Attachment21_Records_R5_DraftSOW.pdf

Attachment 1

PERFORMANCE WORK STATEMENT

RECORDS AND INFORMATION MANAGEMENT SERVICES FOR

REGION 5 / SUPERFUND RECORDS CENTER

Information Management Center Services IV (IMCS IV) Contract

Contract #: TBD Task Order # TBD

TASK ORDER PERFORMANCE WORK STATEMENT

May 27, 2016

I. TITLE: Records Management Services for The Region 5 Superfund (R5 SFD) Records Center, 77 West Jackson Boulevard, 7th Floor, Chicago, IL

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: Lynn Calvin Office: Regional Records Officer, Region 5 Address: 77 West Jackson Blvd, Chicago IL 60604

Telephone Number: 312-886-1305 Email: calvin.lynn@epa.gov

Alternative Task Order Contracting Officer Representative (ATOCOR) Name: Todd Quesada Office: Superfund Records Manager, Region 5 Address: 77 West Jackson Blvd, Chicago IL 60604

Telephone Number: 312-886-4465 Email: Quesada.todd@epa.gov

IV. AUTHORITIES AND BACKGROUND DOCUMENTS

a. Legal Authority:

18 U.S.C. Chapter 101 Records and Reports

44 U.S.C. Chapter 21, Records Management by Federal Agencies 44 U.S.C. Chapter 29, Records management by Federal Agencies 44 U.S.C. Chapter 31, Records Management by Federal Agencies 44 U.S.C. Chapter 33, Disposal of Records 18 U.S.C. 1905 & 15 U.S.C. 2613, Protection of Confidential Business o Information (CBI) 5 U.S.C. 552, Freedom of Information Act 5 U.S.C. 552a, Privacy Act of 1974 5 U.S.C. 551 et. Seq. 701 et seq., 3105, 3344 Administrative Procedure

Act 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 A Guide to Conducting a Records Management Baseline Assessment Revised Guidance on Compiling Administrative Records for CERCLA Response

Actions.

https://www.epa.gov/sites/production/files/2013-11/documents/admin-record-mem-rev.pdf

Final Administrative Record Guidance-OSWER Directive #9833.3A-1 c.

Background Documents http://nepis.epa.gov/Exe/ZyPURL.cgi?Dockey=91010JDQ.txt

U.S. EPA Classification No. CIO 2155-S-01.0 / Document Digitization (Scanning) Standards

Records Management Manual

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

https://www.epa.gov/sites/production/files/2013-11/documents/admin-record-mem-rev.pdf https://www.epa.gov/sites/production/files/2013-11/documents/admin-record-mem-rev.pdf

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 to assist with training, developing materials, tools, processing records reference requests, tracking databases, records lifecycle management and/or managing records file rooms.

In order to plan and manage agency activities, EPA needs ready access to information in all formats to effectively interact with the regulated community. For the most part, this information is located in the programs and in files on specific sites or facilities. In addition to program planning and management, EPA must be able to access all documentation to answer Congressional and Freedom of Information Act (FOIA) requests, to prepare for various kinds of litigations, enforcement and regulatory activities.

EPA needs to prepare documentation as mandated by Congress, adhere to the Agency records disposition schedules as set forth by the National Archives and Records Administration (NARA) and respond to requests from the public in a timely manner. EPA needs an effective records management support system to ensure that necessary information and documentation can be easily and rapidly accessed, The Superfund Program files are housed in a central records center. The program has in place a file structure for organizing site-specific files, compiling the Administrative Record (AR), procedures for addressing requests from program users and the public, and transfer of records to the Federal Records Center following NARA recommendations.

Where Work Is To Be Performed:

Work will be performed at the Region 5 offices located at 77 West Jackson Boulevard in Chicago, IL. Some tasks may take the contractors to AR repositories within the Region 5 states, Illinois, Indiana, Michigan, Wisconsin, Minnesota, and Ohio.

2. PURPOSE

The purpose of this Performance Work Statement is to acquire contract support for the operation of the Region 5 Superfund Records Center, provide records management services to EPA staff to ensure EPA records are being managed appropriately.

Contract support activities may include:

• Program Management

• Management and Administration

• Web Development

• Presentations and Trainings

• Customer Service

• Information Technology Systems

• Collection Management and Modernization

• Information Management

• Security

• Records Lifecycle Management

• Transition

3. SCOPE

Specific support will be rendered to the Superfund staff in the areas of Cost Recovery, Contracts, and the Office of Regional Counsel (ORC). Digitization and the disposition of records to the Federal Records Center (FRC) will each remain priorities, particularly site-specific documents that record cleanup and other agency activities associated with Region 5 Waste Management programs. Compilation of the AR is of primary importance to the Office of Superfund. Not only does it form the basis for selection of response action and judicial review, but it acts as the vehicle for public participation in selecting a response action. Timely compilation, transmission to the repository, and placing of the public notice as mandated by Congress is imperative.

4. SPECIFIC TASKS

TASK 1 – PROGRAM MANAGEMENT (Contract PWS Task 1)

This task is the administration of the task order, communications, resource management, quality assurance, billing, and periodic reporting including weekly and monthly progress reports.

Subtask 1.1 Task Order Management Meetings 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 as requested by the TOCOR/ATOCOR.

Subtask 1.2 Tracking and Reporting

a. The contractor shall submit weekly and monthly progress reports to the TOCOR/A- TOCOR at regular intervals as defined under the “Deliverables” section. The contractor shall also ensure contract staff compliance with any and all agency-mandated training that extends to contract staff.

b. A task-order level monthly progress report shall be created in coordination with the TOCOR/ATOCOR that includes a breakdown of deliverables completed, direct costs, hours and dollars expended, the balance of hours and dollars remaining under TO ceilings for the current contract year, descriptions of all work, detailed description of travel (if applicable) and specification of additional reporting requirements, as described in the project work plan.

c. Any site-specific records management work performed by the contractor will be charged to Superfund sites in 15-minute intervals. Site Spill ID numbers, which are accounting codes provided by EPA (SSID #'s) will be used to determine the site charge back and given to the TOCOR/ATOCOR for review. Work performed and cost expended by the contractor shall be provided relevant to any breakdown identified by the TOCOR/ATOCOR (e.g., by site, OU, program, project). Upon direction by the TOCOR/ATOCOR, the Contractor shall be prepared to add additional tracking numbers within one business day and begin tracking costs immediately.

d. At the request of the TOCOR/ATOCOR, an annual summary report shall include the following: all products and services completed and delivered under this task order, date of completion/delivery for all products, dollars and hours spent on each product/service and project level recommendations, as stipulated under each individual TO.

e. Ad hoc reports may be requested by the TOCOR/ATOCOR. Example: statistical and narrative reports on usage of records services. These reports shall be submitted to the TOCOR/ATOCOR upon request and agreed upon time frame.

f. Government Furnished Equipment (GFE) and supply issues or needs are reported to the TOCOR. Inventory of GFE’s and supplies shall be maintained by the contractor and provided to the TOCOR/A-TOCOR upon request.

DELIVERABLES

1. Weekly progress reports are produced by COB the subsequent Monday.

2. Monthly progress reports are produced by the 5th of the following month.

3. Inventory list of government furnished equipment will be provided quarterly and when changed by the 10th of the month following the end of the quarter.

4. Ad-hoc reports, as requested.

Task 1 - ACCEPTANCE CRITERIA

1. Progress reports are delivered with minimum 95% accuracy and timeliness.

2. Time is recorded on contractor time sheets, approved by the contract manager, and presented as part of the monthly invoice.

3. GFE list is current and maintained with minimum 95% accuracy.

4. Time spent managing site specific information assets shall be recorded in 15-minute intervals on contractor timesheets with minimum 95% accuracy.

TASK 2 –MANAGEMENT AND ADMINISTRATION (Contract PWS Task 2) This task includes daily operations of the R5 SFD Records Center facility, including Standard Operating Procedure (SOP) development and production.

Subtask 2.1 Daily Operations The Contractor shall maintain the following hours of operation for SFD Records Center: Monday-Friday 8:00am-4:00pm.

• The R5 SFD Records Center shall be operated during normal business hours, and is visibly neat and orderly. The Contractor shall maintain the on-site location to ensure rapid information retrieval from the Circulation Desk. Additional operational tasks include user screening and control, maintenance of a “closed stacks” facility to house files, operation of the public docket reading room, space and equipment planning, and re-filing of returned Records Center materials.

• The Contractor shall maintain all on-site physical work spaces in a safe manner and in accordance with OSHA Requirements. If the conditions are outside of the control of the Contractor, the Contractor shall notify, in writing, the TOCOR/ATOCOR.

Subtask 2.2 Annually 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. All SOPs shall be subject to review and approval by the

TOCOR/ATOCOR.

Subtask 2.3 The contractor shall provide staffing that meets the requirements of this contract and provide quality service at all times. This includes staying current with required knowledge in the areas of Records and Information Management, Project Management, and Database and spreadsheet usage. The contractor is solely responsible for directing its contractor staff with respect to work assigned, personal work schedules, leave, and locations for the performance of work.

Subtask 2.4: Clearance of Separating Contractors Departing contractors must 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.

Task 2 - DELIVERABLES

1. Standard operating procedures (SOP) guidance documents will be updated annually, and maintained on an ongoing basis by the contractor detailing all standard practices in support of associated tasks.

2. Operational tasks are performed according to the procedures set forth in the SOPs.

Task 2 - ACCEPTANCE CRITERIA

1. Deliverables are updated and delivered on time, with minimum 95% technical accuracy.

TASK 4: PRESENTATIONS AND TRAINING (Contract PWS Task 4)

This task is for the conveyance of records and information knowledge to end users. 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.

Subtask 4.1 Presentations, Outreach and Promotions The Contractor shall provide Records Management training to the program at the TOCOR’s/ATOCOR’s request. The Contractor shall develop briefings, outreach sessions, and educational programs to instruct customers in the use and availability of information products and library services. The Contractor shall participate in, set-up, and conduct demonstrations of EPA’s information products, services, and databases for a broad array of customers.

At the TOCOR’s/ATOCOR’S request, 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.

Subtask 4.2: Training The Contractor shall develop and offer training to end users 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.

Potential training topics include:

• Records Management training for EPA Staff and Senior Officials.

• Records Management briefing for New Employees.

• Searching and navigation of electronic systems of records, including the document management component of the Superfund Enterprise Management System (SEMS- RM / formerly SDMS) and the SharePoint-based Region 5 Electronic Documents Management System (R5-EDMS).

Task 4 – Deliverables

1. Draft presentation materials --1 week before meeting or as specified in work request.

2. Training or Presentation- on date specified in work request.

3. Copies as specified in work request

Task 4 - Acceptance Criteria:

1. Contractors shall clearly identify themselves as contractors at all training and presentations.

2. Training or presentation materials contain no factual errors.

3. Training or presentation materials are free of grammatical errors.

4. Contractor’s presentations and training are of the length specified in the request.

5. Contractor oral presentation is clearly presented and appropriate to the audience.

TASK 5: CUSTOMER SERVICE (Contract PWS Task 5)

The Contractor shall resolve routine client requests or issues within the timeframes specified under the acceptance criteria, unless otherwise directed by the TO PWS or the TOCOR/ATOCOR. The Contractor shall immediately report the issue to the TOCOR/ATOCOR if it requires interpretation of EPA policy. The Contractor shall treat customers in a professional and courteous manner as their requests are facilitated according to TO-defined protocol.

Subtask 5.1: Information Requests All routine client requests or issues shall be reviewed and resolved promptly and in accordance with Agency and program-specific policies, procedures and guidelines as well as individual TO requirements.

Subtask 5.1.1: Customer Service Requests (Circulation The contractor shall assist the Superfund Division in providing appropriate access to records, related documents, and information in support of agency business needs including but not limited to support for Freedom of Information Act (FOIA), and public docket requests. All potential sources of responsive records are to be considered and verified by the contractor when providing records access to Superfund, irrespective of format. In all cases, the contractor will abide by agency, regional, and program-specific document access procedures.

Subtask 5.2: Customer Service Request Tracking The contractor shall record, track, and synthesize all customer service transactions and make the associated statistics readily available for reporting requirements as specified under the deliverables section.

Subtask 5.3: Customer Service Feedback All customer service feedback tools shall be developed and/or distributed to appropriate internal stakeholders according to TOCOR direction.

Task 5 - DELIVERABLES

1. A TOCOR-approved cumulative tracking system to record customer feedback capable of providing reports will be developed and maintained by the contractor in compliance with subtask 5.4.

2. Reports detailing the tracking of all circulation and other customer service transactions are provided in accordance with the SOPs or at the request for the

TOCOR/ATOCOR.

3. The contractor will recruit employees that are professional in skill and in manner, with corresponding credentials in accordance with the appropriate skillset requirements for each position.

4. The Contractor shall ensure that all task order 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.

Task 5 - ACCEPTANCE CRITERIA

1. Deliverables are provided at a 95% minimum for timeliness and accuracy.

2. FOIA-specific circulation requests are fulfilled within 48 hours of receipt, in support of FOIA regulations requiring an agency 20-day turnaround time.

3. All circulation requests are completed with minimum 90% timeliness and accuracy.

4. Internal program requests are filled within one week.

5. Certificates recording task order staff compliance with EPA required training modules are provided to the TOCOR/ATOCOR upon completion.

TASK 6: INFORMATION TECHNOLOGY SYSTEMS (Contract PWS Task 6) This task includes the administrative operation of electronic-based information systems. The contractor shall provide support to system administration to help ensure that EPA affiliated user groups are supported in their use of various agency and federal systems of records and tools including system admins support for SEMS-RM, SharePoint, and other applicable systems.

Subtask 6.1: Systems Administration Support This task involves keeping electronic records systems functioning efficiently for users.

The contractor shall safeguard electronic records assets from improper access to maintain informational integrity. This includes capture, organization, appropriate tagging of, and access control to sensitive electronic assets residing within an electronic system of records.

Subtask 6.2 – Electronic Systems This task includes user and document-screening for access support of the Records Management module of the Superfund Enterprise Management System (SEMS-RM, formerly known as SDMS). Similar duties pertaining to electronic records capture and management shall be provided by the contractor for other Superfund-specific document management systems for materials not covered by SEMS-RM, including but not limited to SharePoint-based systems.

Subtask 6.3: Functionality & User Acceptability Testing (UAT) The contractor shall report, track, and monitor issues related to the functionality or design of the information systems used in the course of their work. At the request of the TOCOR/ATOCOR, the Contractor shall participate in periodic testing of those systems as specified by individual TO requirements. The contractor shall assist EPA in ongoing testing and review of system functionality, operability, and usability, as directed by the TOCOR/ATOCOR. The contractor shall review materials, participate in meetings, test system usability, identify flaws/bugs, document findings, meet with contractor staff, and brief EPA personnel. The contractor shall create, submit, and track helpdesk tickets to document each inquiry, technical issue, or user issue in each system of information.

Task 6 - DELIVERABLES

1. User-specific or document-specific reports detailing access to assets provided to the TOCOR/ATOCOR upon request.

2. UAT results shared with the TOCOR/ATOCOR upon completion of the testing phase.

Task 6 - ACCEPTANCE CRITERIA

1. Deliverables are provided at a 95% minimum for timeliness and accuracy.

TASK 7 – COLLECTION MANAGEMENT & MODERNIZATION (Contract WPS Task 7)

Subtask 7.1: Controlled Documents All Controlled Unclassified Information (CUI), Confidential Business Information (CBI), FOIA Response, Offsite Consequence Analysis (OCA) materials, Personally Identifiable Information (PII), and other information that requires special handling shall be safeguarded and regulated by the contractor under existing laws and regulations in consultation with the SFD Document Control Officer (DCO).

Task 7 - DELIVERABLES

1. Up to three (3) task order staffers shall obtain CERCLA Confidential Business Information (CBI) clearance for circulation purposes, contingent upon each staffer’s completion of Region 5’s annual CERCLA CBI Training module.

2. Securing documents in all formats in the Records Center and/or other designated areas, regulation of SEMS-RM (SDMS) document access types in adherence to agency recordkeeping regulations.

Task 7 - ACCEPTANCE CRITERIA

1. The TOCOR/ATOCOR receives certificates demonstrating completion of regional and national information sensitivity training modules from the contractor immediately upon completion, and in advance of managing the associated controlled information assets.

2. Access to any controlled information only provided in optimum accordance with the SOPs and Agency recordkeeping standards concerning the safeguard of sensitive information. The task order staffer should be in full compliance with standards and procedures to mitigate against unauthorized releases.

TASK 8 - RECORDS MANAGEMENT (Contract PWS Task 8)

MANAGE INFORMATION ASSETS

The contractor shall collect and organize all hard copy and electronic documents submitted to the Record Center, prioritize the electronic capture of core documents as identified in Records Management guidance within the most current Superfund Program Implementation Manual (SPIM), shelve according to file structure guidelines (if hard copies are retained locally) and/or prepare accessions for shipment to FRC that include digitized or otherwise agency approved document transfers. Superfund files are organized in compliance with the Superfund file structure.

Subtask 8.1 Process, Organize, and File Records and Collections: In accordance with the Superfund File Structure, the contractor shall organize new files as directed by the TOCOR/ATOCOR. 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 8.2: Records Disposition (Transfer/ Disposal) In accordance with approved EPA records schedules, procedures and guidance documents, the contractor shall prepare records eligible for transfer to the Federal Records Center (FRC) and complete shipment, including physical dispositioning and tracking. For records eligible for destruction, the contractor shall complete destruction forms and obtain concurrence signatures to process for recycling/shredding.

Subtask 8.3: Digitization of Records The contractor shall provide digitization support for eligible documents in the custody of Region 5 Waste Management programs to the extent that the corresponding programmatic financial support has been applied to the contract. The support shall be provided by the contractor toward augmenting the content of document management systems used for official agency recordkeeping, including but not limited to SEMS-RM, ECMS, and other systems. Indexing and scanning/capture of documents is done in a timely manner to accommodate FOIA and program requests supporting cleanup and waste management activities. Equipment shall be maintained in an appropriate manner to allow staff to index, scan, upload documents, burn discs, and web publish as needed.

Maintenance agreements are retained, filed, and renewed as requested by the

TOCOR/ATOCOR.

Subtask 8.4 Redaction Services

Where appropriate to safeguard sensitive information, the contractor shall provide redaction services in accordance with the production of information assets during AR / Docket compilation, FOIA, or other similar information disclosures.

Subtask 8.5 Records Inventory The contractor shall provide support in the inventorying of agency records as communicated by the TOCOR/A-TOCOR in response to programmatic needs.

Task 8 - DELIVERABLES

1. Document pickup and delivery.

2. Scheduling work to meet program deadlines.

3. Distribution from the Records Center of a receipt to the program submitter within three (3) working days of the original document submission.

4. Performing records management duties (e.g. document shredding, recycling, taping of FRC boxes, etc.)...

5. Necessary hardware repairs are reported to the COR, service calls noted, and equipment ready for operation when needed.

6. The contractor will retain, and produce at the TOCOR’s request, copies of any maintenance agreements covering technical hardware in use at the Records Center.

7. Products identified by the TOCOR/A-TOCOR as related to Records Inventory.

Task 8 - ACCEPTANCE CRITERIA

1. All deliverables and services as defined in the task and subtasks are provided at a 95% minimum for timeliness and accuracy, unless otherwise noted in accordance with the submitted SOPs.

2. FRC transfers are generated and tracked in ARCIS with 95% accuracy. Boxes slated for FRC shipments are indexed within 2 days of receipt 75% of the time.

3. Document destruction is recorded using properly approved and executed document destruction paperwork.

4. Imaging of documents scanned or captured into SEMS-RM conforms to U.S. EPA Classification No. CIO 2155-S-01.0 / Document Digitization (Scanning) with minimum 95% accuracy.

5. Indexing and scanning accuracy is maintained at a 95% threshold.

6. Maintenance agreements are produced at the TOCOR’s request no later than within

24 hours or the next business day.

7. Inventory-specific deliverables are provided at a 95% minimum for timeliness and accuracy.

TASK 9: MANAGE PRODUCTS AND SPECIAL PROJECTS (Contract PWS Task 9)

This task involves the performance of a special project to produce a specific deliverable, including Administrative Record (AR) collections, Special Collections, National Priorities List (NPL) Proposal or Deletion Dockets, redaction services in support of AR indices or FOIA, records inventory, or other records and information projects.

Subtask 9.1 Administrative Records The contractor shall compile, index and maintain the Superfund Administrative Record (AR) files in response to requests and guidance from the appropriate program and ORC contact points. Additional AR support includes placing a notice of the AR availability in a local publication, sending a copy of the finalized product to the AR repository and, where feasible, publishing an electronic copy of the Administrative Record through agency internet resources.

Subtask 9.2 Programmatic and/or Public Docket Support The contractor shall compile, index, and maintain docket files in response to programmatic or ORC requests and guidance from the appropriate contact points. Docket types that the contractors shall provide support for include, but are not limited to, Superfund NPL Deletion dockets and Post-decision document indices.

Task 9 - DELIVERABLES

1. AR and other docket indices.

2. Repository reports.

3. AR list reports.

4. Public notice placements in publications.

5. Mailing of collections where appropriate.

6. Maintenance of collections, including electronic (web) publication, and FDMS publication.

Task 9 - ACCEPTANCE CRITERIA

1. All deliverables and services as defined in the task and subtasks are provided at a 95% minimum for timeliness and accuracy, unless otherwise noted.

2. Draft indices are produced within 24 hours of receipt of all associated documents 90% of the time.

3. After program finalization, the indices are compiled, duplicated, web published and sent to repositories within 2 days 90% of the time.

Task 10 - TRANSITION (Contract PWS Task 14)

At the direction of the TOCOR/ATOCOR, the contractor shall develop and then execute a plan to transfer all historic data, work, hardware warranties, software licenses, business and technical documentation, and software from the incumbent contractor the succeeding government entity or contractor within the final 120 days of the awarded contract period.

• The contractor shall submit a 120 day phase-out plan to the TOCOR/ATOCOR at least two months prior to the beginning of the transition period.

• The contractor shall provide revisions to the plan if directed by the TOCOR/ATOCOR, within 10 business days.

• The contractor shall include a schedule for transfer of work, documentation, and software from the incumbent contractor to the succeeding government entity or contractor.

• The contractor shall transfer all hardware warranties and software licenses (if applicable).

• The contractor shall transfer all business and/or technical documentation.

• The contractor shall disposition contractor purchased Government owned assets, including but not limited to, equipment, furniture, phone-lines and computer equipment.

• The contractor shall transfer all Government Furnished Equipment (GFE) and Government Furnished Information (GFI) as well as GFE inventory management assistance.

• The contractor shall turn over all government keys, ID/access cards and security codes.

• The contractor shall ensure that no significant disruptions to user services and support occur during the transition period.

The contractor shall meet with the TOCOR/ATOCOR within the last five (5) business days of the period of performance.

Task 10 – Deliverables

1. Transition briefing and report – No later than 5 days before the transition date

Task 10 – Acceptance criteria

1. Report and briefing shall cover ongoing project status, and all information and materials identified in the task.

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 Personnel

5.2.1 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.

5.2.2 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.

5.3 Knowledge and Training

5.3.1 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. All Contractor staff shall be knowledgeable in modern project management to the proficiency each staff is expected to perform (e.g., as project manager or as support staff).

5.3.2 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.

Use and Non-Disclosure Agreements The Contractor shall ensure all contractor staff have signed required non-disclosure agreements, FAR 227.7103-7.

5.4 Certifications The R5 SFD Records Center shall be staffed by at least one experienced, professional librarian with a Master’s degree in Library and/or Information Science, unless a prior exemption is granted.

5.5 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.

5.6 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

Travel within the continental US may be required to perform the work, including but not limited to obtaining information assets, performing repository appraisals, attending training and/or conferences. Travel requests must be approved by the TOCOR/ATOCOR and submitted to the TOCOR/ATOCOR no later than five business days prior to the travel.

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 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 be performed on and off-site. When working off-site, the Contractor shall ensure that it has no conflict of interest in the performance of this work and the work is performed as efficient as it would onsite. 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, according to SOPs or specific project requirements.

• The Contractor shall clearly identify him/herself as an EPA Contractor when acting in fulfillment of this contract (e.g., email footers, answering phone calls, during introduction at meetings and conference calls, etc.). 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.

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

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 CBI: Confidential Business Information 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: Superfund Enterprise Content Management System SEMS-RM: Superfund Enterprise Content Management System-Records Management SEMS-SM: Superfund Enterprise Content Management System- Site Management SOP: Standard Operating Procedures SURS: SEMS User Request System TO: Task Order TOCOR: Task Order Contracting Officer’s Representative TSCA: Toxic Substances Control Act

TD: Technical Directive WebCMS: Web Content Management System

12. SCHEDULE OF DELIVERABLES

Task Description Frequency/Deadline 1 1.2: Weekly progress reports.

1.2: Monthly progress reports.

1.2(f): Inventory list of government furnished Equipment (GFE).

1.2(e): Ad-hoc reports.

1.2 Weekly reports due by

COB the subsequent Monday.

1.2 Monthly reports due the

5th of the following month.

1.2 (f) Quarterly, due the 10th of the month following the end of the quarter.

1.2 (e) As required by procedures or programmatic needs.

2 2.2: Standard operating procedures (SOP) guidance documents. Operational tasks are performed according to the procedures set forth in the SOPs.

2.2 Annually, and as required

by procedures.

4 4.1: Draft presentation materials.

4.2: Training or Presentation materials.

4.1 One (1) week before

meeting or as specified in work request.

4.2 On date specified in work

request.

5 5.4: A-TOCOR-approved cumulative tracking system to record customer feedback capable of providing reports will be developed and maintained by the contractor.

5.3: Reports detailing the tracking of all circulation and other customer service transactions are provided

5.4: Records created as transactions occur.

in accordance with the SOPs or at the request for the

TOCOR/ATOCOR.

5: (All subtasks) The contractor will recruit employees that are professional in skill and in manner, with corresponding credentials in accordance with the appropriate skillset requirements for each position.

5: (All subtasks) The Contractor shall ensure that all task order 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: Reports generated upon request from the TOCOR/A-

TOCOR.

5 (All subtasks): At inception of the task order, and as changes in task order staffing occur. Credentials match required skillset, training certificates provided to TOCOR/A-TOCOR upon course completion.

6. 6.1: User-specific or document-specific reports detailing access to assets.

6.3: UAT results.

6.1 Provided to the TOCOR/A-

TOCOR upon request.

6.3: Shared with TOCOR/A- TOCOR upon completion of the testing phase.

7. 7.1.: Up to three (3) task order staffers shall obtain CERCLA Confidential Business Information (CBI) clearance for circulation purposes, contingent upon each staffer’s completion of Region 5’s annual CERCLA CBI Training module.

7.1: Securing documents in all formats in the Records Center and/or other designated areas, regulation of SEMS-RM (SDMS) document access types in adherence to agency recordkeeping regulations.

7.1: Certificates and document safeguarding completed as required by procedures and regulations.

8. 8.1: Document pickup and delivery.

8.1: Scheduling work to meet program deadlines.

8.1: Distribution from the Records Center of a receipt to the program submitter within three (3) working days of the original document submission.

8.1: Performing records management duties (e.g.

document shredding, recycling, taping of FRC boxes, etc.)...

8.1: As required by

8.3: Necessary hardware repairs are reported to the COR, service calls noted, and equipment ready for operation when needed.

8.3: The contractor will retain, and produce at the TOCOR’s request, copies of any maintenance agreements covering technical hardware in use at the Records Center.

8.5: Products identified by the TOCOR/A-TOCOR as related to Records Inventory.

8.3: As maintenance agreements are implemented, or as hardware problems arise.

8.5: As required by needs.

9. 9.1: AR and other docket indices.

9.1: Repository reports.

9.1: AR list reports.

9: (All subtasks). Public notice placements in publications.

9: (All subtasks) Mailing of collections where appropriate.

9: (All subtasks) Maintenance of collections, including electronic (web) publication, and FDMS publication.

9.1: Indices produced within 24 hours of receipt of associated documents.

9.1: Reports produced upon TOCOR/A-TOCOR request.

All other deliverables produced as required by procedures or programmatic

10 10: Transition briefing and report.

10: No later than 5 days before the transition date.

Attachment 1-A

Exhibit I – Site Specific Detail Attachment

To be provided by the program TOCOR in Microsoft Excel format.