Attachment19_Records_R1_DraftSOW.pdf

Attachment 1

PERFORMANCE WORK STATEMENT

RECORDS MANAGEMENT SERVICES FOR REGION 1

Information Management Center Services IV (IMCS IV) Contract Contract #: TBD Task Order: TBD

TASK ORDER PERFORMANCE WORK STATEMENT

6/1/2016

I. TITLE: Records Management Services for Region 1

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 Margo Palmer Office Office of Information Resources Address U.S. EPA New England, Region I 5 Post Office Square, Suite 100

OARM02-1

Boston, MA 02109-3912 Telephone Number (617) 918-1949 Fax Number (617) 918-0949 Email Box Name palmer.margo@epa.gov

Alternative Task Order Contracting Officer Representative (ATOCOR)

Name Rosa Beato Office Office of Information Resources Address U.S. EPA New England, Region I 5 Post Office Square, Suite 100

OARM02-1

Boston, MA 02109-3912 Telephone Number (617) 918-1940 Fax Number (617) 918-0940 Email Box Name beato.rosa@epa.gov

IV. AUTHORITIES

a. Legal Authority:

Paperwork Reduction Act of 1995

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

36 CFR Chapter XII, Subchapter B – Records Management

40 CFR 2, Public Information

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

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. Section 300 Public Health Service Act

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

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

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

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

Clean Water Act, Section 104

Comprehensive Environmental Response, Compensation, and Liability Act, Sections 105(a)(4), 1b

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)

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

b. Regulatory Authority:

OMB Circular A-130, Management of Federal Information Resources

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

Clean Water Act Section 101(e) 40 CFR Part 300

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)

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)

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

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

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

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

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

V. TASK ORDER COMPONENTS

1. BACKGROUND

In order to plan and manage EPA activities, EPA needs information in all forms of interaction with the regulated community. For the most part, this information is located in the programs, in files on specific sites, permits, facilities, manufacturers, etc. In addition to program planning and management, EPA must be able to access all documentation to answer Congressional and Freedom of Information Act requests, and to prepare for various kinds of litigation, enforcement, and regulatory activities. In order to ensure that the necessary information and documentation can be easily and rapidly accessed, EPA needs to develop an effective records management system.

Divisional Records Centers for the Office of Environmental Stewardship (OES), and the Offices of the Regional Administrator, Public Affairs, Environmental Review, and Regional Counsel (ORA) have been established with complete inventories and program file structures in place.

Where work is to be performed:

United States Environmental Protection Agency 5 Post Office Square, Suite 100 http://intranet.epa.gov/records/tools/files/rm-manual.pdf http://intranet.epa.gov/records/tools/files/rm-manual.pdf

Boston, MA 02109

2. PURPOSE

The purpose of this Performance Work Statement is to acquire contract support for the operation of the records management services for Region 1, 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. Presentations and Trainings

d. Customer Service

e. Collection Management and Modernization

f. Information Management

g. Security

h. Records Lifecycle Management

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)

Manage Task Order The Contractor shall manage the task order including management of resources to meet shifting priorities, preparation of progress reports, conduct monitoring, quality assurance and management activities.

Subtask 1.1 Task Order Management Meetings If the TOCOR requests, the Contractor shall meet with the TOCOR to review Contractor work status. The meeting will be held to ascertain the status of work in progress and deliverables.

Other impromptu and/or regular status meetings may be held at any time during the month with the TOCOR to resolve or reset priorities if the TOCOR deems necessary.

Subtask 1.2 Contractor Knowledge

Subtask 1.2.1 Regulatory Knowledge The Contractor shall be knowledgeable in and be responsible for staying current with all existing statutes, regulations, guidance and policy regarding records management in the Agency and Region in order to ensure (or make recommendations to ensure) that the records management products, services, standards, and procedures adhere to those requirements.

Subtask 1.2.2 Program Knowledge

The Contractor shall be fully competent in the technical programs supported by the contract, to the extent necessary, to fully support the records and information management needs of those programs.

Subtask 1.2.3 Technical Knowledge

The Contractor shall also maintain up-to-date knowledge in EPA’s software suite used in the day-to-day performance of the contract (e.g. word processing, spreadsheet, and Email systems).

Subtask 1.2.4 Specialized Training While the EPA will not pay to develop and maintain the above basic competencies, the Contractor may be requested by TOCOR to attend EPA and/or federal-specific training and travel for the purpose of transferring the knowledge obtained to support the implementation of innovations and/or improvements pertaining to the ongoing operations. The Contractor shall maintain training logs to document staff participation in EPA and/or federal-specific training, including required training (e.g., Agency IT security training, regional Confidential Agency Information (CBI) training).

Subtask 1.3 Activity Report The contractor shall, based on a format provided by TOCOR, document all contract records management activities on a monthly basis. This report shall include metrics for dispositioning, transfers, and customer reference support conducted during the month.

Task 1 - Deliverables

1.2.4 Contractor shall prepare and maintain training logs to document staff participation in EPA and/or federal-specific training, including required training (e.g., Agency IT security training, regional Confidential Agency Information (CBI) training).

1.3 The Contractor shall prepare and submit a monthly report to the TOCOR for review and approval before submitting the invoice for payment to RTP. The contractor shall work with the TOCOR/ATOCOR to design a comprehensive and standardized monthly report format that meets the specifications below. The contractor shall group issued Technical Directives (TD's) by their relevant task or subtask from this SOW.

The contractor shall provide a breakdown of the following items:

All tasks/subtasks under this task order

Each TD that has been issued for this task order

Other items (as necessary) that the contractor and TOCOR/ATOCOR agree should be included in the monthly report

Descriptions of all work (by contractor staff member) that was performed for each task/subtask and each issued TD

A detailed description of any travel that occurs under each task/subtask and each issued TD, and a record of the travel costs

Specification of any additional reporting requirements required by a TD

Task 1 - Acceptance Criteria The Contractor training logs must be included as part of the monthly technical report, detailing the amount of time spent and whether the course was completed. Monthly Activity Reports shall be submitted in a timely manner and be clear, accurate, complete and will include statistics on work tasks performed.

TASK 2 – MANAGEMENT AND ADMINISTRATION (Contract PWS Task 2) Manage the McCormack Building Records Centers.

Subtask 2.1 Records Center Operations

The Contractor shall maintain the following hours of operation for the individual records centers:

OES Record Center: Monday thru Friday, 8:00am-12:00pm ORA Record Center: Monday thru Friday, 1:00pm-5:00pm

Subtask 2.2 Revise and Review Standard Operating Procedures (SOPs), Manuals and Guides

On an annual basis, or as directed by the TOCOR/ATOCOR, 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.

Subtask 2.3 Government Furnished Property The Contractor shall be responsible for the proper use and care of government furnished equipment. The Contractor shall promptly notify the TOCOR or other personnel of mechanical or system breakdowns and other needs for maintenance and repairs. The notification shall also provide an assessment of the impact, if any, to the Contractor's performance.

Subtask 2.4 File Room Supplies

The Contractor, at the request of the TOCOR, shall manage the inventory of records management supplies and notify the TOCOR of supply needs, including quantities and vendor information.

Task 2 – Deliverables

2.1 Contractor shall notify the TOCOR in writing in advance when records centers will not be open for the scheduled hours.

2.2 Contractor shall provide updated electronic copy of the Records Center Operating Procedures Manual to TOCOR on annual basis.

2.3 Contractor shall notify TOCOR within 48 business hours of GFE breakdown.

2.4 Supply inventory report is provided to the TOCOR within agreed upon timeframe.

Task 2 - Acceptance Criteria The deliverables are complete, accurate and delivered on time.

TASK 3 – RECORDS MANAGEMENT (Contract PWS Task 8)

Subtask 3.1 Records Collection Maintenance

From receipt through disposition, the Contractor shall develop, maintain, organize, inventory, index, track, and provide reference and access to the collections and records. The Contractor shall be responsible for the proper management of Collections and Records generated by EPA Region 1 Program Offices the record center supports. Proper management of Collections and Records shall adhere to standard Records Management procedures and practices.

Subtask 3.1.1 Conduct Inventory of Collections and Records

The Contractor shall perform records inventory and analysis efforts to ensure a continuous flow of records from offices to Division Record Centers and to the Federal Records Center (FRC). Consolidation of records will be addressed in this process as relationships and duplicates are identified.

Subtask 3.1.2 Process, Organize, and File Records and Collections

The Contractor, following the file structures as available, shall organize new series and add files as directed by the TOCOR. This will include creating folders, labels, and indexing. Alternative means of automating and streamlining the process will be explored with the TOCOR. This shall include receiving, identifying, processing, separating out non-record material using Federal/Agency guidance and filing new materials in accordance with file structures as developed; preparing materials for off-site storage at the FRC according to the Records Control Schedules.

Subtask 3.1.3 Circulation Support The Contractor shall circulate, as appropriate, records to customers. The Contractor shall index series, enter series into control/tracking system and maintain charge-in/charge-out system for files. Data entry for circulation tracking shall be completed within 40 business hours of charge-in/charge-out of files.

Subtask 3.1.4 Records Schedules Management and Disposition The Contractor shall follow existing disposition and retention instructions for all records series on the records control schedules, and suggest where gaps occur to the TOCOR.

The Contractor shall prepare and transfer records to and from the FRC according to EPA records schedules in quarterly intervals. Contractor shall use the in-house SF-135 system to load box inventories, and the National Archives and Records Administration’s ARCIS system to initiate new transfers. Contractor shall complete transfer of records to FRC within 45 calendar days of receipt of transfer number from the FRC.

Subtask 3.2 Safe Storage and Retrieval

All record collections shall be safely maintained 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. The contractor shall be responsible for oversight of records transfers to and from the Federal Records Centers (FRCs) according to Agency and NARA guidelines.

Task 3 – Deliverables

3.1.1 Contractor shall provide up-to-date file room inventories to TOCOR in electronic Spreadsheet form, on a quarterly basis.

3.1.1 All records dispositioning and transfers are successfully completed within 45 days of receipt of transfer number and are documented in the monthly technical report.

3.1.3 Data entry for circulation tracking shall be completed within 40 business hours of charge-in/charge-out of files.

3.2 Contractor shall report any records management best practice weaknesses in writing to TOCOR within 40 business hours of discovery of these weaknesses.

Task 3 - Acceptance Criteria All deliverables are complete, accurate and delivered on time.

Task 4 – Freedom of Information Act (FOIA) Support Services (Contract PWS Task 12) The Contractor shall, based on written direction from staff designated by the TOCOR, provide support in responding to FOIA requests. In providing such assistance, duties may include, but are not limited to, recall of boxes with responsive records from the Federal Records Center using ARCIS, extracting data and/or records from the Record Center, segregating interagency documents for review by EPA staff for release, photocopying records responsive to such requests. The Contractor shall maintain a tracking system which reflects dates FOIA requests were received, completed and which Contractor staff worked on the requests.

Task 4 – Deliverables FOIA support shall be delivered accurately and timely as needed. A tracking system for all work performed shall be developed and reported upon monthly.

Task 4 - Acceptance Criteria FOIA support shall be timely and accurate and tracking system shall reflect all work performed.

All FOIA support shall be documented in the monthly technical report.

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

5.5 Certifications

No certifications are required under this task order.

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. 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 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 COR: Contracting Officer’s Representative FOIA: Freedom of Information Act FRC: Federal Records Center GFE: Government Furnished Equipment IM/IT: Information Management/ Information Technology NARA: National Archives and Records Administration PWS: Performance Work Statement TD: Technical Directive TO: Task Order TOCOR: Task Order Contracting Officer’s Representative

12. SCHEDULE OF DELIVERABLES

Task Description Frequency/Deadline

1.2.4 Training logs Monthly

1.4 Monthly report Monthly by the 15th of

following month

2.1 Notification of hours changing

In advance to change in hours.

As occurring.

2.2 Updated Procedures Manual Annual electronic delivery

2.3 GFE Breakdown Within 48 business hours

2.4 Supply Inventory report Within agreed upon timeframe

3.1.1 File room Inventories Quarterly

3.1.1 Records Dispositioning and

Transfers

Monthly

3.1.3 Circulation Tracking Inventory Within 40 business hours of charge-in/charge-out of records.

3.2 Records management best

practices weakness notification in writing

Within 40 business hours of discovery

4 FOIA Support Monthly