PWS with Attachments A to H.pdf

ATTACHMENT 1

U.S. Environmental Protection Agency

Performance Work Statement

Superfund Records Management Support

US Environmental Protection Agency, Region 2

I. BACKGROUND

The Environmental Protection Agency (EPA) Region 2 requires Records Management Support Services to be obtained through a contract vehicle in order to serve its customers adequately.

EPA compiles information in many forms, which are used to interact with the regulated community. To facilitate this interaction, EPA must be able to readily access all available records in order to answer Freedom of Information Act (FOIA) and Congressional requests, and to prepare for various kinds of enforcement, litigation and regulatory activities. This demands that an effective records management system be in place. Such a system provides consistency in the way records are managed, greater efficiency in the filing and retrieval of documents, increased document security, efficient preparation of files for cost recovery and litigation as well as improved utilization of available space.

II. PURPOSE

A. The Records Management Support Services covered by this Performance Work Statement include the following primary functions:

• Maintenance and Operation of 4 File Rooms and their subsidiary space

• Management of Documents/Records/Compilation of site file and Administrative Records

• Superfund Document Management System (SDMS) Support

• Assisting EPA in responding to Freedom of Information Act (FOIA) Requests

• Maintenance of Dockets/Documents

• Providing Records Disposition

• Labor for Miscellaneous Tasks

B. The contractor shall provide sufficient on-the-job training to new employees to ensure continuity of operations at all times.

C. The contractor shall provide sufficient personnel to perform the covered functions five (5) days a week, Monday through Friday, except Federal Holidays. These are identified in the attached Department of Labor wage determination. In the event that any of these holidays occur on a Saturday or Sunday, then such holiday shall be observed on the workday designated for Government employees. The contractor shall ensure sufficient staff coverage during the core hours of 8:30 AM and 5:00 PM.

The four file rooms are at the following locations:

• Superfund Remedial File Room : 290 Broadway, New York, Room 1828

• Superfund Active Contracts File Room : 290 Broadway, New York, Room 1824

• Superfund Removal File Room: Building 205, 2890 Woodbridge Avenue, Edison, N.J.

08837

• Superfund Pre-Remedial File Room: 290 Broadway, New York, Room 1930

This file room holds approximately 600 shelves with 3,600 site files that need to be made available for review and circulation. There are on average 18 reviews, 6 updates to current site files and 2 new site files opened per month. All tasks listed in Section IV of this Performance Work Statement also apply to the Pre-Remedial File Room except the following: A5, B4 - B6, C1 - C8, E2 – E4.

D. The contractor shall provide an on-site project manager for supervision of the activities under the contract. On-site is defined as in either the New York, NY office or the Edison, NJ office. Basic duties of the Project Manager are described in Section VII of this Performance Work Statement.

III. POLICIES/PROCEDURES AND FORMS

A. Policies and Procedures

The EPA Region 2 Superfund Records Center has existing standard operating procedures and policies in place, which are described in the attachments.

The contractor shall conform with procedures related to identification of contractor office space and staff. All of the services to be performed under this contract will be performed in EPA facilities. Contractor shall keep office space clean, neat and professional. Contractor office space shall be identified as such by clearly visible signs. Contractor staff shall wear badges at all times that identify their staff as contractor personnel, and shall indicate the company for which they work when interacting with EPA staff and the public or when answering telephones. Contractor staff shall dress business casual.

B. Technical Direction Forms

Technical Direction Documents (Attachment A) will be used by the EPA Contract Level Contracting Officer’s Representative (COR) when it is necessary to provide technical clarification regarding requirements set forth in the performance of the contract.

C. General Contract Requirements

The following general contract requirements apply to all of the tasks or activities described in this Performance Work Statement:

1) This Performance Work Statement describes major tasks and task areas that the

Contractor can be expected to perform under this contract. It is not meant to be a detailed list of all possible subtasks that might be considered a part of a major task.

2) The contractor shall not interpret Agency policy as part of any task set forth in this

Performance Work Statement. EPA will make all decisions concerning policy interpretation and implementation. EPA will make final determinations on the content and format of all deliverables.

3) The role of the Contractor is to assist the Agency in implementing records management procedures in accordance with EPA policies and procedures. The Contractor shall not make records management decisions under this contract. Contractor assistance in developing procedural and technical documents is limited to recommending to the

Agency the best ways to implement policies or to present Agency policy and procedures in formats that make it more meaningful to a particular audience. Contractor assistance in communications is limited to routine administrative dissemination of information.

4) The tasks discussed below are described, in so far as possible, in technology-neutral terms. The records discussed may be in any medium (e.g. paper, microform, optical, electronic, audiovisual, cartographic, etc.). Implementation methods for the functions discussed will be appropriate to the medium on which the records are created, maintained and stored. Also note that the term "information system" as used in this Performance Work Statement can mean either an automated or manual system. This is consistent with the definition of an information system given in OMB Circular A-130.

5) The technology to intellectually and physically control records is also not specified. EPA is increasingly moving towards managing its records holdings using automated systems.

Examples include automated indexing, electronic filing, document control and management systems, inventories, records disposition schedules, and other functions that directly support the records management program. Such work merely continues traditional records management functions in a different medium. Therefore, any of the functions described in the Performance Work Statement can be done in either a manual or automated form, depending on the exact programmatic requirements.

6) The Contractor may be called upon to assist in developing procedures for accomplishing tasks, implement those procedures, or implement existing procedures. The exact range of activities will be specified by technical direction letter. In all cases, the approach the contractor selects for addressing these tasks shall:

a) Be consistent with Federal regulations and Agency policies governing records and records management

b) Allow for the possibilities that the program may or may not be currently performing the task, or have contractor support to accomplish the task;

c) Recognize that some of the documents may contain confidential business, Privacy

Act, or other sensitive information;

d) Address quality assurance and reporting requirements.

7) All records management terms used in this Performance Work Statement are defined in the 1993 edition of "A Federal Records Management Glossary" published by the National Archives and Records Administration (NARA).

http://www.epa.gov/records/gloss/

IV. TASKS

The contractor shall provide supervision and the necessary personnel and materials to perform all work necessary to accomplish the following:

A. Operation of Four Records Centers

The Contractor shall maintain and operate four file rooms by providing appropriate access to Agency records and related documents and information and by ensuring that all appropriate procedures and guidances are followed in the maintenance of the records centers.

The contractor shall:

1) Provide access to the Remedial and Removal File Rooms daily from 9:00 AM to 5:00 PM for the general public and other interested parties. All public file reviews in New York shall be conducted in the Public Viewing Room (Room 1828). All public file reviews in New Jersey shall be conducted in the Superfund Removal file room. The EPA Remedial Project Managers (RPM)/On-Scene Coordinators (OSCs)/Site Assessment Managers (SAMs) and Office of Regional Counsel (ORC) staff shall have priority over the general public and other interested parties to access their site files between the hours of 8:30 AM and 5:30 PM.

The Active Contracts File room is restricted to Superfund Contract Level CORs and

Contracting Officers (COs). The Contract Level COR will provide list of staff authorized to have access. The contractor shall provide access to the active contracts file room daily from 8:30 AM and 5:30 PM.

The Pre-Remedial File Room is restricted to EPA Emergency and Remedial Response Division (ERRD) and Office of Regional Counsel (ORC) staff. EPA access to the Pre-Remedial File Room shall be between the hours of 9:00 AM and 5:00 PM.

2) Retrieve files for EPA staff and the public and refile documents when returned.

3) Respond to requests for information from or about the record holdings. Requests may come from Agency staff and contractors, the public, and other federal agencies (hereafter referred to as requestor) and may be verbal (in person or by telephone), electronic, or written. Requests may be for records or specific documents, information from records or documents. Some requests may require extensive searches for specific documents or data. The Contract Level COR or CO will make any necessary determinations concerning who has appropriate access and what documents are appropriate to the response.

4) Serve as attendant/receptionist for file rooms in which the public and/or Agency staff review, copy, and use records.

5) Prepare documents for electronic distribution via Internet, Government Printing Office, National Technical Information Service, or similar mechanism.

B. Management of Documents/Records

1) File Compilation

a) For Remedial, Removal, Removal Assessments, Pre-Remedial and Contracts files

(i) For each new file, attend an initial planning session with the Contract Level COR and the applicable EPA staff (i.e. RPM, OSC, SAMs, or CORs) to arrange a schedule for transition of documents. The contractor shall attend additional meetings when necessary as work progresses. The contractor shall transport file documents to the appropriate file room.

(ii) Collect and inventory records related to new or existing files. Classify file documents in accordance with the EPA Region 2 ERRD Site File Structures (Attachment B). Segregate documents that are confidential in nature. Identify, BUT DO NOT DISCARD, duplicate records among the files. Duplicates shall be returned to COR.

(iii) Organize file documents, prepare labels and place documents in labeled file folders and accordion folders. Completed files shall be stored on space saver shelves alphabetically. Update files as additional documents are received.

(iv) Perform a quality assurance check when the file is complete to ensure that all documents are in the correct order and correctly filed, and annually thereafter as needed. Perform a quality assurance check on site file information with Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS) database to ensure that site identification number and site name are accurate.

(v) Search for and retrieve requested records. Provide the Contract Level COR with documents on an as-needed basis during the compilation process.

b) For non-Superfund files (e.g. Brownfields files and World Trade Center (WTC)

Administrative Record):

(i) Brownfields files shall be organized in accordance with the Brownfields File Structure (Attachment B) using manila folders and accordion folders using dividers to separate main categories then stored on shelving specified by Contract Level COR for Brownfields files.

(ii) The WTC Administrative Record shall be compiled in chronological order and indexed and numbered at document level.

c) For Non-Superfund Files Housed in Removal File Room (e.g., Spill Prevention

Control and Countermeasure (SPCC) Facilities Files, Facility Response Plan Facilities files and Non-Superfund Oil Program Enforcement files and Oil Removal files)

Organize all folders alphabetically by State and site name and place all documents in chronological order in each folder.

2) Update Files

Receive, process and file new documents and files in accordance with the approved file structures; assist with retrieving documents using the indices, both manual and online; perform special searches when deemed appropriate; and schedule work to meet program deadlines.

b) For Non-Superfund files (Brownfields and WTC)

File new documents in accordance with the above guidelines for file compilation.

c) For Non-Superfund Files Housed in Removal File Room

File new documents chronologically in folders filed alphabetically by State and site name.

3) Maintain Files

Perform all necessary file maintenance and inventory and acquire needed supplies to maintain the files for long term use and storage.

b) For Non-Superfund files (Brownfields and WTC)

Perform all necessary file maintenance and inventory and acquire needed supplies to maintain the files for long term use and storage.

c) For Non-Superfund Files Housed in Removal File Room

(i) Replace torn or damaged accordion and/or manila folders for each file, as needed, and prepare new labels for replacement folders.

(ii) Maintain and update inventory of all files.

4) Compile Administrative Records (ARs)

The contractor shall assemble a draft AR for the sites found on the priority list. The priority list is a list of Records of Decision (RODs) to be completed by the end of the fiscal year, Explanation of Significant Differences (ESD) on a ROD, and ROD amendments. The Contract Level COR will provide the priority list at the beginning of each fiscal year and advise the contractor of any changes in priority order or additions of new sites for which an AR is required. The contractor shall attend an initial meeting with EPA staff prior to beginning the compilation of each AR. Additional meetings will be scheduled as necessary during the compilation of each AR.

EPA staff will identify documents to be incorporated into the AR. The contractor shall reproduce, organize and index these documents in accordance with EPA guidance. The format to be used in compiling ARs is outlined in a memorandum from Dana Tulis, Acting Director, office of Emergency Management, entitled "Revised Guidance on Compiling Administrative Records for CERCLA Response Actions," dated September 20, 2010 (Attachment C).

The contractor shall provide a draft index to the COR. Upon approval by the RPM, the contractor shall finalize the index and AR and provide two copies on CD/DVD.

Additional copies may be required as directed by the COR.

a) For Remedial ARs:

The contractor shall inform Contract Level COR when the AR is ready for mailing to the designated repository(ies) at or near the site. EPA will prepare a transmittal letter. The contractor shall prepare and label packages for mailing. A copy of the final index and AR will be housed in the Remedial File Room.

b) For Removal ARs:

The contractor shall maintain a copy of the removal AR in the Removal File Room.

5) Update ARs

When additional documents are received for inclusion in the AR, the contractor shall process these documents as per EPA AR guidance (Attachment C) and update all ARs and indices. As part of the updating of ARs, the contractor shall maintain a log of ARs and update log as new records are compiled. The contractor shall also monitor and assist users in retrieving ARs; refile documents and perform a quality assurance audit as directed by COR.

The contractor shall maintain a list of AR repositories and update the list when new ARs are compiled.

6) Create Removal Site File Kits

Removal site file kits are utilized by EPA OSCs to develop and maintain an organized file structure while the OSCs are working at a removal site. Documents placed in the Removal Site File Kits are ultimately incorporated into the removal site files in the removal records center. Approximately fifty (50) site file kits are created annually on an as-needed basis. Old kits are reused as documents are incorporated into the removal site file.

The contractor shall prepare Removal Site File Kits for the EPA OSCs, as required.

Each site file kit includes:

a) Fifty-six (56) manila file folders labeled according to the Region 2 removal file structure (Attachment B).

b) Five (5) brown accordion folders (letter-size).

c) Hanging folders for the following sections:

(i) Administrative - five (5) bright green hanging folders

(ii) Technical - fifteen (15) violet hanging folders

(iii) Enforcement - five (5) orange hanging folders

(iv) Public Involvement - five (5) yellow hanging folders

(v) Contracts Administration - ten (10) red hanging folders

d) Five hanging folder index tabs - one for each of the above sections - typed in bold and capitalized.

C. Superfund Document Management System (SDMS)

The primary functions of SDMS will be to build collections of

• Records of Decision, ESDs and ROD Amendments;

• Administrative Records and Deletion Dockets;

• Administrative Orders and Consent Decrees;

• Action Memos and POLPREPS;

• AWork performed@ documents in support of cost recovery;

• Documents in response to Freedom of Information Act (FOIA) requests;

• Documents in support of on-going litigation

To support the SDMS effort, the contractor shall:

1) Prepare documents for scanning into SDMS. Preparation will include removing any binding material, staples, paperclips, etc., and rebinding/stapling documents. The contractor shall identify oversize or unscannable documents for special handling and flag documents which may present difficulties in the scanning process. The contractor shall scan the documents into SDMS adjusting contrast and paper-size settings as needed. The contractor shall perform electronic bates numbering as needed. The contractor shall perform quality assurance reviews of the scanned images to ensure that the images are legible, of proper orientation and are not skewed. Types of documents to be scanned are: monthly progress reports, core documents and administrative records, deletion dockets and select site files.

2) Index documents using required SDMS fields and any additional fields identified by the

COR; develop and adhere to indexing standards and ensure consistency of data within the system; perform quality assurance reviews of the indices upon completion of scanning.

3) Maintain the integrity of confidential documents in SDMS; redact documents as necessary; allow access to authorized personnel only. EPA will determine who will have access to SDMS and redactions.

4) Transfer images to CDs/DVDs as requested by the COR; maintain a library of master

CDs/DVDs and provide copies as needed to the COR; assist users with accessing and reading documents on CDs/DVDs.

5) Provide on-site technical support for SDMS; coordinate with Superfund Enterprise

Management System (SEMS) developers, RTP and Region 2 LAN administrators to ensure continued smooth operation of the system; work with SEMS staff to resolve any problems/bugs in the code and develop enhancements to SDMS.

6) Update and revise SDMS training materials as needed to help both EPA and Superfund records center staff index, scan and retrieve documents. All training materials must be reviewed and approved by EPA before being made available to staff.

7) Hold training sessions for SDMS users. The training seminars may include the following topics: logging into the system; an overview of the indexing and scanning process;

accessing images in SDMS; managing images in SDMS; demonstration of the redaction, annotation and collection features; printing images and collections; and an explanation of revised records center procedures resulting from SDMS implementation. These sessions will be conducted in small groups or one-on-one and will be scheduled as needed.

8) Assist all SDMS users (EPA staff and the public) in accessing the system, performing searches, setting up collections and printing documents.

D. Assist with FOIA Requests

The contractor shall assist the Contract Level COR in responding to Freedom of Information Act requests consistent with Agency and program policy and procedures and/or preparing records for judicial review, with limitations as stated in EPA policies and procedures.

Except for the list of excluded activities below, contractor FOIA support may include retrieval of records, copying of records and verification of document filing. EPA will review incoming request letters and instruct the contractor concerning the nature of records to be retrieved. EPA will provide written technical direction to the contractor as to what task to perform (e.g. to provide an estimate of the number of pages requested and/or to copy the documents requested). Agency staff will make all determinations regarding releasability of information and redaction.

1) Determine if the requested records exist in the file room(s);

2) Estimate the effort required to retrieve and duplicate the requested information (e.g.

number of pages requested and number of hours required to copy the requested documents or burn CD/DVD from SDMS);

3) Present the FOIA response material to the COR. Provide documentation to support the

Bill for Collection (search time, computer time, number of photocopies, and number of CD/DVDs etc.);

4) Re-file original documents.

During the performance of FOIA support, the contractor shall not:

1) Interpret the FOIA request letter;

2) Determine where to look for responsive records, except with respect to those files under the contractor's control;

3) Decide what records are releasable; or

4) Sign correspondence

E. Tracking System and Dockets

1) Maintain Tracking System

The contractor shall track and record the flow of documents in and out of the file rooms using an EPA Region 2 provided tracking system called the Region 2 Records Management System (R2RMS). The contractor shall affix a printed bar code on each folder and designated key documents to facilitate the check-in/check-out process only for remedial, removal, removal assessments and pre-remedial site files.

The contractor shall maintain (and make available upon request by the COR) a sign-in sheet for all visitors to each of the four file rooms and a separate sign-in sheet for individuals viewing Administrative Records.

2) Update Federal Facilities Docket

The Federal Agency Hazardous Waste Compliance Docket (Federal Facilities) is published two or three times a year. After each docket update is published, the Region's docket files must be updated.

a) Create an accordion file for each new Federal Facility added to the Docket.

b) Create a manila folder for each applicable reporting mechanism [CERCLA or

Resource Conservation and Recovery Act (RCRA)]. File documents received for new and existing facilities;

c) Prepare labels for all folders.

d) Collect and copy the appropriate documents from EPA HQs, Region 2 RCRA or CERCLA files (Preliminary Assessments, Site Investigations, etc.) for new and existing facilities.

e) Annotate appropriate log sheets and update computer tracking system in accordance with EPA guidance.

3) Compile Deletion Docket

EPA may delete a site from the National Priorities List (NPL) if it determines that no further response action is required to protect human health and the environment. As part of this process, EPA must prepare a deletion docket which contains all pertinent information supporting the Region's deletion recommendation.

a) Scan and electronic bates stamp documents to be incorporated into the deletion docket. The original shall be retained in the file room and one copy in electronic format shall be forwarded to the site repository. Additional copies may be required as directed by the COR; and

b) Prepare an index of documents.

4) Maintain Special Electronic/Paper Files:

The contractor shall maintain and update these unique files as part of the assistance provided for all four file rooms:

a) ARs on microfiche

b) Closed-out contracts/work performed microfiche

c) CDs/DVDs produced under Superfund Document Management System (SDMS)

d) NPL docket (as per Technical Direction Document)

e) OSWER Directives

f) Toxicological profiles

5) Provide Records Disposition

The Contractor shall assist the Agency in the implementation of all phases of a records disposition program including records identification, retirement to inactive storage, recall from inactive storage, and destruction. The specific activities identified below are typical of those that would be performed in implementing a records disposition program.

Depending on program needs, the Contractor shall perform some or all of the tasks as directed by the COR:

a) Review records and documentary materials and match them to entries in the Agency and NARA Records Disposition Schedules to determine disposition. The purpose is to identify records suitable for purging, destruction or retirement to inactive storage.

Any questions concerning proper applications of a Records Disposition Schedule will be brought to the attention of EPA.

b) Retire (archive) records to a Federal Records Center (FRC) or other storage areas including Agency records centers, central file rooms, the National Archives, or commercial storage that has been secured by the Agency. In accomplishing this task the Contractor shall perform functions such as organizing records as required in the procedures for records retirement, refoldering or labeling as necessary, boxing records, preparing an index, preparing the boxes for shipment, shipping or locally transporting the boxes to the FRC or a storage center in the metropolitan area, completing the necessary paperwork for signature by EPA.

c) Retrieve retired records. In accomplishing this task the Contractor shall perform functions such as using finding aids to locate records for retrieval, completion of forms for retrieval for EPA signature, and pick-up and delivery of documents when necessary.

d) Assist in implementing the records disposition process. Using approved Records

Disposition Schedules, the Contractor shall carry out the approved purging and/or destruction of documents. This may include carrying out the actual destruction of records by recycling, shredding, deletion or other methods of destruction as defined in approved SOPs or arranging for the destruction to be carried out.

6) Other Tasks

a) Ensure that all Superfund and non-Superfund (i.e. all activities related to Brownfields, WTC, Oil Pollution program, SPCC, etc.) charges (including ODCs) are separated and invoiced in accordance with site specific invoicing requirements.

b) Provide a monthly progress report and invoice in conformance with the Reports of

Work section of the contract (including a site specific invoice attachment - as specified on the attached format). (Attachment D);

c) Maintain a Monthly Circulation Report (MCR) for each of the 4 file rooms and provide the report to the Contract Level COR upon request. (Attachment E);

d) Provide a quarterly update of the 4 file rooms inventory reports to the Contract Level

COR (e.g., remedial and removal ARs; remedial and removal site files; deletion dockets; and microfiche collection);

e) Provide a quarterly update of the Master Inventory Report (MIR) (Attachment F);

f) When tasked by EPA, provide recommendations on improving the File Room

Standard Operating Procedures (EPA will make the final determination as to the SOPs for the file rooms);

g) Attend and participate in meetings/conference calls with Contract Level COR when necessary;

h) Attend EPA-sponsored conferences/training sessions on Records Management

(attendance at training sessions by the contractor will require prior approval of the EPA CO). These conferences/training sessions update those doing records management on the latest Agency procedures and provide Agency specific records management guidelines for resolving specific issues. The Agency will not pay for training in aspects of records management that Contractor personnel are expected to know as part of general records management services.

V. QUALITY ASSURANCE SURVEILLANCE PLAN

A. Introduction

This Quality Assurance Surveillance Plan (QASP) outlines the methods to be used by EPA Region 2 personnel in conducting surveillance of the records management contractor=s performance during the life of the contract. EPA=s surveillance activities focus on the required outcomes, not on the process or the how to used to produce the outcomes.

Specifically, the QASP describes the mechanism for documenting noteworthy accomplishments and/or discrepancies associated with the records management contractor=s deliverables/outcomes.

B. Roles and Responsibilities of EPA Personnel

Below are the roles and responsibilities of EPA personnel performing surveillance activities:

1) Remedial Project Managers (RPM), who manage remedial projects for EPA Superfund sites, and/or the On-Site Coordinators (OSC), who manage removal projects for EPA Superfund sites will email any complaints to the Contract Level COR. The COR will evaluate all complaints, and document progress of their resolution.

2) EPA CORs will review and evaluate contractor-generated Reports of Work. They will also actively participate in monitoring and surveillance activities, as required, to oversee the contractor=s performance.

3) The COR and CO will utilize surveillance feedback to determine whether the contractor=s service satisfies the contract performance standards as set forth in the contract. Surveillance results will also be the basis for determining award terms for the records management contract.

C. Surveillance Methodology

EPA personnel will utilize two quality assurance surveillance methods: (1) Periodic

Monitoring and (2) Customer Feedback.

1) Periodic Monitoring This surveillance method consists of monthly, semi-annually, annual, or random surveillance of contract deliverables for tasks A through E and the Reports of Work (Monthly Status Reports).

An example of how the surveillance activities will be undertaken is presented below:

For the Monthly Status Reports, the contractor will provide summary tables presenting information describing current or forthcoming deliverables with date delivered and/or due dates. Any outstanding issues/problem resolution associated with a Task Order will be reported along with cost information by site, task and/or activity. EPA personnel will review and verify information in the Monthly Status Reports.

2) Customer Feedback (Immediately and/or Annually)

This surveillance method consists of immediate and/or annual performance customer feedback from EPA personnel involved in the utilization or management of the Records Management Support Contract.

Immediate Customer feedback on a noteworthy accomplishment or a discrepancy is usually provided by the RPM and/or the OSC during the normal course of business. This feedback will be reported to the COR and CO for evaluation and appropriate action (if necessary) will be documented in the Surveillance Activity Checklists (see Attachments G and H). The COR will promptly notify the contractor of noteworthy accomplishment or discrepancy. For all discrepancies in contractor performance, corrective action will be determined and administered on a case-by-case basis.

For example, if while reviewing administrative records, a site RPM encounters difficulties identifying areas of concern because a) files were not organized in accordance with Regional file structures, or b) new relevant files have not been added to the records, the RPM would return the files and indicate to the COR that documents are not being properly maintained. A suitable correction may be an increase surveillance activity on a given deliverable or a requirement that the contractor enhance its own quality control on a specific deliverable. The COR would notify the contractor immediately of this event and call for corrective measures to be implemented. The COR will also initiate a spot check of a number of documents.

EPA will provide annual customer feedback to the contractor by summarizing the past year=s surveillance activities.

D. Process of Evaluation for Consideration of Award Term Incentive Periods

The COR, in consultation with the CO, will collect all EPA surveillance findings and checklists submitted throughout the year and will complete an annual Contractor Performance Evaluation in the Contractor Performance Assessment Reporting System

(CPARS). For further information on EPA=s process for documenting the contractor=s performance, please see http://www.cpars.csd.disa.mil/cparsmain.htm.

The COR will summarize all performance results and prepare an initial analysis of the contractor’s qualification for award term consideration. The contractor must achieve 8 of the 9 acceptable quality levels in order to retain the contract beyond the two-year base period. For years three through five, EPA may exercise one-year award term periods based on the contractor’s performance.

QASP TABLE

PWS

TASKS

REQUIRED

SERVICES

PERFORMANCE STANDARDS

ACCEPTABLE QUALITY

LEVELS

METHODS OF

SURVEILLANCE

A. 1) Operate and provide access to four records centers in Region 2.

Provide appropriate access to Agency records and related documents during stated hours.

Contractor shall perform this task so that no more than 2 incidents of EPA or Public restricted access during “open” hours in a six month period (June to November/December to May) will occur.

COR will randomly inspect record center access and investigate any EPA and public complaints filed through the Surveillance Activity Checklist forms.

A. 2), A. 3), A. 4), A. 5)

Retrieve files and respond to information requests.

Serve as attendant / receptionist for record rooms and prepare documents for distribution.

Retrieve files for EPA staff and the public and respond to requests for information from or about the record holdings.

Provide assistance with reviews, copying, and general use of records for EPA staff and the public. Also, prepare documents for electronic distribution, Government Printing Office, National Technical Information Service, or similar mechanisms.

Contractor shall perform this task so that valid customer complaints are received from no more than 4% of the total customers serviced for a particular task in a six month period (June to November/December to May).

COR will randomly inspect record center staffs’ interaction with EPA and the public during file access and retrieval. COR will also investigate any EPA and public complaints filed through the Surveillance Activity Checklist forms.

B. 1), B. 2), B. 3), B. 6)

Compile, update, and maintain Superfund site files, non-Superfund files and create Removal site file kits.

Compile, update, and maintain files for remedial, removal, removal assessments, pre-remedial, and Superfund contracts.

Effectively compile, update, and maintain non-Superfund files, such as Brownfields and WTC Administrative Record (AR). Create removal site file kits in an organized file structure.

Contractor shall perform this task so that no more than 10% of files inspected fail to meet requirements in a six month period (June to center files for accuracy and adherence to the file structure and confidentiality requirements.

Tenfiles will be inspected every period. COR will also investigate any EPA and public complaints filed through the Surveillance Activity Checklist forms.

B. 4), B. 5), Compile and update ARs.

Compile, update, and maintain Administrative Record files. Meet all TDD deadlines.

Contractor shall perform this task so that no more than 2 deadlines are missed per fiscal year (October to September).

COR will monitor TDD deadlines using the Monthly Status Report.

C. 1), C. 2), C. 3), C. 4)

Prepare, scan, and index documents using

SDMS.

Maintain integrity of confidential document in

SDMS.

Adequate preparation of documents for scanning into the SDMS.

Maintain the integrity of confidential documents in SDMS, redact documents as needed, and allow access to authorized personnel only.

Contractor shall perform this task so that no more than 2%of every 50 files inspected fail to meet requirements for confidentiality and no more than 5 files inspected fail to meet the requirements for completeness and adherence to the file structure in a six month period (June to November/December to May).

center files for accuracy and adherence to the file structure and confidentiality requirements. 50 files will be inspected every period. COR will also investigate any EPA complaints filed through the Surveillance Activity Checklist forms.

D. 1), D. 2), D. 3), D. 4)

Provide assistance with FOIA Requests.

Determine existence of records, estimate effort, gather/copy requested information for FOIA Requests. Provide documents by date stated on TDD.

Contractor shall perform this task so that no more than 1 deadline missed in a six month period (June to November/December to May).

COR will monitor TDD Deadlines using the Monthly Status Report.

E. 1), E. 2), Maintain a tracking system, maintain special

Maintain files for remedial, removal, removal assessments and pre-remedial in a tracking

Contractor shall perform this task so that no more than 2 center tracking system inventory and

E. 4) collections. system. Maintain an inventory for special collections.

incidents of incomplete or inaccurate inventories occur in a six month period (June to other tracking measures.

E. 3)

Compile and update Deletion Dockets.

Scan and update documents to be incorporated into the deletion docket and prepare an index.

Meet all TDD deadlines.

Contractor shall perform this task so that no more than 2 deadlines missed per fiscal year (October to September).

COR will monitor TDD Deadlines using the Monthly Status Report.

E. 5) Provide support with records disposition program.

Assist EPA in the identification of files to be retired and the implementation of the records disposition program. Meet all TDD deadlines.

Contractor shall perform this task so that no more than 2 deadlines missed per calendar year.

COR will monitor TDD Deadlines using the Monthly Status Report.

VI. SURVEILLANCE ACTIVITY CHECKLISTS

A. Periodic Monitoring Checklist – See Attachment G

B. Customer Feedback Checklist (Immediately and/or Annually) – See Attachment H

VII. STAFF DESCRIPTIONS:

PROJECT MANAGER/SUPERVISOR

The on-site Project Manager shall be responsible for supervision of all activities contained in this Performance Work Statement. On-site is defined as in either the New York, NY office or the Edison, NJ office. The Project Manager shall be responsible for planning, organizing, directing, controlling, and coordinating this function and serve as the contact point for any questions related to the contractor's work. The Project Manager shall work with the Contract Level COR to define work tasks and resolve problem areas. The Project Manager shall schedule on-going work and specific work orders for miscellaneous tasks in an efficient, responsive manner, ascertaining EPA priorities designated by the COR. The Project Manager shall review the performance of his/her employees, making recommendations to the Contract Level COR on changes that would improve efficiency of the contract operation. The Project Manager shall also ensure designation of a qualified employee to serve as a contact point in his/her absence.

Minimum Qualifications: The Project Manager shall have a minimum of three years of demonstrated relevant experience in the management of projects of a similar scope and complexity as detailed in the Performance Work Statement. The Project Manager/Supervisor shall have either Masters Degree in Library Science, Masters in Business Administration or related advanced degree in a related business field or a combination of a bachelor’s degree with a minimum of 5 years of relevant management experience.

LIBRARIAN

The librarian shall be responsible for all activities related to the management and maintenance of documents and records, ensures that records are organized and classified in the applicable file structures, develops index for administrative records, assists individuals in locating and obtaining materials, responds to requests for information from or about the record holdings, and maintains and updates databases/inventories of documents.

Minimum Qualifications: The Librarian shall have a minimum of three years of demonstrated relevant experience in the support of records management or library holding projects of a similar scope and complexity as detailed in the Performance Work Statement. The Librarian shall have either Master=s Degree in Library Science or related field or a combination of a bachelor’s degree with 5 years of relevant work experience.

LIBRARIAN TECHNICIAN

The Librarian Technician shall be responsible for maintenance of files, assists individuals in locating and obtaining materials, responds to requests for information from or about the record holdings, and maintains and updates databases/inventories of documents.

Minimum Qualifications: The Librarian Technician shall have a minimum of two years of demonstrated relevant experience in the support of records management or library holding projects of a similar scope and complexity as detailed in the Performance Work Statement.

The Librarian Technician shall have Bachelor=s degree in Library Science or related field or a combination of a bachelor’s degree with 3 years of relevant work experience.

VIII. THE CONTRACTOR SHALL NOT PERFORM ANY OF THE FOLLOWING ACTIVITIES ON

BEHALF OF EPA IN CONNECTION WITH THIS CONTRACT:

A. Legal services without the advance written approval of EPA’s Office of General Counsel.

B. The actual preparation of Congressional testimony.

C. The interviewing or hiring of individuals for employment at EPA.

D. Developing and/or writing of Position Descriptions and Performance Standards.

E. The actual determination of Agency policy.

F. Participating as a voting member on a Performance Evaluation Board; participating in and/or attending Award Fee meetings.

G. Preparing Award Fee Letters, even under typing services contracts.

H. The actual preparation of Award Fee Plans.

I. The preparation of documents on EPA Letterhead other than routine administrative correspondence.

J. Reviewing vouchers and invoices for the purposes of determining whether costs, hours, and work performed are reasonable.

K. The preparation of Statements of Work, Work Assignments, Technical Direction

Documents, Delivery Orders, or any other work issuance document under a contract that the contractor is performing or may perform. Such a work issuance document, prepared by an EPA prime contractor under an EPA prime contract for its subcontractor, is exempt from this prohibition.

L. The actual preparation of responses to audit reports from the Inspector General, General Accounting Office, or other auditing entities.

M. Preparing responses to Congressional correspondence.

N. The actual preparation of responses to Freedom of Information Act requests, other than routine, non-judgmental correspondence.

O. Any contract which authorizes a contractor to represent itself as EPA to outside parties.

P. Conducting administrative hearings.

Q. Reviewing findings concerning the eligibility of EPA employees for security clearances.

R. The actual preparation of an office's official budget request.

ATTACHMENT A EPA ERRD TECHNICAL DIRECTION FORM

ATTACHMENT B EPA REGION 2 ERRD SITE FILE STRUCTURES

ATTACHMENT C “Revised Guidance on Compiling Administrative Records for CERCLA Response

Actions," dated September 20, 2010 http://www.epa.gov/compliance/resources/policies/cleanup/superfund/admin-rec ord-mem-rev.pdf

ATTACHMENT D SAMPLES OF REPORT FORMATS

MONTHLY AND CUMULATIVE EXPENDITURES REPORT

(Site-specific invoice)

ATTACHMENT E SAMPLE OF CIRCULATION REPORT

ATTACHMENT F SAMPLE OF QUARTERLY MASTER INVENTORY REPORT

OTHER QUARTERLY INVENTORY REPORTS:

a. Remedial Site Files

b. Remedial Administrative Records

c. Removal Site Files

d. Removal Administrative Records

e. Work Performed Documents on Microfiche

f. Deletion Docket Files

g. Remedial Site Files Unavailable for Review

h. Uncompiled Material for Remedial Files

i. Uncompiled Material for Removal Files

j. Scanned RODs, ROD Amendments, ARs and ESDs

k. Site Alias List

ATTACHMENT G PERIODIC MONITORING CHECKLIST

ATTACHMENT H CUSTOMER FEEDBACK CHECKLIST (IMMEDIATELY AND/OR ANNUALLY)

Performance Work Statement Attachment A

TECHNICAL DIRECTION DOCUMENT

TDD No.: REM-### DATE: MM/DD/YYYY

PO:

Contract No.: (Contract Number)

Contractor: (Contractor Name)

Site Name: (Site Name)

CERCLIS ID: (12 character Site ID)

SSID: (4 character Site ID)

Funding: (Funding Code)

ACTIVITY CODE: (Activity Code)

DESCRIPTION OF WORK:

(Description of the work needed including any deadlines required for deliverables.)

Project Officer cc:

Folder Section Name ListingRemedial

US Environmental Protection Agency Region II Record Management System (R2RMS)

Report Date

06/29/10

PRE-REMEDIAL 1.0

1.1 Background Information/correspondence L01010000

1.2 Site Discovery/103 (c) forms L01020000

1.3 Preliminary Assessment (PA) L01030000

1.4 Site Investigation (SI) L01040000

1.5 HRS Packages L01050000

REMOVAL 2.0

2.1 Administrative/Operational L02010000

2.2 Technical L02020000

2.2.1 State Memos and Correspondence L02020100

2.2.2 Background Information L02020200

2.2.3 Action Memoranda L02020300

2.2.4 POLREPs L02020400

2.2.5 Hazardous Waste Manifests/RCRA ID L02020500

2.2.6 OSC Reports L02020600

2.3 Community Relations L02030000

2.4 Correspondence (Non-Enforcement) L02040000

2.5 Enforcement L02050000

2.5.1 Orders/Decrees L02050100

2.5.2 Oversight Correspondence L02050200

2.5.3 Correspondence w/PRPs L02050300

REMEDIAL INVESTIGATION/FEASIBILITY STUDY 3.0

3.1 Administrative/Operational L03010000

3.2 Planning Documents L03020000

3.3 Trustee Coordination L03030000

3.4 RI Technical Information L03040000

3.4.1 Field Operations Plans L03040100

3.4.2 Other Reports/Data L03040200

3.4.3 Risk/Endangerment Assessments L03040300

3.4.4 Health Assessments (ATSDR) L03040400

3.4.5 RI Reports L03040500

3.5 FS Technical Information L03050000

3.5.1 Feasibility Study L03050100

3.5.2 Technology Info/Treatability Study L03050200

3.6 Community Relations L03060000

3.7 Correspondence (Non-Enforcement) L03070000

3.8 Enforcement L03080000

3.8.1 Orders/Decrees L03080100

3.8.2 Oversight Correspondence L03080200

3.8.3 Correspondence w/PRPs L03080300

RECORD OF DECISION 4.0

4.1 Administrative/Operational L04010000

4.2 Technical L04020000

4.2.1 Record of Decision L04020100

4.2.2 Responsiveness Summary L04020200

4.2.3 Proposed Plan L04020300

4.3 Community Relations L04030000

4.4 Correspondence L04040000

US Environmental Protection Agency Region II Record Management System (R2RMS)

Report Date

06/29/10

4.5 Administrative Record Index L04050000

REMEDIAL DESIGN 5.0

5.1 Administrative/Operational L05010000

5.2 Technical L05020000

5.2.1 Remedial Design L05020100

5.2.1.1 L05020101Work Plans

5.2.1.2 L05020102Preliminary Design Reports

5.2.1.3 L05020103Final Documents

5.2.2 Technology Info/Treatability Study L05020200

5.2.3 Permit/Discharge Limitations L05020300

5.3 Community Relations L05030000

5.4 Correspondence (Non-Enforcement) L05040000

5.5 Enforcement L05050000

5.5.1 Orders/Decrees L05050100

5.5.2 Oversight Correspondence L05050200

5.5.3 Correspondence w/PRPs L05050300

REMEDIAL ACTION 6.0

6.1 Administrative/Operational L06010000

6.2 Technical L06020000

6.2.1 RA Documents L06020100

6.2.2 Change Orders L06020200

6.3 Community Relations L06030000

6.4 Correspondence (Non-Enforcement) L06040000

6.5 Enforcement L06050000

6.5.1 Orders/Decrees L06050100

6.5.2 Oversight Correspondence L06050200

6.5.3 Correspondence w/PRPs L06050300

LTR, O&M, AND DELETION 7.0

7.1 Administrative/Operational L07010000

7.2 Technical L07020000

7.2.1 Long Term Response (LTR) L07020100

7.2.2 Operations and Maintenance (O&M) L07020200

7.2.3 NPL Deletion Package L07020300

7.2.4 Five-Year Review L07020400

7.3 Community Relations L07030000

7.4 Correspondence (Non-Enforcement) L07040000

7.5 Enforcement L07050000

7.5.1 Orders/Decrees L07050100

7.5.2 Oversight Correspondence L07050200

7.5.3 Correspondence w/PRPs L07050300

GENERAL ENFORCEMENT 8.0

8.1 PRP Information L08010000

8.1.1 PRP Search L08010100

8.1.2 PRP Specific Info and Correspondence L08010200

8.1.3 General PRP Info and Correspondence L08010300

8.2.1 Case Management Plan L08020100

8.2.2 Case Conclusion Plan L08020200

8.3 Administrative Orders/Consent Decrees L08030000

US Environmental Protection Agency Region II Record Management System (R2RMS)

Report Date

06/29/10

8.3.1 Administrative Orders/Consent Decrees L08030100

8.3.2 Supporting Memoranda L08030200

8.4 Litigation L08040000

8.4.1 Public Court Documents L08040100

8.4.2 Privileged Litigation Support DOCS L08040200

8.5 Correspondence L08050000

COST RECOVERY 9.0

9.1 Cost Information - (PUBLIC) L09010000

9.1.1 Cost Summaries L09010100

9.1.2 Redacted Cost Documentation L09010200

9.2 Cost Information L09020000

9.2.1 Checklist L09020100

9.2.2 SPURs L09020200

9.2.3 Unredacted Cost Documentation L09020300

9.3 Correspondence L09030000

PUBLIC/CONGRESSIONAL INVOLVEMENT10.0

10.1 Controlled Correspondence L10010000

10.2 General Correspondence L10020000

10.3 Clippings L10030000

10.4 Hearings/Evaluation L10040000

10.5 FOIA Management L10050000

10.6 Technical Assistance Grants (TAG) L10060000

FUNDING INFORMATION11.0

11.1 REM/ARCS L11010000

11.1.1 Funding Action L11010100

11.1.2 Work Plans L11010200

11.1.3 Budget L11010300

11.1.4 Progress Reports L11010400

11.1.5 Correspondence L11010500

11.2 TES / ESS L11020000

11.2.1 Work Assignments and Amendments (SOW) L11020100

11.2.2 Work Plans and Amendments L11020200

11.2.3 Monthly Progress Reports/Sign Off Sheets L11020300

11.2.4 Performance…