Attch 1 - Draft SOW.docx

U.S. Office of Personnel Management Document Digitalization for Employee Services Statement of Work

Background The U. S. Office of Personnel Management (OPM), Employee Services (ES) provides policy direction and leadership in designing, developing, and promulgating Government-wide human resources systems and programs for recruitment, pay, leave, performance management and recognition, employee development, work/life/wellness programs, and labor and employee relations. ES provides various services related to Policies, Programs, Regulations, legislative and Operational information pertaining to Recruitment, Hiring, Pay, Leave, Title V, Senior Executive Service and Labor Relations for federal employees. Over the course of the last seventy years, documents related to these processes have been stored in varied forms, including paper and electronic. In order to safeguard these files, expand accessibility and be in compliance with OMB M-12-18, “Managing Government Records Directive, Goal 1.1” which states that all permanent electronic records in Federal agencies will be managed electronically to the fullest extent possible for eventual transfer and accessioning by NARA in an electronic format, we are tasked with digitizing all of our files. OPM, ES is located at OPM Headquarters, Theodore Roosevelt Building (TRB), 1900 E. Street, NW, Washington, DC 20415.

Scope In support of the mission, ES requires a contractor to provide scanning services for document digitization. Scanning should occur off-site but access to the TRB will be granted on as needed basis.

ES estimates approximately 1000-1200 cubic square feet of records to be digitized.

These documents are predominantly maintained in either traditional five-drawer steel filing cabinets or four-drawer lateral steel filing cabinets. Additionally, due to overflow, some documents are maintained in container or banker box storage on the floor areas around or on top of the file cabinets.

Document ages range from seventy-years to current. Document quality ranges from onion paper to various quality documents of all sizes.

The scanned documents must ultimately be indexed, searchable, and accessible via a secure on-line platform.

Contractor will provide their own banker boxes to package documents not presently stored in bankers’ boxes. The Contractor will index the boxes by marking them according to an agreed upon convention satisfactorily assuring that the boxes could be returned to their original location in drawers if necessary (indexing includes department; location; cabinet number; drawer number; and position in the drawer).

Historically, this has been done by two or three Document Specialists ultimately stacking filled boxes in the original area. This stage of the process is typically completed in a single day. Contractor provides their own transport truck, dollies, driver and movers as is necessary to move the boxes ready for departure and load the transport truck and complete the use of the OPM/ES loading dock in a single day. Historically, this has been done the day after the contents have been loaded into the boxes for transport.

Government Furnished Property The Government will provide access to government sites/facilities. The Government will provide boxes containing all documents that need to be digitalized. Records of various conditions will be provided for digitalization and returned to government upon completion.

The records to be digitized are primarily policies/directives and procedures that encompass the responsibilities performed by OPM/ES as well as some employee data. Although minimal records include Personal Identifying Information (PII), we strictly require these documents to be highly protected and safeguarded by the contractor. To that end, anyone gaining access to PII in the Contractor’s secure location must have been screened by a background check performed by the federal government at the specific request of OPM/ES. Contractor’s staff handling PII must be subject to a Confidentiality Agreement specifically addressing PII with Contractor that survives the work on the project. Further, at the completion of the project, Contractor is required to deliver to OPM/ES the hard drives from all computer work stations and/or servers.

Records conditions consist of various analog formats based on their varied ages and the media upon which they were created. These hard copy documents include:

· Onion skin paper: original imprint-marking duplicates and/or 8 lb. velo paper.

· Old paper types: paper ranging in thickness from imprint weight from 8 lb. to 60 lb. cardstock.

· Different sizes of paper: varied sizes from receipts up to and including oversize materials 36 inch by 48 inch.

· Typewriter written paper: Conventional 20 lb. to 28 lb. common stock paper used for ribbon-based analog printing.

· Dot matrix printed paper: Main frame print outs to typically IBM-grade “DecWriters” including perforated dot guides.

· Computer printed paper: Traditional laser paper ay 8.5x11 dimensions.

· Handwritten paper: Various grades of handwritten notes from “Post It” size to 11x17.

· Combination of all written types including bound books.

· Stapled, paper clipped, bound documents, etc.

· The Contractor will have completed a valid background investigation prior to start of work.

· Some documents are sensitive in nature and contain Personally Identifiable Information (PII).

· All Contractor personnel must be able to perform these functions securely and efficiently in an off-site facility using OPM Virtual Private Network (VPN).

· The Contractor will store the files in a secure facility with controlled access.

· The Contractor will store files in a temperature-controlled facility.

· The Contractor will ensure digital documents meet National Archives and Records Administration (NARA) requirements. Specifically, the contractor is required to provide electronic files rendered to searchable portable document format (*.pdf) readable through image viewers compatible with at least Adobe Reader 8.0 and Adobe Acrobat 7.0 and/or Microsoft Windows 7.0’s embedded “Picture It” viewer and indexing Extensible Markup Language (*.xml) files for transmission.

· All Contractor personnel will be required to sit/stand for periods of time. All contractor personnel will be required to lift/move boxes weighing as much as 45 lbs.

Summary of Requirements The Contractor will provide scanning/document digitization services for OPM/ES.

· Outline of Process

· Chain of Custody: Contractor must have documented experience maintaining custodial records for materials safeguarded to them by OPM/ES. Such records shall include the name of every person coming into contact with OPM/ES materials. Additionally, Contractor must have documented experience safeguarding records in various levels of decay representing 70 years of records. As such, some documents may require gloves and document handling devices such as to permit the processing on a glass optical device without being subject to automated document feeders during the scanning process.

· Document Sorting (retain or destroy) : Chain of Custody practices and indexing methodology must be sufficient to separate materials down to the box level for retention or destruction.

· Scanning Technology and Process I. Scanned Formats: : Scanning may be processed by standard Group IV tagged image file format (*.TIFF) with an accompanying text file (*.txt) for optical character recognition (OCR), but the ultimate deliverable will be electronic files rendered to searchable portable document format (*.pdf) readable through image viewers compatible with at least Adobe Reader 8.0 and Adobe Acrobat 7.0 and/or Microsoft Windows 7.0’s embedded “Picture It” viewer and indexing Extensible Markup Language (*.xml) files for transmission.

II. File Transfers: Final deliverable will be via high density hard-drive (HDD). During the processing however, while documents are still in the possession of the contractor, it may be necessary for OPM/ES to request a smaller group of documents needed in the interim. Contractor shall maintain a secure encrypted File Transfer Protocol (FTP) server with appropriate permission authorization to facilitate such infrequent requests as may arise.

III. Classification of Digital Documents

1) Indexing: The various types of documents used in OPM/ES shall be recorded for search capabilities. These include but are not limited to reports; rulings; administrative findings; procedures, etc.

2) Categories: Recording basic data about documents as part of the Indexing process but limited to universally agreed upon and accepted Core Programs and Common Terms to facilitate search capabilities.

3) Tagged/Marked using Classifications (Sensitive, PII, Classified)

4) Typed (allowing access to view based on security classification, printing based upon classification and access rights)

· Format Document Structure of Digital Documents: The unitization of the documents shall be such that parent/children relationships shall be maintained (i.e., recognizing the relationship of a document with its appropriate attachments as one document)

The Contractor will be required to perform, but is not limited to the following:

· Document Preparation/Barcoding

· Contractor input values and generate barcode cover pages for scanning. Such barcoding to permit accurate capture of document page boundaries and appropriate unitization as discussed above.

· Image Capture Software and Processing Protocol used by Contractor must:

· Provide the ability to review scanned documents for Quality Assurance (QA).

· Creates image (Portable Document Format (PDF)) and index (Extensible Markup Language (XML)) files for transmission.

· Store scanned images on the Government Furnished Equipment (GFE) and upload to OPM shared drive.

· Use current Optical Character Recognition (OCR)

· Tracking

· Each step in the process will be recorded in tracking system-auditability.

· Enables users to search bundles based on search criteria such as scan date, username, QA date, inventory check in/out date, bundle control number (BCN), etc. – traceability.

· File Transmission

· Package’s image and index files for transmission to the Electronic Document Management System (EDMS).

Deliverables The deliverables that the Contractor will provide under the contract include, but are not limited to, the following:

· Project management plan and milestones to include objective, deliverables, deliverable due dates, and project schedule.

· Pick up and pack all boxes from OPM for scanning and ship/deliver to appropriate destinations.

· Prep documents for scanning by removing staples, paper clips, etc.

· Outline chain of custody plan to and from the designated facility to ensure document security.

· Ensure all metadata of scanned files are searchable.

· Scan each individual page, front and back in high quality (scan/digitalize records).

· Convert all scanned records to searchable PDF documents.

· Indexed and searchable records.

· Commercial off-the-shelf (COTS) product for storage retrieval.

· Secure on-line tool to access records.

· Re-assemble files as received.

· Off-site storage may be required to transition records.

· Type illegible records.

· Ability to add new records.

· Return records to OPM/NARA by direction of OPM.

· The online document management tool will become the property of OPM.

· Minimum of 62,5000 digitized records per month for the base year.

Place of Performance Work will be conducted:

· Scanning & Processing: Contractor’s Designated authorized facility.

· Pickup of documents: OPM Headquarters, Theodore Roosevelt Building, 1900 E Street NW, Washington, DC 20415.

Period of Performance The resultant contract will be for a period of one (1) year from the date of award. Two option years may be awarded for a 1 year period for each option year.

Award Type Firm Fixed Price, Indefinite Delivery Indefinite Quantity (IDIQ) contract.

Quality Assurance Surveillance Plan The Government shall monitor the Contractor's performance under this contract using the quality assurance procedures specified in the “Performance Requirements Summary”.

Performance Requirements Summary

Scanning Quality (Onion paper)

Contractor Quality Control Indicators Missing Pages Scan Quality Paper skews Paper Orientation Blurry original Documents (Return w/o scanning