5-BPM004656_Solicitation_Attachment_10_-_Method_of_Approach - FINAL.docx

Method of Approach

Solicitation No. BPM004656

Document Management Services Arizona Department of Administration State Procurement Office 100 N 15th Avenue Phoenix, AZ 85007

The Offeror shall provide a narrative response to each question that demonstrates their understanding of the Scope of Work requirements and describes your company’s overall method of approach for providing the service stated in this solicitation. If there is a question that is not applicable to the services required by the Scope of Work, you may mark it N/A.

Question 1: Executive Summary

In the Executive Summary, the Offeror must condense and highlight the contents of their proposal in such a way as to provide the State with a broad understanding of the proposal in no more than five (5) pages. Offerors must provide a concise summary of the proposed products to be utilized in the performance of the project and any proposed services, and how these proposed products and services address the requirements presented in the RFP.

Offerors must present a summary of their planned approach, their past successful public sector assignments that mirror the Scope of Work, and highlight the relevant public sector experience and previous projects worked jointly by all proposed key personnel included in the proposal.

Offeror Response:

Complete Document Management Solutions Provider With ICM’s scanning services, ViewCenter document management system and supporting software, Solutions Consultants, Subject Matter Experts, and professional services team available for customizations and integrations, ICM is uniquely able to offer a one-stop shop for The State’s document management needs. Within The State, the needs for the various agencies, departments, boards, cities, counties, and all state entities are unique – and so should be the solutions! ICM’s consultative approach identifies the unique needs and can offer a solution that is appropriate for the situation. Services for each engagement may include:

ICM can support the digitization of a wide variety of media. Including, but not limited to:

Paper Records Large Format Drawings Film: microfilm, microfiche, aperture cards Electronic Records Other: Audio, video, photos, X-rays ICM’s scanning services can be provided on-site or off-site. Historically, most of ICM’s State of Arizona customers have chosen the off-site option due to the cost savings, faster turn time, and not requiring space allocation at their own facility. For off-site projects, ICM can arrange the pick-up of all records either with our own vehicles and personnel or through our logistics partners. When picked up by ICM, ICM can also provide the service to box & manifest records to be sent off-site. Either on-site or off-site, ICM can provide all prep required to prepare records for digitization including removing bindings, repairing damaged pages, securing small items, and more! ICM can ensure the images are digitized according to requirements as set forth by State Archives (proper DPI, level of QA, etc). Indexing/capture of metadata can be performed as required by the customer. ICM always looks to leverage any existing data to provide maximum data at minimum cost! Digitized records can be delivered in required formats (PDF, PDF-A, TIFF, OCR, etc) and via various delivery methods (SFTP, hard drive, microfilm, upload in ViewCenter or other DMS, etc). If allowed, ICM can also coordinate the destruction of records upon written approval or deliver original boxes back to The State or directly to their off-site storage of choice.

While records are in process, the client can request an electronic copy by emailing scansupport@icmdocs.com with “<Project Name> – IN PROCESS REQUEST” in the subject line. ICM is committed to providing the desired 48 business hour turn around. Customers requiring response time faster than 48 hours can indicate URGENT in the request and ICM will prioritize these requests and fulfill within 1 business day. If needed, ICM can deliver the physical record in lieu of or in addition to the electronic copy.

ICM’s ViewCenter document management system makes securely digitizing, storing, managing, retrieving, and sharing your business-critical documents and records easier than ever. In addition to being packed with powerful features, ViewCenter is easy to use. As a browser-based application with responsive design, it ensures accessing your records from any device is a seamless experience to maximize user acceptance. ViewCenter also comes standard with our iCapture drag-and-drop document upload tool, allowing you to quickly index and load your digital documents.

Why ViewCenter Easy to Use: ViewCenter was designed to be intuitive and user-friendly. Due to this, user adoption is easier to obtain because users don’t get confused or overwhelmed. Instead, users experience the simplicity of the user interface and immediately see how ViewCenter makes their jobs easier! Faster user adoption means faster implementation into business processes!

Quick Implementation: With the ViewCenter Document Management System, implementation times are measured in days and weeks, not months and years. From the date of project kick-off through Go Live, the standard ViewCenter implementation timeframe is approximately 4-6 weeks.

Configurable: As part of the implementation process, our team of Implementation Specialists will review your documents, security, and retention requirements to configure the solution that’s right for you. Not only across agencies but across departments within an agency. This allows ICM to capture the unique needs of each department and type of record instead of assuming a cookie-cutter approach to user needs.

Scalable: ViewCenter was designed from the ground up to be the foundation of a completely scalable solution. Once the base system is deployed, adding additional business units or departments is quick and easy. Additionally, optional add-on modules such as eForms and public facing portals, as well as professional IT services that allow ViewCenter to grow with your business.

· Standardization: ViewCenter enforces the standardization of file indexing, structure, as well as file version control where applicable for true information governance.

· User-Based Permissions: System includes encryption, user authentication, segmented permissions, and full traceability via the Event Log viewer.

· Records Retention Management: Provides configurable document retention triggers and schedules down to the specific document-level to streamline the document disposition process to mitigate your liability for audits or in the event of litigation eDiscovery. Allows users to bulk approve disposition of records or place on legal hold.

· Version Control: ViewCenter allows permitted users to check-out a record and update with a new version. The version control module tracks who and when a new version was uploaded and allows users to include notes about the new version. Search results can be limited to the most recent version to eliminate confusion while keeping the full history and previous versions in the record in the event they need to be referenced.

Robust Searching: ViewCenter allows users to search by as many or as few search fields as desired. Search fields can be alphanumeric, date pickers, date ranges, intelligent date searches such as “two years ago until today”, dropdown lists, and keyword searches (which finds documents stored in ViewCenter that have a particular word or words within the document itself).

Records Sharing: With each record having its own unique record link, users can easily share records with other ViewCenter users by simply sharing a link to the record. With ViewCenter’s Share feature, users can also share select records with requestors who do not have access to their ViewCenter system. The Share feature allows The State to select the records that need to be shared and send a link to the requestor. This link can be password protected and disabled at any time. Sharing records through a link improves the security of sharing records and makes file size restrictions from email systems a nonfactor.

Various Upload Options: For records scanned by ICM, ICM will upload the records to the customer’s ViewCenter. Users can upload records using the web interface, the i-Capture tool that allows the drag-and-drop of multiple records, or the bulk upload feature. ICM has also implemented solutions for The State where ViewCenter monitors a shared folder where users save incoming records. ViewCenter pulls these files, identifies the metadata, and uploads them into ViewCenter.

Integration: The built-in ViewCenter Web API allows The State to seamlessly integrate your existing line of business applications helping to embrace organizational interoperability.

· Edit in Desktop: Users with the appropriate permissions can edit records stored in ViewCenter by using the Edit in Desktop feature. Once saved, the record is updated in ViewCenter with the new changes.

· Security: ViewCenter enables security protocols and compliancy with HIPAA and other regulations governing Personally Identifiable Information (PII), Personal Health Information (PHI), and official State records.

· Flexible: ICM describes ViewCenter as “file type agnostic”, meaning The State can upload any type of record format (Word, PDF, Excel, PPT, TIFF, JPG, MP3, etc).

Infrastructure: ICM can be deployed in the cloud or as an On-Premise solution.

Developed and Supported In-House: ViewCenter is not a 3rd party resale software, rather it was developed and is supported by ICM. From our very first discovery call with the customer, ICM uses a consultative approach to identify what the customer needs to enhance their records processes. During implementation, ICM explores deeper into workflow processes with the customer prior to designing their ViewCenter system. Once built, ICM meets with the customer to confirm the buildout meets their needs and makes any necessary modifications within the original project scope. Once implementation is complete, ICM provides full end-user and administrator training to help accelerate user adoption. Our Customer Success team keeps open communication with our ViewCenter customers throughout the business relationship to ensure the implemented system continues to meet their needs and identify any required changes as other parts of our customers’ process may have changed.

Dedicated Project Management & Support: As a full service, single-source solution provider, dedicated ICM staff oversee implementation, software support, and account management for the entire business relationship. Each deployment is coordinated by an Implementation Specialist and supported by ICM Implementation, Infrastructure, and Software Development. Active clients have access to the in-house ICM Helpdesk as well as dedicated account management for any escalations, renewal reviews, and consulting for any future product/service needs.

Full Solution: ViewCenter in conjunction with our scanning software options provides a full-service record capture solution including not only the outsourced effort of converting the paper archive/migration of digital files, but intuitive import tools such as full-page OCR form recognition to process ongoing records at a high volume and with limited operator keystrokes as well.

Event Log: ViewCenter’s event log tracks all activity within the system including failed log-in attempts, who searched for what, viewed records, shared records, edited data, and more.

Competitive Pricing Attestation Since the last bidding of this contract, the minimum wage in the state of Arizona has increased by nearly 60%, with another 8% increase coming up in 2023. To stay competitive for skilled workers, ICM has also incurred similar wage increases. Additionally, gas prices have risen significantly in the past several years. As such, ICM’s initial proposed pricing showed increases in our line items that are most affected by these variables (namely document preparation, manifesting, and courier services).

ICM has recently invested in significant equipment, software, and process improvements that will help make the Digital Production department more efficient and scalable, and delivering at the highest quality possible. To help offset the increase of some line items, ICM had chosen to share the production efficiency savings with The State by keeping most of our line items the same as our current contract. To continue to show our commitment to competitive pricing, ICM has identified a few items that we felt we could reduce towards the Best and Final Offer (BAFO).

Previous / Current Projects Arizona Department of Revenue Travis Gallegos tgallegos@azdor.gov In 2017, ICM did a Tax Records pilot project with ADOR. This pilot project grew into a regular digitization partnership between ICM and ADOR. With daily pick-ups, ICM now provides the service to prep, sort/categorize, date, scan, apply digital DLN, and reassemble tax records with a volume of roughly 400,000-500,000 records equating to ~3.5 – 4.0M images per year. This service has allowed ADOR to improve process times for incoming tax records and making refunds faster for ADOR’s customers! Per ADOR, by April 2022, ICM’s services allowed ADOR to exceed ADOR’s “initial goal of 70 days to process income returns. Due to <ICM> picking up and opening the mail right away <ADOR has> been able to process income returns in 37 days for February and 19 days for March.” This also helped ADOR reduce wait times by “50%, or 40 days from last quarter. Which means customers will receive their money much quicker in turn reducing call volume and duplicate returns.” In 2022, ICM also started providing the service to provide a daily manifest of SSNs that were digitized that day. The goal of this process was to help ADOR expedite responses to customers who inquire about their refund. By April 2022, the SSN manifest had “already decreased duplicate returns by 34% or 1,300 returns for tax season thus far.” To further enhance the experience for ADOR, ICM has recently created an ADOR team who is solely dedicated to processing ADOR records. Other ICM team members are trained on ADOR processes to accommodate the large volume increase during tax season so that agreed turn times are not compromised.

Arizona Department of Transportation Reza Karimvand rkarimvand@azdot.gov Since 2016, ICM has had the pleasure of being ADOT’s document management partner. Initially starting with software solutions, in 2020 ICM also started provided professional scanning services of both paper and microfiche containing records for Environmental, Maps, Titles & Research, and Bridge Docs. To date, ICM has scanned over 2.5M images for ADOT!

Arizona Department of Public Safety Beth Brady ebrady@azdps.gov AZDPS has an on-premise enterprise ViewCenter solution that was first implemented in 2006 and is used by many departments including ACCT, Commercial Vehicles, Concealed Weapons, Criminal History, HR, and Student Transportation (to name a few). One of the more recent projects was a digitization project for the Crime Labs unit. This project included over 900 boxes of Databank files, Reports, PTs, Elisa QC Records, Database Batches/Batch Reviews, and Intox Certs. In addition to the scanning, Crime Lab needed additional ViewCenter collections to be created that were customized to their records.

AZDPS also has an import tool in place for ViewCenter to communicate with other systems to minimize manual indexing when AZDPS employees add records to ViewCenter. AZDPS also has a linked public portal that allows the public to access select records that are stored in ViewCenter.

Arizona Department of Corrections – HR Alex Benlein abenlein@azadc.gov In 2022, AZADC was looking to digitize their HR records for digital storage and management to reduce storage space and make records more accessible, especially for employees working at remote locations. ICM provided the service to digitize the existing records and implement ViewCenter. User permission restrictions in ViewCenter were important to restrict protected documents access to the “Executive” team. ICM structured AZADC’s ViewCenter to accommodate this restriction. The backfile scanning for this project included almost 353,000 images!

Apache Junction City Clerk Jennifer Pena jpena@ajcity.net At the end of 2020, ICM provided digitization services to scan paper records for the City Clerk’s office including Ordinances, Council Minutes, Resolutions, and Boards & Commissions records. Being as though these records have a permanent retention policy, the paper records could not be destroyed after digitization. The main goals for digitizing were to improve response times for records requests, free up space (by storing off-site after digitization) and improving preservation by having an additional copy in a different format (digital vs paper).

Arizona Board of Dental Examiners Kristina Gomez kristina.gomez@dentalboard.az.gov Before engaging with ICM, the Dental Board was storing records in paper format at their office and at off-site storage. They were looking for a solution to make records requests more efficient for their staff and, as a result, provide faster customer service. Additionally, the cost to store hundreds of boxes off-site was significant. To solve these problems, ICM digitized their records and implemented ViewCenter. To date, Dental Board has ~56,000 records in ViewCenter and ICM will be creating a data import tool to leverage licensee data from other systems to minimize manual indexing of newly added records going forward.

Arizona Board of Peace Officer Standards & Training Mike Orose micheaelo@azpost.gov When ICM and AZPOST started working together in 2019, AZPOST had ~300 boxes of files for new hires and academies in an on-site storage room. Due to space restrictions and making accessibility more efficient, AZPOST awarded ICM the opportunity to digitize these records and implement ICM’s ViewCenter for secure but easy access to records. To date, AZPOST’s ViewCenter stores over 46,000 records!

Mohave County Recorder’s Office Robert Ballard Robert.ballard@mohavecounty.us Mohave had many of their historical land records, deeds, dockets, mortgages, death certificates, and other important documents stored on 16mm microfilm. When a record was requested, the Recorders Office had to do some research to identify which microfilm roll had the requested records, which was a time-consuming process. Additionally, some records that had been digitized onto microfilm were either missing pages or, for quality purposes, needed to have retakes. Because it is impossible to insert images into a document that was previously scanned to microfilm, the Recorders Office had to scan them onto a completely different roll and indicate that these images were retakes. In 2020, Mohave County awarded ICM the opportunity to digitize over 469 rolls of microfilm for upload into Mohave County’s Tyler Eagle Recorder Document Management System. This conversion resulted in over 924,000 documents containing over 1,000,000 images.

Summary ICM recognizes that each document management project within the State will have unique requirements and should be treated as an individual project when scoping, estimating, and executing. ICM’s approach will be to do a discovery meeting with all new projects to collect the information about the existing records, the end goal, and use case for the digital records. ICM will leverage its experience to provide guidance to the project contacts on the best approach for each project. We believe that you will find we are a perfect fit to not only meet, but ultimately exceed your requirements as a true business partner. The State will continue to experience our solutions-oriented approach and the overall client experience we pride ourselves on. We appreciate this opportunity to earn your business!

Question 2: Overall Method of Approach

A. Please explain in detail how you would manage the requirements specified in the solicitation, in Section 3.0 Scope of Services (3.1 Part One and 3.2 Part Two, as applicable).

B. Please describe how you consult with the customer on their proposed job, including the types of questions you ask to best understand the project, the suggestions you may make to help the customer obtain the proper outcome at the most effective cost, etc. Provide a blank Job Plan template for review, to demonstrate your firm’s understanding of the requirements of a Job Plan that shall be presented to each customer for requested service.

C. Describe how you work with a Customer for an on-site imaging job. Topics should include, but not limited to: movement of equipment, power required, space required, security on site, job force background checks and supervision, minimizing impact on customer operations, meeting customer’s special security requirements, etc.

D. Describe how your firm manages and controls the customer’s documents from pickup at the customer site through the return of the documents to the customer. Include an explanation of any additional measures your organization takes which demonstrates your commitment to the safety and security of the customer records.

E. Describe the flow of the documents through the imaging process and how you ensure that all records are processed, controlled and securely stored while in your possession. This would include description of any tracking software you use. Also, describe how you would comply with a request from the Customer regarding the temporary return of individual record/files.

F. Describe how your firm prepares (and restores) source documents submitted for imaging. Address full range, from simple, uniform files to mixed jobs with small documents, pencil marks, fragile documents, hard to read originals, etc.

G. If there are post-it notes on the document to be scanned, how would you handle this situation?

H. Describe your firm’s procedures for capturing the best possible image for the customer and communication any special actions taken.

I. Provide a template of a standard progress report for an imaging job that will be provided to a customer when requested a t :

n l i n e o A v a i l a b l e SECTION 3-B: Offer Forms Page PAGE 21 of 39 P r o c u r e . A Z . g o v PART 3 of the Solicitation Documents Template version 2.0 (01-FEB-2017)

J. Describe the different processes you use to index documents. Explain when you would use each and describe the measures you take to provide the customer with the most cost effective approach.

K. In relation to document imaging services, list and describe each media output method your firm can provide to customers (i.e. CD, secure file transfer protocol [SFTP], etc.)

L. In accordance with section 3.2 Part Two under section 3.0 Scope of Services of the Scope of Work, can you please describe how your proposed document management solution will create, store, retrieve/find, share, secure, manage, archive and dispose of the information contained within the solution?

M. How does your proposed system capture and index documents from remote users through either a web-based connection or a disconnected method? Does your system have mobile capability?

N. Can the system integrate with other devices (e.g. multi-function printers) and email clients for getting documents onto the system?

O. How does your proposed solution handle duplication of records within the system?

P. How many APIs are available for your proposed solution and/or what IT platforms or enterprise solutions/operating systems does the solution integrate with? Please list them. Are they included in the price of the solution or at an additional cost?

Q. How scalable is your solution? Do you have multi-tenancy options?

R. Can users write notes, redaction, highlights or other such changes to documents on the system?

S. Please describe your implementation processes and procedures.

T. Wherever applicable, please describe your licensing model. For example, is it a subscription license or perpetual license?

U. Do you have any community type licensing model?

Offeror Response:

ICM’s standard engagement and implementation process for scanning projects is as follows:

Scanning Implementation Process ICM has developed an implementation process that has ensured customer satisfaction of deliverables and improved the accuracy of budgetary estimates.

1. Discovery Call: The first step of the process is for a Solutions Consultant to schedule an initial phone call with the State project contact to obtain a high-level overview of volume and project specific details. The goal of the call is to get enough information to put together a budgetary estimate. Depending on the size of the project, this is typically a 30 min phone/virtual meeting.

2. Full Scope & Sample: The second step of the process is for ICM to physically review the records included in the scope and to run a sample. The purpose of the sample is to confirm deliverables meet expectations and to revisit any of the metrics that affect pricing and provide an updated budgetary estimate if needed. For on-site scopes, depending on the size of the project this can be 30 – 120 minutes but typically only require the State employee to show ICM which boxes, cabinets, shelves, etc are to be included in the scope and to be available for questions. For small projects, this step may be more than what is needed to adequately scope out a project and can be skipped.

3. Job Plan Review: ICM will create a job plan detailing out the scope, assumptions, project specs, deliverables, and estimated cost and will schedule a time to virtually review with the State project contact.

4. Project Approval: After the job plan has been reviewed, the State will give the official project approval. This can be in the form of a signed scope of work, email, or purchase order.

5. Kick-Off Meeting: Once project approval has been received, ICM will schedule a kick-off call to introduce the State Project contacts to the ICM team contacts, do a high-level review of the project, and schedule a pick-up. This virtual meeting is typically 15-30 min.

6. Sample Box: Once boxes have been picked-up, ICM will schedule another sample box to be performed the following week. The purpose of this sample box is to confirm deliverables meet expectations, run a test upload if the records are going into a document management system, and identify any anomalies to the expected project specs.

7. Sample Box Review: Once the sample box has been completed, ICM will schedule a virtual 15-30 min sample box review with the State.

8. Full Production: Once the samples have been confirmed and required State Archive forms received, ICM will put the project onto the production calendar and provide an estimated completion date. Unless otherwise specified, ICM will provide weekly deliverables to The State until project completion.

A ViewCenter solution is similar:

ViewCenter Implementation Process

1. Discovery Call: The first step of the process is for a Solutions Consultant to schedule an initial phone call with the State project contact to obtain a high-level overview of types of documents, current & desired processes, and anticipated usage of a document management system. The goal of the call is to confirm ViewCenter matches the needs of the customer and, if so, to get enough information to put together a budgetary estimate.

2. System Demo: The second step is to demonstrate ViewCenter to key stakeholders and decision makers to confirm the functionality will meet their needs.

3. Job Plan Review: ICM will create a job plan detailing out the scope, assumptions, project specs, deliverables, and estimated cost and will schedule a time to virtually review with the State project contact.

4. Project Approval: After the job plan has been reviewed, the State will give the official project approval. This can be in the form of a signed scope of work, email, or purchase order.

5. Kick-Off Meeting: Once project approval has been received, ICM will schedule a kick-off call to introduce the State Project contacts to the ICM team contacts, do a high-level review of the project, and schedule a pick-up. This virtual meeting is typically 15-30 min.

6. Analysis: Document Analysis for Collection(s) including reviewing samples documents, tables & fields, user groups, permissions, retention schedules, version control)

7. Configuration: Deploy ViewCenter, create collections, process and load samples.

8. ViewCenter Review: Review ViewCenter with the State to confirm it meets expectations. Discuss/modify as needed. Any discussed changes out of original scope will result in a change order.

9. Go Live: Once ViewCenter is confirmed and live, ICM will provide user training including: how to access the solution, searching for records, adding records, modifying & deleting records, user, list & groups management, event log, tasks, version control, and retention.

For projects that are both Scanning and ViewCenter, the implementation processes happen currently.

To properly scope and understand each project’s requirements, ICM’s Solution Consultants engage in a discovery call to answer questions similar to those in the provided templates:

With the end goal of being able to fill out these project plan templates:

On-Site Scanning Requirements ICM assembles the scan team, with the Client, based on the requirements of the engagement. For example, some may require multiple work-shifts, additional security, or other requirements. ICM performs the document prep, scan and scan QA step on-site. Optionally, image processing and indexing steps may be performed on-site, off-site at ICM HQ (to take advantage of three work-shifts), or a combination of the two.

On-Site Work Agreement Every ICM employee working on-site is required to sign an ICM On-Site Work Agreement Form, and file it with ICM HR. This Agreement covers items such as adhering to Client work hours and dress codes, handling of proprietary information, safety items, and other HR and project-based items.

Client Security Requirements ICM staff meets any security requirements required by the Client, whether it is additional background testing, finger printing, drug tests or special training classes. The security requirements may also apply to the equipment that is brought in by ICM. ICM reformats the hard drives on the computers before they are removed at the end of the project to ensure all digital files have been removed.

Client Operations ICM works with our Clients to determine what impact the on-site team may have on current operations and develop a plan to minimize any disruption. The on-site teams have little to no effect on Client operations.

ICM-Provided Items

· Scanning equipment

· PCs to run the scanning equipment

· Equipment Delivery: All equipment is delivered and set-up by ICM and coordinated with the Client as to dates and times that are acceptable. If no ICM equipment is being used, ICM IT works with the Client to provide or install necessary ICM tools on the Client’s equipment.

· Network: Many of the tools used by ICM require connection to the internet. ICM works directly with the Client to determine if internet connectivity is limited and provides alternative methods as requested.

· Equipment maintenance

· Staff and Backup: ICM provides the necessary staff to complete the project within the allotted time. Each shift has a Project Lead who is responsible for supervision and communication back to the corporate office.

· ICM also has additional staff trained on the project to serve as backup for vacation or sick days (in-state only).

· Background Checks: All employees must pass background and drug test before working for ICM.

· Staff Management, Supervision, Training: ICM provides a Project Lead for each shift of employees. The Project Lead communicates directly with the Client on any staffing issues that arise or process changes identified. The Project Leads also work closely with the Project Manager and Team Managers at ICM on productivity, scope changes, staffing requirements and any other issues, as needed. Team Managers and the Project Manager may periodically visit the location to check on the staff and project.

· Process definition.

· Overall project management.

· On-site security: ICM operators are trained to secure computers when they are not being used and are required to follow any Client required security procedures.

Facility Space Requirements ICM determines space required based on the Job Plan, and the date the Client needs the project completed. Those elements drive the number of operators/equipment needed which determines space requirements. It should be noted that ICM has the capability to work multiple shifts as the Client location allows and project requires.

· Scanner set-up requires a 4’ x 3’ workable area

· Prep set-up requires a 6’ x 2 ½’ table

· All other operators require standard cubicle space

Power Requirements ICM IT determines power requirements based on the staff size. ICM’s IT department reviews the current power availability in the work area and provide any additional requirements to the Client; if needed.

General Internet Access Unless otherwise prohibited, ICM requires general internet access to support secure file transfer to ICM’s central servers (as needed), live connectivity to the real-time, on-line project management and timecard system, as well as email communication with ICM staff on site.

Maintaining a Clean, Safe Work Environment ICM removes all materials, debris or residue resulting from the performance of contract services. All work areas are maintained in a clean and orderly manner throughout each workday.

ICM Security and Quality Protocols Facility Security Officer ICM employs a dedicated Facility Security Officer (FSO) who is charge of managing security in our organization's facilities and verifying security at any non-ICM facility where ICM employees and/or contractors are located. FSO responsibilities include:

· Create a secure environment for employees, vendors, and company visitors.

· Manage daily activities regarding entry, video security, and other security devices.

· Logging personnel and entry records, reviewing closed circuit recordings, and providing functional support for physical security requirements.

· Manage access control to restricted areas, coordinate with upper management on security protocols and legal requirements, and analyze identification forms.

Disaster Recovery Plan ICM continually monitors potential risks and threats through its Risk Assessment Plan and Risk Assessment Summary by Weighted Threats, improving or adding any processes to the ICM Disaster Recovery Plan (DRP) as needed.

Physical and Electronic Data The ICM DRP details the steps that are taken in the event of loss of ICM’s primary business site. This plan includes but is not limited to the use of a highly secure co-location (SOC 1 & 2 Type 2 Compliant) that has the following devices and components to ensure no loss of data:

· Tape Recovery

· Windows Servers

· Internet Connectivity

· VPN Security Appliance

· On site LAN backup server

· Air-conditioned space for on-site LAN servers

· Off-premises backup server

· Off-premises backup server portal

· Portable backup media (hard drive, tapes)

· Off-premises storage for portable backup media

· Automated backup fault alarms

· Fire alarms

· Fire Suppression Systems

· Power outage alarms

ICM’s DRP is implemented with the following steps within the first 24 hours unless the nature of the incident makes this timeframe physically impossible. At that point the DRP is implemented at the earliest possible opportunity:

· Recovery Site is designated

· Internet Connectivity established

· New Equipment is purchased

· Required ICM Employees convene at recovery site at first opportunity and setup equipment

· Notification to Client for options to recreate information

· Client Data restored from Backup Media

Business Continuity ICM has an Emergency Response Plan (ERP) that describes the steps which are taken for Clients to access their data if business continuity is compromised. Once the Client’s data is restored as described in the previous segment, ICM IT works with the Client to re-establish connectivity to their data. The following information is communicated to the Client as needed:

· IP Address of new server that holds restored data

· Any temporary DNS Names or URLs as needed

· Any new UNC Paths (\\servername\share)

· Any other pertinent information as needed

Document Safekeeping and Security ICM has built its production facility to ensure the safekeeping of all Client documents and complies with the Homeland Security Initiative, the Health Insurance Portability and Accountability Act (HIPAA), Health Information Technology for Economic and Clinic Health Act (HITECH), International Traffic in Arms Regulations (ITAR) export control, and a litany of other regulations pertaining to Personally Identifiable Information (PII), Personal Health Information (PHI), Intellectual Property (IP), and trade secrets, to be able to fulfill projects of the highest security requirements.

Below are the physical-based security requirements in place to ensure documents and files are safeguarded while in process:

· ICM has a badging system, where all employees and visitors are badged upon entry. All visitors require an escort to move within the facility.

· Each ICM employee is badged with a picture ID badge, which is worn at all times.

· All documents are locked in a secure area unless being worked on. Documents are immediately returned to the secure area after each process step is finished.

· ICM uses 24-hour video surveillance.

Applicable ICM employees are screened with the following checks:

· U.S. citizenship verification

· Drug test

· Background check

· Non-Disclosure Agreement (NDA)

Network-Level Security ICM’s network is secured from outside intrusion by enterprise-level firewalls and Virtual Private Network (VPN) technology. ICM’s network uses Microsoft Active Directory which requires that all data resources (files and folders) can only be accessed by a (Windows) account’s security object or group permission level. Access to ICM’s Active Directory network is strictly maintained through use of Microsoft Group Policies. All ICM data resides on Microsoft Windows File Servers. These servers are built on the NTFS file system, which is inherently secure, by use of Access Control Lists (ACL).

File-Level Security ICM encrypts Client data per requirements and implements digital signatures via our Microsoft Certificate Servers. ICM also uses SSH (Secure FTP) for the secure transfer of data to and from our Clients.

Document Transportation Services In addition to our own established procedures, ICM complies with any transportation policies and/or requirements for our Clients. Project Management schedules pickup and creates the necessary Pickup Queue in ICM’s timecard and order fulfilment systems. This prompts the creation of Records Pick Up, Records Track (or manifest), and Delivery Receipt forms as applicable. Qualified team members are assigned to the pickup task.

Chain of Custody Document PM-0012, Pick-up and Delivery Process, is part of ICM’s documented Quality Management System (QMS). The complete document is available for review, upon request. Shown below is a summary of its content and purpose. ICM personnel involved with transporting and conveying physical Client property related to project deliverables for Clients are required to follow requirements to protect the privacy and security of contents. These pick-up/delivery steps ensure qualified ICM staff accompany every pick-up/delivery, and Client records are never left unattended.

Pickup Steps

· Retrieve Project Container Pick-up Receipt form(s).

· Map or otherwise determine travel route(s).

· Prepare ICM delivery vehicle as needed, including safety & security aids, dollies, totes, extra packing tape, spare boxes, spare vehicle key(s), cell phone(s), and beverage cooler.

· Prepare personal & ICM credentials, including (as examples) driver's license, letter of authorization, ID badge, uniform.

· Receive any special instruction(s), e.g., contact personnel, arrival target time.

· Proceed to loading destination(s).

· Assess loading plan to determine ICM vehicle placement.

· Situate traffic cones, as appropriate, to create perimeter for the loading personnel as well as for the vehicle.

· Assess loading plan to determine sequence and priority for retrieval of documents and to expedite loading.

· Assess condition and containment of documents to determine what, if any, additional seals may be needed, e.g. packing tape to secure box lids or banding for cabinetry.

· Convey documents to vehicle and load vehicle.

· Secure load in vehicle as appropriate (for example, cargo nets).

· Obtain signature on Project Container Pick-up Receipt(s).

· Retrieve safety and security aids.

· Return to ICM.

Delivery Steps

· Confirm delivery items against Delivery Receipt.

· Confirm load items are properly identified.

· Confirm the condition and containment of documents to determine what, if any, additional seals may be needed, e.g., packing tape to secure box lids or banding for cabinetry.

· Convey documents to vehicle and load vehicle.

· Secure load in vehicle as appropriate, e.g., cargo nets.

· Retrieve Project Delivery Receipt form(s).

· Map or otherwise determine travel route(s).

· Prepare ICM delivery vehicle, including safety & security aids, dollies, totes, extra packing tape, spare boxes, spare vehicle key(s), cell phone(s).

· Prepare personal & ICM credentials, including driver's license, letter of authorization, ID badge, uniform.

· Receive any special instruction(s), e.g., contact personnel, arrival target time.

· Proceed to delivery destination(s).

· Make contact with Client; verify unloading location and any special instructions.

· Assess unloading plan to determine ICM vehicle placement.

· Situate traffic cones, as appropriate, to create perimeter for the unloading personnel as well as for the vehicle.

· Assess unloading plan to determine sequence and priority for temporary and final placement of documents and to expedite unloading.

· Unload vehicle and convey documents to storage.

· Obtain signature of receipt on Project Delivery Receipt(s).

· Retrieve safety and security aids.

· Return to ICM.

Control and Storage of Records In-Process ICM safeguards Client documents in a secure, HIPAA-compliant facility featuring a key-card badge system, picture ID badges, 24-hour video surveillance, and compartmentalized access to restricted areas. ICM has developed a documented process and a Tracking Software System to manage both physical documents and electronic images, from initial receipt through return or disposition of original physical files.

Box Labels Upon receipt, each box is assigned a unique box number. The Box Label is affixed and follows the box throughout the process. Color-coded stickers are placed on the Box Label after each major process step is complete and an ICM operator signs-off on that step. This provides a visual identification of where the box is within the process.

Barcode Scan and Box Location The barcode on the Box Label is scanned at the beginning and end of each step in the process. In this way, box location, by project, is electronically tracked within our Tracking Software System at all times. This tracking system is used to manage both paper documents and electronic images, from initial receipt through delivery of original documents and files. The dashboard data is viewed by ICM project management and can also be exported to Excel as a report as required.

Imaging Quality Assurance (QA) ICM performs QA throughout the imaging process. Quality Control is performed at four (4) levels: 100% Visual Inspection, QA Validation, Exception Reporting, and Final Client QA.

100% Visual Inspection and Rescans ICM performs 100% visual inspection on the scanned images. Images that are “suspect” are flagged, and re-scanned as necessary at no additional cost, to attempt to obtain a higher-quality image.

QA Validation ICM uses several database checks as QA validation steps for the completed database. Wherever possible, ICM uses externally provided data to validate the indexing information. For example, comparing index fields to a list of valid names can validate certain fields. Additionally, checks can be performed using maximum/minimum values to ensure indexes fall within known ranges. Using logical validation procedures not only provides an exceptional QA process for the index step, but also identifies any potential receipt of any mislabelled documents.

Exception Reporting After completion of a batch, and prior to delivery, ICM has a Document Imaging Specialist perform a “reasonableness” check on the database. Any exceptions are noted and provided to the Client. This “exception report” enables the Client to ensure that all documents are accounted for, and to flag any potential issues regarding missing or inconsistent documents or files.

Final Client QA The project is not complete until final approval is received from the Client. ICM uses Client feedback to update project specifications and overall processes within the project. In addition, ICM’s file-naming convention is used to track to the exact page for any box, for any project, to quickly address and resolve any issues.

Access to In-Process Documents ICM also has a process for Client access to in-process documents. In the event a Client needs a document while in-process at ICM, ICM returns the document, either hardcopy or electronic, within eight (8) business hours.

Client Viewing Station Upon request, a Client viewing station is available at our Corporate Headquarters should a Client wish to spot-check finished products against original source materials.

Data Backup and Removal Digital backups of scanned records are kept for 90 days post-delivery to allow Client review and approval. After 90 days, digital files for delivered projects are deleted from the production network. By written request, a Client can ask for a different timeframe than ICM’s standard 90-day post project retainment.

Process Steps ICM’s Scanning Operations are conducted with a repeatable, high-quality process, and customized specific to your business requirements.

Location ICM is able to offer off-site or on-site scanning services (volume permitting).

· Off-site scanning is more cost effective for The State because ICM is able to leverage the production and equipment efficiencies in place at ICM’s headquarters. Off-site also provides better separation of records for scanning, preventing confusion for State employees of where they can file new records. Having records scanned at ICM’s facility also prevents the need for the State to provide adequate work space and connection to State networks. Due to a larger workforce, ICM is also able to complete projects faster when done off-site at ICM’s facility than on-site at the customer’s location. The two main hesitations customers have in sending their records off site are security and accessibility. ICM’s facility is designed with security in mind including badged access, camera monitoring, and employee background checks. A tour of ICM’s facility typically eases our customers’ concerns about security once they see the processes ICM has in place to safeguard our customers’ valuable records. For accessibility, ICM has a system in place where customers can request a record that is at ICM’s facility for digitization. By simply submitting an email to our in-process request email system, key ICM team members are notified of the request and a ticket is entered into our system. ICM employees locate the necessary record and within 48 business hours can provide a digital copy or deliver the physical file. Requests marked as urgent will be done within one business day.

· On-Site scanning is an option for customers (volume permitting) who are not comfortable sending the records off-site and are able to provide a proper workspace. For on-site scanning, ICM will provide the necessary equipment and personnel. Please review on-site scanning requirements here.

Pickup for Off-Site ICM can offer 2 pick-up options:

· ICM can handle pickup of all documents with our drivers. Records are picked up by ICM drivers in a secure vehicle with a complete chain of custody from pickup (including a pickup receipt), through deliver and intake at our facility. Records are assumed to be pre-boxed or, if needed, ICM can provide file boxing and manifesting service and banker’s boxes for an additional cost.

· ICM can arrange pickup of all documents with our logistics partner, palletizing as necessary. Records are securely picked up by ICM’s logistics partner in a secure vehicle with a complete chain of custody from pickup (including a pickup receipt), through delivery and intake at our facility. Records will need to be pre-boxed.

Document Prep ICM can provide all necessary document prep. During the project scope, ICM will identify the level of prep required and describe the details in the project’s budgetary estimate. Prep may include but is not limited to:

· Removing standard bindings (staples, paper clips, etc)

· Open envelopes and remove contents

· Secure small pages

· Remove pages from 3-ring binders, hard bound books, coiled/spiral books, folder prongs

· Tape any torn or ripped pages

· Unfold pages

· Remove small pages covering data (ex: post-it notes) and secure to a blank sheet

· Certain documents may need special handling due to age and quality of files. ICM will protect these torn and tattered documents during the scan process with a clear sleeve to ensure no further damage. It is possible tears may only require tape.

· ICM will work with each project contact to determine the definition of a document, some examples include:

· Records will be scanned at folder level; all pages within a folder will be delivered as 1 PDF

· A binding (staple, paper clip, etc) will be considered a document; all pages stapled together will be delivered as 1 PDF

· All pages rolled up together will be considered a document/PDF

· After digitization, files can be:

· Returned completed, in…