORMANCE WORK STATEMENT FOR THE OFFICE OF AIR AND RADIATION (OAR)

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 The Office of Air & Radiation

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: Shawn Stingel Office: Office of Air and Radiation Address: Mail Code 6102A 1200 Pennsylvania Avenue, NW Washington, DC 20460 Telephone number: (202) 564-1503 Fax Number: (202) 564-1327 Email: stingel.shawn@epa.gov

Alternate Task Order Contracting Officer Representative (ATOCOR)

Name: Joseph Simmons Office: Office of Air and Radiation Address: Mail Code 6102A 1200 Pennsylvania Avenue, NW Washington, DC 20460 Telephone number: (202) 564-1296 Fax Number: (202) 564-1327 Email: simmons.joseph@epa.gov mailto:stingel.shawn@epa.gov mailto:simmons.joseph@epa.gov

PERFORMANCE WORK STATEMENT

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:

US EPA Documents:

Records Management Policy (CIO 2155.3), February 10, 2015 Agency Records Disposition Schedules Agency File Plan Region 4 and SESD File Plan A Guide to Conducting a Records Management Baseline Assessment

National Archives and Records Administration Documents:

Checklist for Evaluating Record Keeping Practices in Your Office Disposition of Federal Records Managing Audiovisual Records Managing Cartographic and Architectural Records Managing Electronic Records

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 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. In this contract, contractors may be requested at the Task Order level to assist with training, developing materials, tools, processing records reference requests, tracking databases, records lifecycle management and/or managing records file rooms.

For the purpose of this project, the Office of Air and Radiation (OAR) consists of the Immediate Office (IO), the Office of Program Management Operations (OPMO), the Office of Policy Analysis and Review (OPAR), the Office of Atmospheric Programs (OAP), the Office of Air Quality Planning and Standards (OAQPS), the Office of Radiation and Indoor Air (ORIA), the Office of Radiation and Indoor Air National Air and Radiation Environmental Laboratory (ORIA/NAREL), the Office of Radiation and Indoor Air Radiation and Indoor Environments National Laboratory (ORIA/RIENL), the Office of Transportation and Air Quality (OTAQ), and the Office of Transportation and Air Quality National Vehicle Fuel Emissions Laboratory (OTAQ/NVFEL). OAR oversees implementation of the Clean Air Act of 1990, as amended.

The records management program consists of four Records Liaison Officers and Records Contacts at each Division level. In keeping with the Federal and Agency records management policies as well as responding to the findings and recommendations of the Agency Records Management Task Force, implementation of Electronic Content Management, and E-Discovery initiative, the OAR records management program strives to develop a sound records management program. The main goals are to preserve the Agency’s official records and facilitate access to needed information.

OAR is frequently called upon to produce documents for FOIA and Congressional Request. This requires that good record management practices be implemented throughout the organization. There is a need for constant assistance with records training, records disposition, and records file management.

Where work is to be performed:

EPA HQ Offices at Federal Triangle in Washington, DC.

1200 Pennsylvania Avenue, NW Washington, DC 20460

Work will be performed within OAR Offices, located in Washington, DC and in the following remote OAR locations: Research Triangle Park in North Carolina, Ann Arbor, Michigan, Montgomery, Alabama, and Las Vegas, Nevada1.

2. AUTHORITIES

Legal Authority:

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

7 U.S.C. Section 136 Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)

15 U.S.C. Section 2601 Toxic Substances Control Act (TSCA)

16 U.S.C. Section 1531 Endangered Species Act

16 U.S.C. Section 528 Renewable Surface Resources

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

30 U.S.C. Section 1231 Surface Mining Control Act

33 U.S.C. Section 1251 Water Pollution Prevention and Control

33 U.S.C. Section 1401 Marine Protection Act of 1972

42 U.S.C. Chapter 82 Resource Conservation and Recovery Act 1976

42 U.S.C. Chapter 103 Comprehensive Environmental Response, Compensation, and Liability Act, Sections 105(a)(4), 1b

42 U.S.C. Section 2701 Oil Pollution Act of 1990

42 U.S.C. Section 300 Public Health Service Act

42 U.S.C. Section 4321 National Environmental Policy Act

42 U.S.C. Section 6901 Solid Waste Disposal Act

42 U.S.C. Section 7401 Clean Air Act

42 U.S.C. Section 9601 CERCLA (Superfund)

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

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

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

Paperwork Reduction Act of 1995

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)

Small Business Liability Relief and Brownfields Revitalization Act (P.L. 107-118)

Regulatory Authority:

1 As reorganizations or other office reassignments occur geographically, all contract clauses and statements shall be applied to those areas not specified in the PWS.

OMB Circular A-130, Management of Federal Information Resources

Clean Air Act Section 307 General Provisions Relating to Administrative Proceedings and Judicial Review

40 CFR Part 300 National Contingency Plan

EPA Documents:

EPA Communications Stylebook: Writing Guide (https://www.epa.gov/stylebook/epacommunications-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 Enterprise Information Management Policy (EIMP) and Minimum Metadata Standards (CIO 2135.0)

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 National Library Network Policy (CIO 2170.3), Procedures and Standards – (https://www.epa.gov/libraries/epa-national-library-network-policy-and-procedures)

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

EPA Rules and Restrictions on Docket Comments (https://www.epa.gov/dockets/commenting-epa-dockets#rules)

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-andprocedures)

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

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

Procedures for Electronic Management of Rulemaking and Other Docketed Records in the Federal Docket Management System (https://www.epa.gov/irmpoli8/procedureselectronic-management-rulemaking-and-other-docketed-records-federal-docket)

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 https://www.epa.gov/stylebook/epacommunications-stylebook-writing-guide https://www.epa.gov/irmpoli8/current-information-directives https://www.epa.gov/irmpoli8/current-information-directives https://www.epa.gov/libraries/epa-national-library-network-policy-and-procedures 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 https://www.epa.gov/dockets/commenting-epa-dockets#rules https://www.epa.gov/contracts/epa-vendor-communication-plan https://www.epa.gov/webguide https://www.epa.gov/web-policies-andprocedures https://www.epa.gov/web-policies-andprocedures https://www.epa.gov/webguide/web-style-guide https://www.epa.gov/web-policies-and-procedures/epa-webstandards https://www.epa.gov/web-policies-and-procedures/epa-webstandards https://www.epa.gov/irmpoli8/procedureselectronic-management-rulemaking-and-other-docketed-records-federal-docket https://www.epa.gov/irmpoli8/procedureselectronic-management-rulemaking-and-other-docketed-records-federal-docket http://intranet.epa.gov/ohr/rmpolicy/ads/orders/3110-5a.pdf 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

Guide for Regional ARCIS Administrators http://intranet.epa.gov/records/rlos/files/ARCIS-user_admin-guide.docx

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/rmmanual.pdf)

3. PURPOSE

The purpose of this Performance Work Statement is to acquire contract support for the operation of the Office of Air & Radiation located at 1200 Pennsylvania Avenue, NW Washington, DC 20460 and its program offices, 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

Information Technology Systems

Records Management

4. SCOPE

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

5. SPECIFIC TASKS

TASK 1: PROGRAM MANAGEMENT (Contract PWS Task 1) The Contractor shall provide program management support, including, but not limited to, the following subtasks:

Subtask 1.1 – Work Plan (Contract PWS Subtask 1.1)

The Contractor shall create and submit a Work Plan (WP) within 15 business days after award of the Task Orders (TOs). The WP shall meet Agency requirements as described in the respective TOs for accuracy, completeness, and ease of use and shall include the Contractor’s proposed plans for overall organization and management of tasks as well as staffing plans, schedules, and cost estimate for each task and subtask.

Deliverables:

1.1 The Contractor shall create and submit a Work Plan (WP) within 15 business days after award of the Task Orders (TOs).

http://intranet.epa.gov/records/rlos/files/ARCISWebinarRegions.pptx http://intranet.epa.gov/records/rlos/files/ARCISWebinarHQ.pptx http://intranet.epa.gov/records/rlos/files/ARCIS-user_admin-guide.docx http://intranet.epa.gov/records/rlos/files/Shortguide-ARCISHQ.docx http://intranet.epa.gov/records/tools/files/rmmanual.pdf

Acceptance Criteria:

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

Subtask 1.2 – Annual Business Improvement Recommendation Proposal (Contract PWS Subtask 1.2) An Annual Business Improvement Proposal shall be produced at least 10 business days before the end of each contract year. The document shall include the Contractors cumulative list of ideas or recommendations for improving TO business practices, procedures, policies, or technology. Subjects to be addressed may include, but are not limited to: the streamlining or automating work flows, improvements in the methods used to track performance, and continued progress toward electronic information storage and access. This plan shall meet requirements specified within the individual Task Order (TO) Performance Work Statements (PWS).

1.2 An Annual Business Improvement Proposal shall be produced at least 10 business days before the end of each contract year.

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

Subtask 1.3 – Events & Meetings (Contract PWS Subtask 1.3) The Contractor is responsible for attending regularly scheduled meetings as described in the TO PWSs 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.

1.3 Meeting Notes and/or summaries no later than 5 days after meeting.

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

Subtask 1.4 – Reporting (Contract PWS Subtask 1.4) Provide monthly progress reports that are broken down by task. Special reports/analyses shall be performed at the request of the COR/RLO via written direction.

1.4 Progress reports submitted to the COR/ACOR and RLO via e-mail by COB on the tenth day of the following month.

TASK 2: MANAGEMENT & ADMINISTRATION (Contract PWS Task 2) Contractor shall update and maintain guidance documents, quick reference guides, pamphlets, and other records literature (both in hard copy and electronic formats) to reflect current Agency and Federal policies.

Subtask 2.1 – Annually Revise and Review Standard Operating Procedures (SOPs), Manuals and Guides (Contract PWS Subtask 2.1) On an annual basis, as directed by the TOCOR/ATOCOR, or as new Federal/Agency policies are implemented, the Contractor shall revise and review the Standard Operating Procedures (SOPs), manuals, and guides. The Contractor shall notify the TOCOR/ATOCOR anytime TO guidance materials require revision as a result of changes to policy or business procedures. All such materials should meet EPA standards for writing and publication design.

2.1 All SOPs, manuals, guides, and other guidance documents are updated regularly and provided to COR/RLO as requested. With oversight of COR/RLO, Contractor shall make these documents available on SharePoint, public-facing websites, and/or other platforms where information is provided. The deliverables are to be submitted semiannual.

Subtask 2.2 – Clearance of Separating Contractors (Contract PWS Subtask 2.2) The contractor is required to track and monitor all GFE under this task order. Departing contractors must account for all government property and records in their possession and ensure when a contractor resource leaves the contract all GFE is transferred back to the

EPA TOCOR/ATOCOR.

2.2 GFE Inventory Report to be submitted semiannual.

Acceptance Criteria:

All equipment and forms are determined to be acceptable, fully-functional, complete, clear, technically accurate, timely, and organized.

TASK 3: PRESENTATIONS & TRAININGS (Contract PWS Task 4)

Prepare and deliver records management presentations and trainings at meetings upon receipt of written direction from the COR/RLO. Presentations and 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. Newsletters that highlight current events and upcoming deadlines/data calls shall be generated (seasonally) at the request of the COR/RLO. Ad hoc, on-the-spot training or presentations may be administered under special circumstances as requested by the COR/RLO.

Subtask 3.1 – Presentations, Outreach and Promotions (Contract PWS Subtask 4.1) The Contractor shall develop briefings, outreach sessions, and educational programs to instruct customers in the areas of Records Management. The Contractor shall participate in, set-up, and conduct demonstrations of EPA’s information policies, services, and Records Management requirements for a broad array of customers. Demonstrations may be held at professional conferences, via webinar, or at local sites. Any materials prepared must be in accordance with EPA’s regulations and policies governing that particular medium and format.

3.1 Initial draft(s) and final deliverables to be provided in paper and/or electronic formats 30 days prior to the presentation and/or training.

3.1.1 All questions arising from presentations successfully responded to or forwarded to RLO for resolution within 5 business days upon the end of the presentation and training

3.1.2 Original sign-in sheets, handouts and evaluations of group training sessions or a short (one to two paragraphs) summary of any one-on-one training with an employee shall be provided and submitted 5 business days after the completion of the presentation and training.

All deliverables (including customer service requests) are determined to be complete, acceptable, clear, technically accurate, timely, and organized.

Subtask 3.2 – (Contract PWS Subtask 4.2) The Contractor shall develop and offer Records Management training as directed by the TOCOR/ATOCOR. The Contractor shall work with EPA staff to reserve EPA training areas or equipment as necessary. The Contractor shall provide relevant training materials for participants.

3.2 All training to be provided in paper and/or electronic formats, as requested by

EPA staff and/or RLO 30 days prior to training.

3.2.1 All questions arising from trainings successfully responded to or forwarded to

RLO for resolution 5 business days upon completion of training.

3.2.2 A short (one to two paragraphs) summary of any one-on-one or group training with EPA staff shall be provided and submitted in 5 business days upon completion of training.

TASK 4: INFORMATION TECHONOLOGY SYSTEMS (Contract PWS Task 6) The contractor shall serve as an administrator, intermediary, development coordinator, or primary point of contact to help ensure that EPA affiliated user groups are supported in their use of various EPA and federal information technology (IT) systems and tools. Those systems and related IT tasks shall include, but are not limited to, the following:

Subtask 4.1 – Electronic Records Archives (ERA) and Archives & Records Centers Information System (ARCIS) (Contract PWS Subtask 6.2) The Electronic Records Archives (ERA) is NARA's system that allows Federal agencies to perform critical records management transactions with NARA online. Agency records management staff use ERA to draft new records retention schedules for records in any format, officially submit those schedules for approval by NARA, request the transfer of records in any format to the National Archives for accessioning or pre-accessioning, and submit electronic records for storage in the ERA electronic records repository.

ARCIS is the web-based IT system of the Federal Records Centers (FRCs) of the National Archives and Records Administration. The system is the online portal through which agencies transfer/retrieve records into/from FRC storage.

The Contractor shall serve as EPA’s Agency Administrators for the National Archives and Records Administration’s (NARA’s) Electronic Records Archives (ERA) and the Archives and Records Centers Information System (ARCIS). Primary duties include:

Assisting with establishing and tracking user accounts and user groups for EPA employees and appropriate Contractor support. The Contractor shall obtain approval from the TOCOR/ATOCOR for requests to create user accounts.

Modifying, deleting, or recommending user accounts upon request.

Maintaining a list of all EPA users of ERA and ARCIS, to the fullest extent possible.

Providing customer support to EPA users of ERA and ARCIS

4.1 All questions arising from EPA users of ERA and ARCIS responded to or forwarded to RLO for resolution within 5 business days. Any technical issues or updates from these systems are conveyed to RLO.

Subtask 4.2 – Enterprise Content Management System (ECMS) Program Support (Contract PWS Subtask 6.3) The Enterprise Content Management System (ECMS) is an enterprise platform used to manage the Agency’s information resources, including records, throughout their lifecycle.

The ECMS platform is currently built on Documentum. The ECMS program (supported by EPA staff and a non-IMCS contracts) provides the policies, standards and tools used to capture, manage, store, preserve and deliver information Agency-wide. The primary applications deployed today on this platform include the EZ Email and EZ Desktop Records applications and several system administration applications.

The Contractor shall assist the ECMS program team in ongoing testing and review of ECMS functionality, operability, and usability of functions such as EZ Desktop Records, records ECMS auto-categorization, Records schedule, capture of scanned documents and Capstone implementation, as directed by the TOCOR/ATOCOR.

The Contractor shall review ECMS materials, participate in ECMS meetings, test system usability, identify flaws/bugs, document findings, meet with ECMS PMO and Contractor staff, and brief EPA personnel, as appropriate.

The Contractor shall periodically create, submit, and track helpdesk tickets to document each inquiry, technical issue, or user issue in ECMS.

4.2 All training to be provided in paper and/or electronic formats, as requested by

EPA staff and/or RLO. All questions arising from trainings successfully responded to or forwarded to RLO for resolution. A short (one to two paragraphs) summary of any one-on-one or group training with EPA staff shall be provided.

All deliverables (including staff requests) are determined to be complete, acceptable, clear, technically accurate, timely, and organized.

TASK 5: RECORDS MANAGEMENT (Contract PWS Task 8)

Subtask 5.1 – RETENTION of EPA RECORDS and INFORMATION PRODUCTS (Contract PWS subtask 8.1) Retention schedules for EPA Records and other information products shall be updated, reviewed, revised, maintained and implemented per Agency policies, procedures, and TO specific guidelines or TOCOR/ATOCOR direction.

5.1 All policy and guidance documents are updated to reflect new records schedules or as directed by the COR/RLO.

Subtask 5.2 – RECORDS COLLECTION MAINTENANCE (Contract PWS subtask 8.2) From receipt through disposition, all records shall be maintained, organized, indexed, tracked and made easily accessible by/for each OAR program office. Records inventories shall be conducted and organizational file plans shall be created and maintained according to Agency and the National Archives Records Administration (NARA) policies as specified by individual TO requirements. For program offices that undergo reorganizations, contractor shall assist in creating new file plans, staff reassignments, and shifting of records, including those within ECMS. Provide assistance and expertise in record/non-record identification (in all formats), assistance to departing staff with transfer of records via the Separating Employee closeout process, and in setting up and maintaining centralized file stations, which must follow the EPA file plan.

5.2 Up-to-date file plans with references to current (and approved) record retention schedules for OAR organizations. For ECMS file plans, contractor shall follow Agency guidance and written direction from the COR/RLO (and/or as specified in subtask 4.2). Appointments with staff are made promptly, appointments are kept and all issues are resolved. For file stations, the contractor shall complete cabinet/shelf labels and guide cards for file stations as required. At the request of the RLO, contractor shall provide support and assistance to departing/transferring personnel checklists, obtaining copies of appropriate signatures, and may be asked to sign on behalf of the RLO as requested by the

COR.

Records and files are organized systematically and staff can maintain records in accordance with office procedures. Completed forms contain accurate information and records are properly labeled and in order. Electronic records databases are easy to access and all records are documented in the database. All other records deliverables (including staff requests) are determined to be complete, acceptable, clear, technically accurate, timely, and organized.

5.2.1 - IDENTIFY ESSENTIAL (VITAL) RECORDS (Contract PWS Task 8.2)

When requested by the RLO/COR, contractor shall assist OAR program offices in the identification of records which may be considered essential (vital) records and deliver completed inventory/certification.

Deliverable:

5.2.1 The contractor shall identify and provide completed inventory for potential essential records to the RLO within one week of request or as proposed by OEI/NRMP.

All deliverables (and staff requests) are determined to be complete, Subtask 5.3 – SAFE STORAGE AND RETRIEVAL (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. Contractor shall provide assistance in responding to any Congressional inquiries, litigation holds, discovery, or other requests for records retrieval as needed.

5.3 The contractor shall deliver records within one day of request and discovery of records. 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. Contractor may be asked to sign as RLO designee per direction by the COR.

All deliverables (and staff requests) are determined to be complete, acceptable, clear, technically accurate, timely, and organized.

5.3.1 RECORDS TRANSFER I 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, including electronic transfer of permanent records via Archive’s ERA system. For records eligible for destruction, complete destruction forms, obtain concurrence signatures and process for recycled/shredding. Contractor may be asked to sign/approve as RLO designee per direction by the COR.

5.3.1 Records eligible for transfer to FRC are successfully completed electronically via the NARA ARCIS database (or in the case of future modifications, the current system of use), and physically via required EPA forms, i.e. box folder listings for all boxes, EPA logistics forms, etc.

Contractor shall provide support for annual certification of permanent records and approve transfers within ARCIS/ERA (or the current system of use) on behalf of the RLO as requested by the COR.

All deliverables (including staff requests) are determined to be complete,

6. SPECIAL TECHNICAL REQUIREMENTS

6.1 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.

6.2 FOIA Requests

FOIA request responses shall be provided within two (2) business days and comply with CIO

2155.1 (http://intranet.epa.gov/oei/imitpolicy/policies.htm) and related procedures, standards and guidance. The Contractor shall notify the TOCOR/ATOCOR immediately if the request cannot be fulfilled in two days. In this case, the Contractor shall provide time and resource estimates to the TOCOR/ATOCOR to fulfill the request. The Contractor shall provide responses to government, agency, or office-wide data calls within one (1) business day. The Contractor shall respond to other information requests as directed by the

TOCOR/ATOCOR.

6.3 Personnel

6.3.1 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.

http://intranet.epa.gov/oei/imitpolicy/policies.htm

6.3.2 Collaboration with other Contractors

The Program Manager 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 TOCOR/ATOCOR. The Contractor shall work cooperatively and collaboratively with vendors that are selected to operate TO specific tasks. The Contractor shall report to the TOCOR/ATOCOR any issues that arise from collaborating with other vendors.

6.4 Knowledge and Training

6.4.1 Knowledge

The Contractor shall be knowledgeable of 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.

6.4.2 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.

6.5 Certifications

6.5.1 Records Management: Required Certifications

Contract staff who work with EPA records may occasionally come into contact with CBI. Contractors shall be certified to handle CBI materials and are expected to manage these records appropriately.

To properly understand records and how they should be managed, Contract staff shall take Records Management training as well as Enterprise Content Management System (ECMS), Superfund Enterprise Management Systems - Records Management (SEMSRM), or other approved records systems trainings as appropriate. Selected staff may also be required to become certified ECMS Administrators.

Contract staff shall be knowledgeable and support customers with the use of ECMS and other relevant IT systems including but not limited to SharePoint, OneDrive, and other cloud-based technologies.

It is strongly recommended, but not required, that Contractor staff hold the Certificate of Federal Records Management Training from the National Archives and Records Administration (NARA).

6.6 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.

6.7 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.

7. TRAVEL

Contractor may be asked to accompany the Records Liaison Officer on special assignments as needed and per direction of the COR. All contract clauses, statements, and procedures remain in effect during travel.

8. 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.

9. MANAGEMENT CONTROLS

The following management controls are adequate to ensure that Agency officials remain accountable and retain control over the Contractor’s final work products. In summary, this contract will utilize these management controls to assure that the proposed Contractor services will not place EPA in a vulnerable position and will ensure that Government policy is not being created by or unduly influenced by Contractors, and that Contractor employees will not be assumed to be EPA employees. The TOCOR/ATOCOR is responsible for assuring compliance.

Work may or may not be off-site, depending on each TO. If working off-site, the Contractor shall ensure that it has no conflict of interest in the performance of this work. The Contractor is responsible for identifying any known or apparent conflict of interest in reporting it to the TOCOR/ATOCOR for resolution.

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, level of effort, or deliverable schedule of the work performed under the TO. 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. These documents will be secured per records control management protocols. The TOCOR/ATOCOR will provide guidance on specific the office format and schedule for EPA internal reviews as well as specific office requirements for records control.

The Contractor shall clearly identify him/herself as an EPA Contractor when acting in fulfillment of this contract. No decision-making activities relating to Agency policy, enforcement or future contracting unrelated to current work within the scope of this requirement will take place if the Contractor is present. If the Contractor has a need to meet with Federal employees onsite, then the Contractor personnel shall visibly wear identification in performance of this contract while onsite which will be issued by the Government upon arrival to the Federal facility, as applicable.

EPA shall be mentioned as the funding source, with appropriate and standard EPA disclaimers, for all subsequent publications that arise as a result of the work products of this contract, its result and products, and subsequent work stemming from these products after the contract is completed, as applicable. The TOCOR/ATOCOR will notify the Contractor via technical direction if this requirement is not applicable.

10. 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.

11. 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), as described in Attachment 2.

12. GOVERNMENT ACRONYMS

ALA: American Library Association ARCIS: Archives and Records Center Information Systems ATOCOR: Alternate Task Order Contract Officer’s Representative AWBERC: Andrew W. Breidenbach Environmental Research Center BPA: Blanket Purchase Agreement CBIC: Confidential Business Information Center COR: Contracting Officer’s Representative CO: Contracting Officer DC: Docket Center ECMS: Enterprise Content Management System ERA: Electronic Records Archives FDMS: Federal Docket Management System FIFRA: Federal Insecticide, Fungicide and Rodenticide Act FOIA: Freedom of Information Act FRC: Federal Records Center ICR: Information Collection Request ILL: Interlibrary Loan IM/IT: Information Management/ Information Technology IRIS: Integrated Risk Information System NARA: National Archives and Records Administration NSCEP: National Service Center for Environmental Publications OCA: Offsite Consequence Analysis OLS: Online Library System OEI: Office of Environmental Information PII: Personal Identifiable Information PRA: Paperwork Reduction Act PWS: Performance Work Statement QA: Quality Assurance SEMS-RM: Superfund Enterprise Content Management-Records Management SEMS-SM: Superfund Enterprise Content Management- Site Management SOP: Standard Operating Procedures TO: Task Order

TOCOR: Task Order Contracting Officer’s Representative TSCA: Toxic Substances Control Act TD: Technical Directive WebCMS: Web Content Management System

13. GOVERNMENT FURNISHED EQUIPMENT

Contractor shall be provided with the necessary equipment to perform all functions/duties outlined in the PWS above when working onsite. Contractor(s) will identify themselves as such on nameplates within their workspace and/or when attending meetings. Contractor accepts full responsibility of GFE (including telework arrangements) and is to report any deficiencies in equipment to the COR.

a. Personnel

The contractor shall ensure that all personnel assigned to work on this task order possess the knowledge, skills and experience to receive, effectively organize, distribute and prepare records for permanent storage at the National Archives. Personnel must be knowledgeable and experienced in Federal Records management. Personnel must be able to train others in Federal Records Management. Resumes for key personnel are to be provided to the

COR.

The contractor shall perform work during regular office hours and as needed by the COR/RLO. The contractor may use compressed work schedules as well as flexiplace/telework alternatives upon COR approval. When EPA/DC is closed, the contractor shall comply with the Office of Personnel Management’s Washington DC area Dismissal and Closures announcements. Contractor shall plan in advance for expected delays/closures, when given proper notice by the government. In these special cases, contractors may be granted permission to telework on snow days or unexpected situations and shall provide a summary report of the work that was done to the COR/RLO. The contractor shall only be paid for hours worked.

b. Identification of Contractor Personnel

At the beginning of all dealings with personnel, contractor personnel shall identify themselves as contractor personnel. This applies to both oral and written communication.

It applies when answering the telephone, sending e-mails, or interoffice messages such as Skype for Business.

14. SCHEDULE OF DELIVERABLES

Task Description Frequency/Deadline

1.1 Work Plan

Within 15 business days after award of the Task Order (TO).

1.2 Annual Business Improvement Proposal

At least 10 business days before the end of each contract year.

1.3 Meeting Notes and/or summaries No later than 5 days after meeting.

1.4 Monthly Progress reports No later than the tenth day of

the following month.

2.1 Standard Operating Procedures (SOPs), Manuals and

Guides

Semi Annual

2.2 GFE Inventory Report Semi Annual

3.1 Presentations, Outreach and Promotions Materials 30 business days prior to the presentation, outreach and promotions

3.1.1 Collection of Customer’s Inquiries and Responses 5 business days after the presentation, outreach and promotions

3.1.2 Summary of Outcomes 5 business days after

presentation, outreach and promotions

3.2 Training Materials 30 business days prior to the

training.

3.2.1 Collection of Customer’s Inquiries and Responses 5 business days after training

3.2.2 Summary of Training Outcomes 5 business days after training

4.1 Electronic Records Archives (ERA) and Archives &

Records Centers Information System (ARCIS)

5 business days questions and issues are addressed regularly and/or as requested by COR, RLO or OAR staff

4.2 ECMS Program Support Questions and issues are

addressed regularly and/or as requested by COR, RLO or OAR staff

5.1 Retention of EPA Records & Information Products Regularly and/or as requested by COR, RLO or OAR staff

5.2 Records Collection Maintenance Regularly and/or as requested by COR, RLO or OAR staff

5.2.1 Identifying Essential (Vital) Records Annual certification within one week of request or as proposed by OEI/NRMP.

5.3 Safe Storage & Retrieval of Records Within one day of request and discovery of records; 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.

5.3.1 Records Transfer and Disposal Regularly and/or as requested by COR, RLO or OAR staff