Attachment5_FOIA_DraftSOW.pdf

PERFORMANCE WORK STATEMENT

FREEDOM OF INFORMATION ACT (FOIA)

Attachment 1 Information Management Center Services IV (IMCS IV) Contract

Contract #: TBD Task Order # TBD

TASK ORDER PERFORMANCE WORK STATEMENT

June 29, 2016

I. TITLE: Freedom of Information Act (FOIA) Support Services

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: Larry Gottesman Office: OIC, CSTD Address: 1200 Pennsylvania Ave. N.W Washington, D.C. 20460

Telephone Number: 202 566-2162 Fax Number:

Email: gottesman.larry@epa.gov

Alternative Task Order Contracting Officer Representative (ATOCOR)

Name: To be determined upon award Office:

Address:

Telephone Number:

Fax Number:

Email:

IV. AUTHORITIES

mailto:gottesman.larry@epa.gov

a. Legal Authority:

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

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) o EPA Enterprise Information Management policy (EIMP) and Minimum Metadata Standards (CIO 2135.0) o EPA Freedom of Information Act (FOIA) Policy (CIO 2157.1) o Web Governance and Management Policy (CIO 2180.1)

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://www.epa.gov/webguide/web-style-guide )

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

d. 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)

V. TASK ORDER COMPONENTS

1. BACKGROUND Freedom of Information Act (FOIA)

EPA’s FOIA program is highly decentralized across the National FOIA Office, Headquarters program offices, and 10 regions. Located in the Office of Environmental Information (OEI), the National FOIA Office oversees and coordinates EPA’s FOIA program. The National FOIA Office maintains the official FOIA Program files for Headquarters, manages EPA’s FOIA tracking and management system, provides FOIA training, prepares Annual FOIA Reports for the U.S. Department of Justice (DOJ), issues determinations on fee waiver and expedited processing requests, and develops FOIA procedures, policies, and guidance. The public may submit a FOIA request with the National FOIA Office, or with any of EPA’s Headquarters program offices or regions. FOIA Coordinators and FOIA Officers route FOIA requests to subject matter specialists who communicate with the requester and locate relevant records. The Office of General Counsel (OGC) provides legal advice on FOIA matters, issues final decisions on FOIA appeals and confidentiality determinations, and serves as co-counsel with DOJ in FOIA litigation.

https://www.epa.gov/stylebook/epa-communications-stylebook-writing-guide https://www.epa.gov/irmpoli8/current-information-directives https://www.epa.gov/irmpoli8/current-information-directives https://www.epa.gov/webguide https://www.epa.gov/web-policies-and-procedures https://www.epa.gov/web-policies-and-procedures https://www.epa.gov/webguide/web-style-guide https://www.epa.gov/web-policies-and-procedures/epa-web-standards https://www.epa.gov/web-policies-and-procedures/epa-web-standards http://intranet.epa.gov/ohr/rmpolicy/ads/orders/3110-5a.pdf

FOIA regulations typically require that a 20-day turnaround time is met, and program requests are filled within one (1) week. Services include records retrieval, technical processing of requests in the FOIA Online system, and other FOIA-specific tasks geared to facilitation of processing that would not require decision-making with regard to any approach to agency responses.

EPA requires support in the Management and Operations of Freedom Information Act requests throughout Headquarters and the Regions.

Where work is to be performed:

EPA Headquarters

1301 Constitution Ave. N.W.

Washington, D.C. 20004

EPA

One Potomac Yard 2777 S. Crystal Drive Arlington, VA 22202

2. PURPOSE

The purpose of this Performance Work Statement (PWS) is to acquire contract support for the operation of the Freedom of Information Act process within the Office of Information Environmental Information (OEI), Office of Information Collections (OIC), Collections Strategy Division (CSTD) located in Washington, D.C.,

3. SCOPE

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

4. Specific Tasks The specific tasks to be achieved include:

Program Management

Management and Administration

Analysis of FOIA Requests

Develop FOIA Search Terms for Electronic Searches

Review and Redaction of Records for FOIA Responses

Prepare FOIA Correspondence

Presentations and Trainings

Transition

TASK 1: Program Management (Contract PWS Task 1)

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

Subtask 1.1 Work Plan (Contract PWS Subtask 1.1)

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

Subtask 1.2 Reporting (Contract PWS Subtask 1.4)

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

a. Reports shall be written according to the respective FOIA guidelines or as directed by the TOCOR/ATOCOR.

b. A comprehensive and standardized monthly report shall be created in coordination with the TOCOR/ATOCOR and shall include, at a minimum: a list and brief description of deliverables completed and services, rendered; an account of travel conducted; direct costs, hours and dollars expended; and the balance of hours and dollars remaining under TO ceilings for the current contract year.

c. Annual summary report to include the following: all products and services completed and delivered under the TO, date of completion/delivery for all products, dollars and hours spent on each product/service.

Deliverables

1.1 Work Plan submitted within 15 days of award of this TO.

1.2 Monthly Progress Status submitted on the third work day of the Month.

Acceptance Criteria TOCOR/ATOCOR Review and response to the contractor within 5 days of receipt of the deliverable.

TASK 2: Management and Administration (Contract PWS Task 2)

Subtask 2.1 Clearance of Separating Contractors (Contract PWS Subtask 2.2)

Departing contractors must account for all government furnished equipment (GFE) and keep an accurate record of GFE throughout the life of this TO. The contractor is required to provide an annual inventory report and submit that inventory to the TOCOR/ATOCOR.

Deliverables

2.1 (GFE) Inventory Report annual report, 1st business day of the 12 month period.

Acceptance Criteria All materials are complete, accurate, professionally written, and delivered in a timely manner.

TASK 3: ANALYSIS OF FOIA REQUESTS (Contract PWS Subtask 12.1)

The contractor shall perform a thorough analysis and evaluation of the FOIA request to determine if it is a proper request, if clarification is necessary and where the request should be assigned within the organization. The following objectives are to be achieved:

• Enter request data in the FOIA tracking database.

• Recommend actions on FOIA requests, including appropriateness of fee waiver and expedited processing requests.

• Draft appropriate correspondence for TOCOR/ATOCOR review and approval.

Deliverables:

3.1 FOIA tracking report Submit to TOCOR/ATOCOR weekly

3.2 FOIA recommendations Submit to TOCOR/ATOCOR weekly

3.3 FOIA draft correspondence Submit to TOCOR/ATOCOR weekly

Acceptance Criteria All materials are complete, accurate, professionally written, and delivered in a timely manner.

TASK 4: DEVELOP FOIA SEARCH TERMS FOR ELECTRONIC SEARCHES (Contract PWS Subtask 12.5)

The Contractor shall review FOIA and other requests to identify search terms that can be used in executing electronic searches relative to FOIA.

Deliverable:

4.1 Search terms that will result in comprehensive and appropriate electronic searches. To be delivered weekly.

Acceptance Criteria:

Search terms are effective, accurate and submitted for review in a timely manner.

TASK 5: REVIEW AND REDACTION OF RECORDS FOR FOIA RESPONSES (Contract PWS Subtask 12.2)

The contractor shall prepare records for release, including both manual and electronic redaction of materials to be withheld and duplicating materials as necessary. The contractor shall also:

• To review documents to ensure materials do not contain information exempt from disclosure under applicable statutes.

• Provide periodic reports on FOIA processing, as directed by the TOCOR/ATOCOR.

• Provide support services relating to FOIA processing; including but not limited to the answering and routing of incoming calls; photocopying;

preparing memoranda and letters; and scanning documents for electronic use.

5.1 Recommended redacted materials submitted on a weekly basis as directed by the TOCOR/ATOCOR.

Records are reviewed and redacted consistent with the requirements of the FOIA.

TASK 6: PREPARE FOIA CORRESPONDENCE (Contract PWS Subtask 12.3)

The contractor shall prepare correspondence necessary to respond to FOIA requests and provide same for TOCOR/ATOCOR review.

6.1 FOIA Correspondence To be submitted weekly to the TOCOR/ATOCOR.

Acceptance Criteria:

FOIA correspondence shall be accurate, timely and professionally written and submitted within 3 business days.

TASK 7: PRESENTATIONS AND TRAINING (Contract PWS Task 4)

The Contractor shall develop briefings, outreach sessions, and educational programs to instruct customers on how to submit a request for FOIA. Any materials prepared must be in accordance with EPA’s regulations and policies governing that particular medium and format as designated by the TOCOR/ ATOCOR.

Subtask 7.1: Training (Contract PWS Subtask 4.2)

The Contractor shall develop and offer training as directed by the TOCOR/ATOCOR. All training materials shall be submitted to the TOCOR/ATOCOR for review prior to presentations. 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.

Examples of training topics may include:

What is a FOIA Record?

Overview of the FOIA

Overview of FOIA exemptions

Best practices in processing FOIA requests

Develop training for metadata tagging

7.1 Training Materials To be submitted within 30 days to TOCOR/ATOCOR.

Acceptance Criteria:

Materials are concise, accurate, professionally prepared, and completed in a timely manner.

Subtask 7.2: Metadata Tagging Training (Contract PWS Subtask 12.4)

The contractor shall develop a training to include Enterprise Information Management Minimum Metadata Standards. (https://www.epa.gov/irmpoli8/current-information-directives)

7.2 Training Materials To be submitted within 30 days to TOCOR/ATOCOR.

Materials are concise, accurate and completed in a timely manner.

TASK 8: TRANSITION (Contract PWS Task 14)

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 to the succeeding government entity or contractor within the final 60 days of the awarded contract period.

https://www.epa.gov/irmpoli8/current-information-directives https://www.epa.gov/irmpoli8/current-information-directives

The Contractor shall submit a 60 day phase-out plan to the TOCOR/ATOCOR at least two months prior to the beginning of the transition period.

Any revisions to the plan requested by the TOCOR/ATOCOR shall be made 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, phones, and computers.

The Contractor shall transfer all Government Furnished Equipment (GFE) and Government Furnished Information (GFI) and provide 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.

8.1 Transition Plan is submitted within the first 30 days of award of this TO

Plan is effective, accurate and submitted in a timely manner.

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 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 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.

5.3 Knowledge and Training

5.3.1 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.

5.3.2 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.

Required EPA training includes, but is not limited to:

Information Security Awareness

FOIA Awareness

5.4 Background Investigations

The Contractor shall comply with EPA's Personnel Security in all steps to accomplish background investigations. All Contractor staff must pass background checks before commencing work on this contract.

5.5 Telework

Teleworking privileges 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 /ATOCOR is responsible for assuring compliance. 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

ATOCOR: Alternate Task Order Contract Officer’s Representative CO: Contracting Officer COR: Contracting Officer’s Representative FOIA: Freedom of Information Act Government Furnished Equipment (GFE) OEI: Office of Environmental Information PWS: Performance Work Statement QA: Quality Assurance TO: Task Order TOCOR: Task Order Contracting Officer’s Representative

12. SCHEDULE OF DELIVERABLES

Task Description Frequency/Deadline

1.1 Work Plan Within 15 days of award of TO

1.2 Monthly Progress Status Report Third work day of the Month

2.1 GFE Inventory Semiannual on the first

business day of the 6 month period

3.1 FOIA Tracking Report Weekly Review 5th business

day of the week

3.2 FOIA Recommendations Weekly Review 5th business

day of the week

3.3 FOIA Draft Correspondence Weekly Review 5th business

day of the week

4.1 Search terms that will result in comprehensive and

appropriate electronic searches

Weekly Review 5th business

5.1 Redacted materials

Weekly Review 5th business

6 FOIA Correspondence TOCOR and/or ATOCOR review and approval within 3 business days.

7.1 Training Review and approval of

training materials within 30 business days

7.2 Metadata Tagging Training Review and approval of

training materials within 30 business days

8.1 Transition Plan Within 30 days of award of

contract.