9542 Attachment C - Scope of Work.docx

ATTACHMENT C

SCOPE OF WORK

Digitizing and Scanning RFB CKS-9542

Definitions

· Client T-file: the collection records from a person who has been terminated from supervision with the Department of Corrections’ Division of Community Corrections

· T-file number: a unique DOC-system file number generated for each individual terminated client

· Image: refers to an “individual image” used for billing purposes (DOC is invoiced based on scanned images). A one-sided sheet of paper would be one image; a two-sided piece of paper would be two images.

· Box of Records: refers to one single box filled with client t-files; the box has a DOC Control Number on the outside; boxes are banker’s box, paper box, records storage box sizes.

· Dual-Locked Storage: refers to storage in a locked area of a locked and secure facility

· DOC number: unique six-digit identifying number for each DOC client

· File jacket: Each t-file is contained in a file jacket that has a cover with identifying client information that includes: name, DOC number, and t-file number.

· DOC Control Number: assigned to each box of records for inventory and chain of custody purposes

· WICS: Wisconsin Integrated Correctional System-DOC’s internal offender management system

· WICS ID: Data field within the lookup file provided by DOC

· CSV File: Comma separated-value delimited file which contains the metadata from the scanned documents

· ZIP File: Compressed metadata files

· Secure Transportation: refers to a locked vehicle transport vehicle General Requirements

· Kofax (or equivalent) batch oriented scan application is required

· Contractor and DOC will agree on a secure file transfer protocol (FTP). The Contractor shall utilize the most current and effective industry standard for file transfer/transmission encryption methods - FTPS with TLS 1.2 or higher (SSL is not acceptable)

· 300 DPI (dots per inch) minimum

· Contractor will have a process in place to respond to open records requests from DOC for a client t-file to be scanned, indexed, and transmitted to DOC within five business days.

· Contractor will have in place a process to return media or other items that are not appropriate to be scanned, i.e., CDs, DVDs, VHS tapes. These items must be inventoried by the Contractor using a DOC form and returned to DOC on a monthly basis. The Contractor will be able to bill for the costs of postage/handling to return these items on their regular monthly bills. The Contractor must include receipts as supporting documentation for reimbursement of these expenses.

· Contractor will use DOC-provided forms to confirm and report the chain of custody of the records boxes at three (3) points in time: pickup from DOC locations, arrival at Contractor worksite, and after the box has been destroyed.

· Document images are required, no OCR necessary

· Client t-files must be processed and transmitted to DOC within three months of pickup. The Contractor should plan for this and should not pick up more files than can be processed in three months. This may mean that the Contractor will make multiple trips to pick up boxes of records from sites that house a large number of files.

· Periodically, DOC will provide a refreshed lookup file to assist in accurate document indexing and auto-population of indexing data.

Electronic File and Transmission Security

· File storage and transfer of digital files from the Contractor must be encrypted from the origination point to the DOC infrastructure.

· The Contractor shall implement the current industry standards for the storage (encryption at rest - NIST AC-19, SC-13, SC-28) and transmission security (e.g., TLS encryption 1.2 or higher), to protect the electronic documentation integrity, and in transit from the origination point to the DOC infrastructure as appropriately defined in 45 CFR § 164.306 (a)(1)(2)(3)(4) General Rules, and 45 CFR § 164.312 (c)(1)(2), (e)(1)(2)(i)(ii) Technical safeguards from unauthorized access, modification, and disclosure.

Document Pickup and Transport

· The Contractor will coordinate the pickup of boxes of records at the approximately 32 locations per an agreed upon schedule, see Attachments D and E. The Contractor may be able to set up multiple locations per trip.

· The number of boxes available for pickup at each location will be provided when DOC and Contractor set a pickup date for each location.

· Most locations do not have access to a loading dock, see Attachments D and E. The Contractor must be prepared to load the boxes of records for transport.

· DOC will not provide any equipment or material for transport such as: handcarts, pallets, shrink wrap, etc.

· The Contractor will use DOC-provided forms to confirm and report pickup of boxes of records from DOC offices and upon arrival at Contractor worksite.

· Boxes of records must be transported in a locked truck and remain locked until arrival at the Contractor worksite where they are stored under dual-locked storage.

Document Storage Pre-Scanning

· The Contractor will store boxes in a confidential and secure manner, meaning storage will be in dual locked storage while not being processed.

· The Contractor will ensure that access to boxes of records is limited to staff approved to work on this project.

Document Validation

· The number of client files differs between boxes.

· Each box of records will contain an inventory sheet indicating: the client t-file number, DOC number, last name, first name, middle initial/name for each file.

· Each box of records shall be processed, indexed, and transmitted to DOC as one unit.

· Contractor must compare the client t-files in each box of records to the inventory sheet to ensure that all client t-files are present.

· If the Contractor determines there is a client t-file missing from a box of records or a client t-file not listed on the inventory sheet is in the box, the Contractor will note the discrepancy on the inventory sheet and scan/email the inventory sheet to DOC project coordinator. The Contractor will scan the remaining client t-files following the normal process.

· If the Contractor finds documents in a box of records that was improperly included, Contractor should start a new batch and add as much indexing information as available.

· Prior to scanning a client t-file, the Contractor will compare a random sampling of documents in the client t-file to ensure that the records in the file match the T-file number, DOC number, last name, first name, middle initial/name, on the outside of the file jacket.

· If the information matches, scan the file, and index.

· If the information does not match, is unreadable, or does not provide a clear match of the T-file number, DOC Number, Last Name, First Name, Middle Initial/Name, scan the file. Contractor will then manually index using any of these data fields available: T-file number, DOC number, Last Name, First Name, Middle Initial/Name. DOC will accept these partially indexed files through the usual secure FTP.

Document Preparation

· Contractor will prepare the client t-files to ensure that the client t-files scan at optimal clarity. Documents include typewritten, handwritten, photos, newspaper clippings, or other document types. Scanned image must be as legible as the original document was.

· Client t-files contain documents of various sizes, weights, and condition

· The majority of documents are 8.5 x 11; and also include 8.5 x 14 and other sizes

· Documents may be one-sided or two-sided

· Documents are in black/white and color; must be scanned as original (color documents scanned in color)

· To ensure documents scan at optimal clarity, Contractor will prepare file by:

· Unfold corners, remove staples, remove clips, etc.

· Photocopy ripped/torn/damaged pages prior to scanning

· Remove post-it notes or taped items from a page, photocopy these items for scanning (can be scanned onto full sheet of paper size) Scanning and Quality Assurance

· The Contractor will scan the client t-files and create an individually-identified pdf file for each client t-file.

· If client’s t-file span multiple boxes, it is permissible to have multiple pdf files with the appropriate control number.

· Contractor must have a quality assurance process in place to ensure that documents are scanned completely and legibly.

· Contractor and DOC will agree on the file naming conventions.

· The Contractor shall not create and retain copies of any electronic documentation or any original media above and beyond the instruction from DOC.

Indexing and Secure Transmission Once all client t-files within a box of records are scanned:

· In a designated secure FTP site, Contractor will provide a CSV-formatted file (example: 1234567.csv) containing complete and accurate indexing information for each box of scanned client t-files.

· Contractor will be required to enter the following mandatory keywords:

1. Filename: Unique name of the scanned document, e.g., 123456.pdf (Contractor and DOC will agree on file naming mechanism for all file types)

2. DOC Control Number: Taken from the box which contained the t-file

3. T-file Number: Taken from the folder which contain the documents

4. DOC Number: Taken from the folder which contain the documents

5. Date of scanning and indexing: Applied by Contractor system

· Each box of scanned client t-files will be zipped together along with the CSV-formatted index file which contains the data points listed above, e.g., 1234567.zip.

Document Storage Post-Scanning

· Contractor will store boxes of records under dual-lock storage system for up to 30 days post-scanning. During this time DOC will conduct its quality assurance audits.

· Contractor will convey DOC-provided forms to document boxes of records that are ready to be destroyed.

Confidential Destruction

· At the completion of the DOC quality assurance review, DOC will notify Contractor which boxes of records can be destroyed.

· Contractor will destroy boxes of records in a HIPAA-compliant method of destruction consistent with industry standards commensurate with the type(s) of information contained within.

· Within 30 days of notification from DOC the boxes of records can be destroyed, Contractor will provide DOC with a certificate of destruction and DOC-provided forms indicating which boxes of records have been destroyed.

· The Contractor will not destroy any records until receiving DOC approval in writing.