Attachment22_Records_OEI_DraftSOW.pdf

PERFORMANCE WORK STATEMENT

Records and Information Management Services, Records Manage Services for Office of

Environmental Information/Office of Program Management

Information Management Center Services IV (IMCS IV) Contract

Contract #: TBD Task Order # TBD

TASK ORDER PERFORMANCE WORK STATEMENT

06/29/2016

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

I. 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

II. KEY EPA PERSONNEL:

Task Order Contracting Officer Representative (TOCOR)

Name: Tanyan Bailey Office: OEI/OPM

Address: 1200 Pennsylvania Avenue N.W.

West Building, Room 5312 Washington DC 20460, Mail Code 2812T

Telephone Number: 202-564-3133 Fax Number: 202-566-0968 Email: bailey.tanyan@epa.gov

Alternative Task Order Contracting Officer Representative (ATOCOR)

Name: “This information will be provided upon award of Task

Order.”

Office: [e.g., Office of Information Resources] Address: [U.S. EPA program/region and Address]

Telephone Number: [phone number] mailto:bailey.tanyan@epa.gov

Fax Number: [fax number] Email: [email address]

III. AUTHORITIES

a. Legal Authority:

Paperwork Reduction Act of 1995

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

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

36 CFR Chapter XII, Subchapter B – Records Management

40 CFR 2, Public Information

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

5 U.S.C. 553, Rule Making

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

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

42 U.S.C. Chapter 103 – Comprehensive Environmental Response, Compensation, and Liability

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

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

Executive Order 12291 – Federal Regulation

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

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

b. Regulatory Authority:

OMB Circular A-130, Management of Federal Information Resources

c. EPA Documents:

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

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

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

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

EPA Information Security Policy (CIO 2150.3) Procedures and Standards

EPA Privacy Policy (CIO 2151.1)

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

Web Governance and Management Policy (CIO 2180.1)

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

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

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

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

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

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

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

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

Intranet documents to be provided:

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

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

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

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

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

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

IV. 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.

The Office of Program Management is responsible for providing the Office of Environmental Information central policy, planning, resources management and administrative services, as well as for serving as OEI's focal point for outreach and communication within OEI, within the Agency, and with external Agency partners, customers and stakeholders. The office is composed of three entities: The Policy, Outreach and Communication Staff, the Human Resources and Administrative Management Staff and the Resource and Information Management Staff.

OPM needs to implement a records management program in accordance with the guidance provided by the Office of Environmental Information’s Office of Information Collection (OIC).

OPM needs to acquire a contractor support to perform selected records management functions described below. OPM has set up an overall records management program where the TOCOR serves as the OEI Records Liaison Officer (RLO) and each division within OEI has a lead records management contact that has responsibility to ensure coordination and implementation.

Where work is to be performed:

Work will be performed at EPA Headquarters in Washington DC at the EPA West Building.

1200 Pennsylvania Avenue N.W.

West Building, Room 5312 Washington DC 20460, Mail Code 2812T

The current list of OEI offices (office names will change due to reorganization) for primary work is:

Office of the Assistant Administrator - Immediate Office Quality Staff Office of Program Management

Office of Information Collection Office of Technology Operations and Planning

Office of Information Analysis and Access

2. PURPOSE

The purpose of this Performance Work Statement is to acquire contract support for the operation of the OEI/OPM task order and provide records management support for OPM to expand their records program OEI wide. Services shall be made available in person as well as electronically via client desktops. Contract support activities may include:

d. Program Management

e. Management and Administration

f. Web Maintenance

g. Presentations and Trainings

h. Customer Service

i. Information Technology Systems

j. Records Management

k. Transition

3. SCOPE

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

4. Specific Tasks

The Contractor will work with OEI on planning and executing the following services as identified in the IMCS IV PWS and Task Orders.

TASK 1: Program Management

The Contractor shall provide program management support, including, but not limited to, the following:

Subtask 1.1 Work Plan

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

“The contractor shall leverage resources and time to incorporate, consolidate and compile as appropriate information based on the time frame into one type of report. Further clarification can be provided by the

TOCOR/ATOCOR to assist the contractor in meeting the deliverables. Example: all weekly, monthly, semiannual, bi weekly reports can be consolidated/compiled to include other information required to be reported during this time frame”.

Deliverables

1.1 – Work Plan 15 business days upon award of TO.

Acceptance Criteria The work plan shall meet requirements for accuracy, completeness and shall include the following: organization, operation and maintenance, schedules, hours and cost estimate.

Requested work (options, written material) will be completed by an agreed upon deadline.

Work and deliverables may vary within OEI and may be determined in consultation with each offices records management points of contact. All work must be approved in advance by the TOPO.

Subtask 1.2 Annual Business Improvement Plan An Annual Business Improvement Plan shall be created at least 10 business days and submitted to the TOCOR before the end of each contract year. The document shall include recommendations for improving task orders business practices, procedures, policies, or technology. The plan should be formatted in Word or Excel to the TOCOR.

Subtask 1.3 Reporting Provide monthly technical reports in Word format and shall include information on progress made; problems encountered; and recommendations and/or actions taken to address problems which occurred under this deliverable.

1.3 – Technical reports (monthly)

Acceptance Criteria All reports are to be accurate, clear and concise and submitted on time. Reports should be submitted to the TOCOR and OEI RLO via e-mail by COB by the 10th of each month.

TASK 2: Management and Administration

Subtask 2.1: Revise and Review Standard Operating Procedures (SOPs), Manuals and Guides

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

Deliverables

2.1 – SOP Documents, Manuals and Guides

All reports are to be accurate, clear and concise and submitted on time. The SOPs, guidance and manuals should meet EPA standards for writing and publications design, unless directed by the TOCOR/ATOCOR.

Subtask 2.2: Clearance of Separating Contractors

Departing contractors shall account for all government property and records in their possession or custody, and must complete form 3110-1, Personnel Separation or Transfer Checklist, per agency policy 3110.5a.

Deliverables

2.2 – Form 3110-1 Personnel Separation or Transfer Checklist

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

TASK 3: Web Maintenance The Contractor shall provide Web Maintenance Support through the TOCOR to keep records management section of the OEI Intranet site current with any new informative material useful to OEI staff.

TASK 4: Presentations and Trainings Prepare and deliver records management presentations/training at meetings upon receipt of written direction from the TOCOR. Work with the TOCOR, or possibly OEI’s records contacts, on presentations, briefings, workgroup meetings, training sessions, teleconferences, and similar events to ensure the effectiveness of the records management program. This work may include making presentations with or on behalf of the TOCOR/ATOCOR.

4.1 - Initial draft and final presentation in electronic format. All questions arising from presentation successfully will be responded by the EPA Record Liaison Officer (RLO) resolution. The TOCOR/ATOCOR are the EPA authorities that will forward this information as appropriate. Original sign in sheets, handouts and evaluation sheets of group training sessions or a short summary of any one-on-one training with an employee. All deliverables are due in 30 days upon authorization to proceed.

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 reports are to be accurate, clear and concise and submitted on time. All corresponding materials shall be created and facilitated in accordance with the Agency regulations and policies governing media, or as directed and approved by the TOCOR/ATOCOR.

TASK 5: Customer Service The contractor shall provide routine service, and client requests or issues shall be reviewed and resolved promptly and in accordance with the Agency and program guidelines.

Deliverable

5.1 – Email Notification to TOCOR Monthly Report

All reports are to be accurate, clear and concise and submitted on time. The Contractor shall resolve routine client requests or issues within one business day unless otherwise directed by the TOCOR/ATOCOR. The Contractor shall immediately report the issue to the TOCOR/ATOCOR if it requires interpretation of EPA policy. The Contractor shall treat customers in a professional and courteous manner as their requests are facilitated.

TASK 6: Information Technology Systems The contractor shall serve as a backup administrator or development coordinator 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 6.1 Enterprise Content Management System (ECMS) Support 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.

TASK 7: Records Management

Subtask 7.1: Retention of EPA Records and Information Products The contractor shall review, maintain and implement retention schedules for OEI’s records per Agency policies and procedures.

Deliverable

7.1 – Quarterly Retention Schedules Report submitted quarterly

Acceptance Criteria All information will shall be accurate, concise, and clear and submitted on time.

OEI records are retained according to the Agency retention schedule unless approved by the TOCOR.

Subtask 7.2 Records Collection Maintenance The contractor shall gather any existing file plans currently used by the Office along with all currently approved disposition schedules being used by the office. Determine the appropriate file plan code by matching each major series with its appropriate disposition schedule. Assist staff with physical reorganization and/or set-up of files according to new file plan.

Deliverable

7.2 – Organizational File Plan Report submitted semi annually

Acceptance Criteria All information will shall be accurate, concise, and clear and submitted on time.

OEI file plans are maintained according to the Agency and NARA policies unless approved by the TOCOR.

Subtask 7.3 Safe Storage and Retrieval Locate records, deliver records to requestor, and return records to storage upon request by persons authorized to request records.

Deliverable

7.3 Monthly Email Notification Report to TOCOR/ATOCOR and RLO Monthly

Acceptance Criteria All information will shall be accurate, concise, and clear and submitted on time.

The contractor shall retrieve records that are stored in EPA West Building within one day of request and discovery of records unless otherwise approved by the TOCOR. Records are transferred to FRC or destroyed in accordance with approved records schedules.

Subtask 7.4 Electronic Documents and Tracking An internal up-to-date tracking system shall be updated and maintained, by the contractor, to track and securely store electronic documents as specified by the TOCOR requirements.

Deliverable

7.4 – Semi Annual OEI Internal tracking system Report

Acceptance Criteria All information will shall be accurate, concise, and clear and submitted on time.

System inventory is accurate.

Subtask 7.5 Communication The Contractor shall assist, per TOCOR direction, with the generation and distribution of information and guidance, and with the review, and implementation of trainings, to assist Agency users in the management of their records.

Deliverable

7.5 – Communication Plan

Communication and products are accurate and suitable in content, style, and tone for the target audience. Communication and products are determined to be complete, clear, technically accurate, timely, and organized.

Subtask 7.6 Digitization of Records The Contractor shall provide services to complete scanning of agency paper records into digital format, per agency procedures and standards.

Deliverables

7.6 – electronic copies of records

Records are digitized according to the Agency procedures and standards.

TASK 8 Transition The Contractor shall develop a 30 day plan and then execute to transfer all historic data, work, hardware warranties, software licenses, business and technical documentation, and software from the incumbent contractor.

Deliverables

8.1 – Phase out plan

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

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

6. TRAVEL

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

7. GOVERNMENT ACCEPTANCE PERIOD

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

8. MANAGEMENT CONTROLS

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

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

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

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

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

9. QUALITY ASSURANCE

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

10. QUALITY ASSURANCE SURVEILLANCE PLAN

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

11. GOVERNMENT ACRONYMS

ARCIS: Archives and Records Center Information Systems ATOCOR: Alternate Task Order Contract Officer’s Representative CBI: Confidential Business Information CO: Contracting Officer COR: Contracting Officer’s Representative CUI: Controlled Unclassified Information ECMS: Enterprise Content Management System ERA: Electronic Records Archives FOIA: Freedom of Information Act FRC: Federal Records Center Government Furnished Equipment (GFE) Government Furnished Information (GFI) IM/IT: Information Management/ Information Technology NARA: National Archives and Records Administration OEI: Office of Environmental Information OIAA: Office of Information Analysis and Access OIC: Office of Information Collection OPM: Office of Program and Management OTOP: Office of Technology Operations and Planning

PII: Personally Identifiable Information PMO: Program Management Office PWS: Performance Work Statement RLO: Records Liaison Officer QA: Quality Assurance SOP: Standard Operating Procedures TD: Technical Directive TO: Task Order TOCOR: Task Order Contracting Officer’s Representative

12. SCHEDULE OF DELIVERABLES

Task Description Frequency/Deadline

1.1 Work Plan Within 15 business days after

award of the task order

1.2 Business Improvement Plan 10 business days before the

end of each contract year

1.3 Technical Report Monthly

2.1 SOP Documents, Manuals and Guides Annual

2.2 3110-1 Form Personnel Separation or Transfer Checklist

As Needed

4.1 Initial draft and final presentation in electronic format As Needed

5.1 Email Notification to TOCOR Monthly

7.1 Retention Schedules Quarterly

7.2 Organizational file plans Semi Annually

7.3 Email to TOCOR and RLO Monthly

7.4 OEI Internal Tracking System As Needed

7.5 Communication Plan As Needed

7.6 Electronic copies of records As Needed

8 Phase Out Plan 30 days prior to the end of the task order