CTR063774_Contract_Documents.pdf

Request for Proposal

Solicitation No. BPM004656

Document Management Services

Arizona Department of Administration State Procurement Office

100 N 15th Avenue Phoenix, AZ 85007

Solicitation Offer Form Page 1 of 2

Offer and Acceptance Form

SUBMISSION OF OFFER: Undersigned hereby offers and agrees to provide Document Management Services in compliance with the Solicitation indicated above and our Offer indicated by the latest dated version below:

Initial Offer:

Sept 14, Date Signature

Revised Offers:

Date Signature Date Signature

Date Signature Date Signature

Best and Final Offer:

Dec 15, Date Signature

SecureOne Outsource Solutions, Inc.

Offeror company name Signature of person authorized to sign Offer

2801 North 33rd Avenue, Suite 1 Nelson Brooks – Chief Executive Officer

Address Printed name and title

Phoenix, AZ 85009 Nelson Brooks – Chief Executive Officer

City | State | ZIP Contact name and title

81-2457653 nbrooks@secure1outsource.com 602-415-1111

Federal tax identifier (EIN or SSN) Contact Email Address Contact phone number

CERTIFICATION: By signature in the above, Offeror certifies that it:

1. will not discriminate against any employee or applicant for employment in violation of Federal Executive Order 11246, [Arizona] State Executive Order 2009-9 or A.R.S. § 41−1461 through 1465;

2. has not given, offered to give, nor intends to give at any time hereafter any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor, or service to a public servant in connection with the submitted offer. Failure to provide a valid signature affirming the stipulations required by this clause will result in rejection of the Offer. Signing the Offer with a false statement will void the Offer, any resulting contract, and may be subject to legal penalties under law;

3. complies with A.R.S. § 41-3532 when offering electronics or information technology products, services, or maintenance; ad

4. is not debarred from, or otherwise prohibited from participating in any contract awarded by federal, state, or local government.

ACCEPTANCE OF OFFER: State hereby accepts the initial Offer, Revised Offer, or Best and Final Offer identified by the latest date and number at the top of this form (the Accepted Offer). Offeror is now bound (as Contractor) to carry out the Work under the attached Contract, of which the Accepted Offer forms a part. Contractor is cautioned not to commence any billable work or to provide any material or perform any service under the Contract until Contractor receives the applicable Order or written notice to proceed from the Procurement Officer.

State’s Contract Number is: CTR063774 Contract Effective Date: 1/1/2023 mailto:nbrooks@secure1outsource.com

Solicitation No. BPM004656

Document Management Services

Arizona Department of Administration State Procurement Office

100 N 15th Avenue Phoenix, AZ 85007

RFP No. BPM003345 Offer Forms Page 2 of 2

Eric Bell Statewide Procurement Manager

Procurement Officer Signature Award Date Procurement Officer Name Title

12/28/2022

Notice Page

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 1

Solicitation Number: BPM004656

Description: Document Management Services

Solicitation Due Date and Time: As indicated in APP

Pre-Offer Conference: As found within the State's e-Procurement system, (https://app.az.gov);

Proposals will only be accepted online in “The State’s e-Procurement System” at https://app.az.gov until the “Bid/Offer Due Date” indicated in “The State’s e-Procurement System” for the Solicitation No. shown at the top of this page. Proposals must be in the State Procurement Office’s possession online no later than that deadline.

Submit technical inquiries about navigating and/or submitting proposals in the State’s e-Procurement System to the State’s e-Procurement System Help Desk by phone at (602) 542-7600, option 2; or by email to app@azdoa.gov

LATE PROPOSALS WILL NOT BE CONSIDERED. No extension or grace period will be given for delays or incomplete proposals caused by internet connectivity problems, file uploading difficulties, or misunderstanding of the requirements or procedures for online submission in “The State’s e- Procurement System”.

It is the responsibility of the supplier/offeror to routinely check the APP website for Solicitation Amendments. Additional instructions for preparing an Offer are included in this solicitation.

Persons with a disability may request a reasonable accommodation, such as a sign language interpreter, by contacting the Solicitation contact person. Requests shall be made as early as possible to allow time to arrange for the accommodation.

Notice Page

Table of Contents https://app.az.gov/ https://app.az.gov/ https://app.az.gov/ mailto:app@azdoa.gov

Table of Contents

Solicitation No. BPM004656 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 2

Solicitation Summary 3

Scope of Work 5

Pricing Document 22

Special Terms and Conditions 26

Uniform Terms and Conditions 59

Solicitation Summary

Solicitation No. BPM004656 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 3

1. What the State is Soliciting?

The Arizona Department of Administration, State Procurement Office (the State), as authorized under A.R.S. § 41-2501 is seeking to establish one or more “statewide” contracts to satisfy the needs for all state agencies, boards, and commissions, as well as participating purchasing cooperative members (collectively, the Eligible Agencies) to provide Document Management Services. This includes Document Imaging/Scanning, and end to end Document Management Services from document creation to disposition.

The State anticipates awarding contract(s) with the intent to secure service coverage statewide. Whether or not it actually enters into any contracts, how many contracts it enters into, and how the work is awarded between those contracts are all at the State’s discretion. Furthermore, the State will use any awarded contracts on an as-needed basis, with no guarantee as to its actual spending under them.

The State reserves the right to accept any item or combination of items specified in the solicitation, unless the Offeror expressly restricts an item or combination of items in its Proposal, and conditions its response on receiving all items for which it provided a proposal. In the event of such restriction, the State will evaluate if an award on such basis will result with the best value and in the best interest for the State. The State may otherwise determine at its sole discretion that such restriction is non-responsive and deem the Offeror ineligible for further evaluation.

2. What is in the Solicitation?

2.1. At the time of publication, the following documents are included in the Solicitation:

2.1.1. BPM004656 Solicitation Requirements

2.1.1.1. Notice / Cover Page

2.1.1.2. Table of Contents

2.1.1.3. Solicitation Summary

2.1.1.4. Scope of Work

2.1.1.5. Pricing Document

2.1.1.6. Special Terms and Conditions

2.1.1.7. Uniform Terms and Conditions

2.1.2. BPM004656 Exhibits to the Scope of Work

2.1.3. BPM004546 Solicitation Requirements Attachment 1 - Solicitation Instructions

2.1.3.1. Special Instructions to Offerors

2.1.3.2. Uniform Instructions to Offerors

2.1.4. Solicitation Attachments

2.1.4.1. Attachment 1 - Offer and Acceptance

2.1.4.2. Attachment 2 - Boycott of Israel Disclosure

Solicitation No. BPM004656 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 4

2.1.4.3. Attachment 3 - Confidential Information Designation

2.1.4.4. Attachment 4 - Conformance Statements

2.1.4.5. Attachment 5 – Arizona Baseline Security Controls Assessment

2.1.4.6. Attachment 6 - Letter of Insurability

2.1.4.7. Attachment 7 - Proposed Subcontractors

2.1.4.8. Attachment 8 - Experience and Capacity Questionnaire

2.1.4.9. Attachment 9 - References

2.1.4.10. Attachment 10 - Method of Approach

2.1.4.11. Attachment 11 - Pricing Document

2.2. The State may issue a Solicitation Amendment at any time after solicitation publication, and before the proposal due date. It is the responsibility of the supplier/offeror to routinely check the APP website for any Solicitation Amendments and revised documents.

Scope of Work

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 5

1. Purpose and Background

1.1. The purpose of this solicitation is to establish one (1) or more Contractors to provide Document Management Services for Eligible Agencies, Employees and the State of Arizona. This includes Document Imaging/Scanning as well as end to end Document Management Services including but not limited to document creation, storage, maintenance, retention, archival, disposition, etc.

2. Scope Summary

2.1. State Objectives:

2.1.1. Reduce storage, printing, filing, faxing, and mailing costs along with creating a central repository for key documents within Agency departments.

2.1.2. Provide separate secure files for confidential information.

2.1.3. Provide common administrative functions Statewide that allow agencies to focus on their core missions.

2.1.4. Provide a standard method for processing documents with image legibility and valid metadata.

2.1.5. Centralize the storage of electronic documents and scanned document images and provide a consistent user experience for retrieving documents.

2.1.6. Ensure integrity and continuity of record keeping.

2.1.7. Ease of use for Eligible Agencies and Co-op Buyers.

2.1.8. Provide a mechanism to identify and purge inactive records which is expandable and flexible enough to meet agency specific needs.

2.1.9. Standardize the procedures for disposal of obsolete records.

2.1.10. Increase compliance with legal and audit retention requirements.

2.1.11. Facilitate the identification and production of all documents relevant in potential litigation regardless of format.

2.1.12. Allow for the fulfillment of Public Records Request that may require redaction and selection.

2.1.13. Reduce support and operating costs by consolidating multiple Document Management Solution (DMS) platforms used by various agencies into one common DMS platform.

2.2. Definitions:

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 6

2.2.1. Document – One or more pages that pertain to a specific subject or individual and is usually bound in some fashion (e.g. an annual report). Document can also include but not limited to photo, tape, video, audio, blue-print, chart, text, etc.

2.2.2. Image – An optically formed duplicate, counterpart, or other representative reproduction of an object, especially an optical reproduction of an object (e.g. by such optical devices as scanners, cameras, mirrors). When a page is scanned, two images could be produced, one for each side.

2.2.3. Customer – Any Eligible Agency (as defined in Special Terms and Conditions 1.12), or any Co-op Buyer (as defined in Special Terms and Conditions 1.11).

2.2.4. Job Plan - The discovery document, or written job requirements, which outlines the specifications of an individual job and which includes estimated costs. A proposed Job Plan is prepared by contractors upon the request of the Customer.

A formal Job Plan is prepared by the selected contractor(s), and agreed to in writing by both Contractor and Customer, before a job commences.

2.2.5. Off-site – Services are performed at a site other than the premises of the Customer.

2.2.6. On-site - Services are performed on the premises of the Customer.

2.2.7. Page – A single piece of paper. Information could be on one (simplex) or both (duplex) sides of the page.

2.2.8. Source Materials – Examples of source materials include, but are not limited to:

2.2.8 (a) Oversized and undersized documents

2.2.8 (b) Double-sided documents

2.2.8 (c) Multi-page documents

2.2.8 (d) Documents on colored paper

2.2.8 (e) Documents with multicolored printing or highlighting

2.2.8 (f) Documents with post-it notes

2.2.8 (g) Thermal papers

2.2.8 (h) Carbonless copies

2.2.8 (i) Envelopes

2.2.8 (j) Forms with faint handwriting and colored inks

2.2.8 (k) Checks

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 7

2.2.8 (l) Onionskin

2.2.8 (m) Microfilm/fiche

2.2.8 (n) Photos and graphics

2.2.8 (o) X-rays and other fragile materials.

2.2.8 (p) Historical documents

2.2.8 (q) Maps and GIS

2.2.8 (r) Audio files

2.2.8 (s) Video files

2.2.9. Quality Control – A system for maintaining proper standards, especially by regular inspections of the product.

3. Scope of Services

3.1. Part One:

The State has imaging needs that include imaging services for a large variety of source documents and records in a variety of conditions, sizes and formats. The services to be provided should include at a minimum: imaging project consultation including development of a Job Plan, secure transportation of source materials, preparation and imaging of source materials, indexing of imaged data. All State document imaging programs, except for the State Court System, operate pursuant to ARS §41-151.16.

The Successful Contractor(s) shall provide a broad range of imaging services to include, at a minimum, the following:

3.1.1. Project Consulting/Job Plan:

3.1.1 (a) Each contractor is expected to review jobs and discuss best approaches if so requested by Customer. Such job consulting is considered part of the bid process for individual jobs, or the initial stage of an awarded job, and is to be provided at no charge to the Customer. However, more complicated jobs may benefit from lengthier study and more in-depth advice from a contractor. This contract provides for the higher-level job consulting as an available optional service. This is managed functionally by establishing that at a minimum, the first four (4) hours of consulting services are provided at no charge, per Customer.

Pricing beyond the initial period is on an hourly basis and included in the pricing section of the contract.

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 8

3.1.1 (b) Under Project Consulting, as requested by the Customer, the Contractor shall:

(b) i. Provide advice to the Customer on the best practices to follow to accomplish the Customer’s goals, consistent with the State’s statutes and guidelines related to document imaging and record retention;

(b) ii. Work with Customer to ensure that the proposed approach will consider not only current, but future use and users of the imaged documents;

(b) iii. Share information on new technologies or suggest different approaches that may assist customers by improving their project results, enhancing data access and coordination, reducing costs, etc.; and

(b) iv. Develop a Job Plan to define the different elements of the job.

3.1.1 (c) Each job is unique and, assuming multiple awards, Customers may request proposed Job Plans from multiple contractors before choosing the contractor(s) for their individual job.

(c) i. The Contractors shall develop their proposed Job Plans after meeting with the Customer, reviewing the source materials, and discussing the Customer’s needs.

(c) ii. Development of a proposed Job Plan should fall within the initial minimum four (4) hours stipulated. Billable project consulting can only be authorized by a purchase/task order from Customer.

(c) iii. Depending upon the job requirements and Contractor award, the proposed Job Plan may include, but is not limited to: estimated volume, agreed-to amount of preparation work, location where services are to be provided (and related issues), the degree of image enhancement necessary, amount and method of indexing, required resolution, timeframes, level of Quality Control, storage, output (including formats), and estimated pricing. In addition to the itemized pricing based on the contract, each proposed Job Plan will include a “NOT TO EXCEED...“ total cost figure.

(c) iv. Different approaches, and their related prices, shall be offered when feasible.

The proposed Job Plan shall clearly explain the pricing model applied. For example, if pricing is by page, Contractor shall explain how pricing would apply to simplex (single-sided) and duplex (double-sided) pages.

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 9

3.1.1 (d) In addition to the issuance of a purchase order, the Customer and each selected Contractor shall have a formal Job Plan, a signed understanding with the specifications and pricing of their job defined.

(d) i. Requirements for the formal Job Plans are equivalent to those established for the proposed Job Plans. The Job Plan shall provide sufficient detail so that both Contractor and Customer are clear on expectations. All timelines in the Job Plan will be strictly adhered to. No terms or conditions included on a Job Plan form shall have any effect on this contract. Failure by the Contractor to meet the agreement specifications, unless agreed to in writing by Customer or demonstratively due to no fault of the Contractor, can result in disciplinary actions, including but not limited to contract termination.

(d) ii. If the Customer is a State agency subject to the requirements of ARS §41-

151.16 (see BPM004656 Exhibits to the Scope of Work attachment), written approval of Arizona State Library, Archives and Public Records (ASLAPR) must be received prior to the start of the project. It is the responsibility of the Customer to obtain the approval, but it is the responsibility of the Contractor to verify approval has been received before commencing work. Samples of the types of documents provided by ASLAPR are provided as Exhibits to this solicitation (see BPM004656 Exhibits to the Scope of Work attachment).

3.1.2. On-site performance:

3.1.2 (a) The State shall provide the Contractor’s personnel with adequate workspace and such other facility support as may be reasonably required by Contractor to carry out the requirements of the job.

3.1.2 (b) The Job Plan shall cover the presence, control, and safe use of Contractor’s computers and/or equipment on site. The Customer shall not interfere with nor operate Contractor’s equipment. The Customer and Contractor shall determine procedures in the case of Contractor equipment failure (e.g. would a repairperson come to the Customer’s premises to repair Contractor equipment and how might that affect the confidentiality of the records.)

3.1.2 (c) If required by Customer, Contractor employees shall be required to wear an employer’s photo ID badge.

3.1.2 (d) Contractor shall be responsible for the removal of all materials, debris and residue resulting from the performance of the contract service. All work areas shall be maintained in a clean and orderly manner throughout each work day.

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 10

(e) If required by the Customer, the Contractor shall have supervisory personnel present during work operations for observing work progress, inspection of completed work, and meeting with State personnel to perform random work site inspections or coordinate operational requirements.

3.1.3. Off-site performance:

3.1.3 (a) Secure Transportation of Source Materials (pick-up and delivery)

(a) i. Contractor shall ensure that Customer information in its possession is secured and attended, at all times.

(a) ii. If source material pick-up and transport is required of the Contractor by the Customer, the Customer shall provide a listing of itemized materials (e.g.

boxes). Contractor shall confirm receipt of materials by signing Customer listing or providing receipt. Upon signing the receipt, the Contractor has assumed the responsibility for the materials. Contractor shall securely transport source materials to the service site.

(a) iii. If required by the Customer, source materials which have been successfully imaged shall be inventoried and securely transported to the site designated by the Customer. Contractor shall be able to demonstrate complete and accurate delivery of all materials. The materials remain the responsibility of the Contractor until the Customer has provided a written acknowledgement of receipt.

(a) iv. All Document Imaging Services shall be performed at a facility within the State of Arizona.

3.1.3 (b) Control and storage of source documents

(b) i. The Contractor providing off-site services shall have secure areas for sensitive document storage, into which only authorized personnel have access. The Contractor will not charge the Customer for the cost of holding the source materials while the project is in process, nor during the acceptance period.

(b) ii. The Contractor shall have a system for tracking and controlling records which maintains the security and confidentiality of the Customer’s source materials at all times. (See also the section related to Confidentiality/ Security.)

(b) iii. The Contractor shall have the ability to provide the Customer with proof of receipt of source materials, proof of completed imaging, tracking of boxes, Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 11 and proof of complete and accurate delivery of source materials as required by Customer when imaging is completed and quality approved. The use of box tracking software is highly recommended.

(b) iv. The Contractor shall have the ability to locate and retrieve specific source materials within 48 hours upon request from the Customer (e.g. if the Customer is responding to a Public Information request for a document).

With the prior approval of the Customer, the document(s) may be transmitted electronically.

(b) v. The Contractor shall have a document viewing work station at the Contractor’s location where end users can spot-check finished products against the original source materials and test the products for accuracy. If the Contractor is imaging from microfilmed source materials, the viewing work station shall include a microfilm reader or equivalent mechanism whereby the microfilm source materials can be read. This work station does not need to be dedicated to end users, but it must be available to end users upon request.

3.1.3 (c) Confidentiality/Security. The Contractor shall maintain complete confidentiality on all information (source materials and imaged output) through security practices/systems and confidentiality agreements with their employees or subcontractors.

(c) i. All electronic data shall be stored on a secure network and encrypted both in transit and at rest. Awarded Contractors may be required to sign a Non-disclosure statement to encompass any work performed under their contract.

(c) ii. In addition to the above statement, Contractor shall understand and agree that all persons who handle documents provided under this contract shall also sign non-disclosure agreements, including all persons employed by subcontractors (including couriers). The signed confidentiality agreements of individuals assigned to a job must be provided to the Customer prior to the start of the job. In addition, Contractor’s employees or subcontractors who will have access to confidential documents of any type and form, will need to have background checks which may include fingerprinting completed (paid for by the Contractor), prior to any such access being granted to them.

(c) iii. Contractor shall supply a method for secure identification and protection of media to ensure authenticity at the file level (for example: encryption and/or digital signature support).

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 12

(c) iv. Individual Customers (e.g. Department of Corrections) may have additional confidentiality/security requirements which shall be provided and accepted by Contractor before work commences.

(c) v. Where required, a Contractor shall provide to the requesting Customer proof of compliance and/or other certification (e.g. Health Insurance Portability and Accountability Act [HIPAA]) as mandated by the State and/or Federal Government. The Contractor may be required to sign the customer’s business associate agreement as required by HIPAA.

(c) vi. Security and privacy policies, standards and procedures will be continuously maintained by both the Contractor and the Customer and are subject to change during the term of the contract in accordance with State or Federal legislation, administrative rules or court orders.

3.1.3 (d) Preparation of Source Materials. To the degree required by the Customer, and agreed to in the Job Plan, documents shall be prepared for best image scanning. The quality and sizes of source documents sent to be imaged may vary considerably.

(d) i. All staples, binders, and fasteners shall be removed, corners smoothed out, and torn pages pieced together to ensure the highest possible quality of images. This shall be done in such a matter so as not to cause any additional damage to the documents.

(d) ii. If there are post-it notes on the document, the Contractor shall seek the Customer’s approval on how to scan the document.

(d) iii. If documents require photo copying to create a more legible document to image, the Contractor shall include marking on the copy so the imaged record reflects that the copy was not based on the supplied original. In such a situation, both the original and copy of the document shall be returned to the State.

(d) iv. As required by the Customer, Contractor shall provide a mechanism, such as separator pages, by which the boundaries of a file/document/record as defined by the Customer (start and end) are clearly delineated.

(d) v. After source materials have been imaged, Contractor is to restore the source materials to their original order and condition as requested by Customer.

(d) vi. Contractor shall follow other special instructions as may be required by the Customer for optimal imaging.

3.1.4. Scanning / Data Capture / Imaging:

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Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 13

3.1.4 (a) Electronic Images shall be produced in the agreed upon, non- proprietary format (e.g. PDF, TIFF, JPEG). The image format shall be determined by the Customer before any work begins on the project.

3.1.4 (b) Electronic images shall be accessible, searchable and downloadable via cross-platform products (e.g. Adobe Acrobat).

3.1.4 (c) Imaged information must be accessible and readable for the required life of the record. Such access shall not be negatively impacted by software or programming changes, or by deterioration of image storage formats. The Contractor and Customer shall discuss the required life of the images when developing the Job Plan.

3.1.4 (d) Contractor shall have the capacity of organizing documents into an agreed-upon hierarchy, according to the configurations specified by the Customer (such as by month, fiscal year, etc.).

3.1.4 (e) Contractor shall be able to scan every page (either simplex or duplex) and create digital images. Scanning Resolution dots per inch (DPI) shall be selected by the Customer to meet the particular job’s need and shall meet or exceed the minimum requirements established by ASLAPR.

3.1.4 (f) Contractor shall provide adequate scanning resolution capabilities as described in the Job Plan. The State may require a variety of capabilities including monochrome, grayscale to color and color dropout scanning.

3.1.4 (g) Contractor shall have the ability to scan at various resolutions per the guidelines established by the Customer and in conjunction with requirements established for specific document types.

3.1.4 (h) Contractor shall disclose their ability to handle sensitive or fragile documents including old documents, documents bound with old glue, documents with a wax seal, and long or large scaled maps whilst maintaining the integrity of the document and returning it in the same state it was received.

3.1.4 (i) Contractor shall have the ability to electronically enhance the digital image without changing any of the image content. Image tags, such as “best image to follow”, shall be used as appropriate

3.1.4 (j) There must be a clear understanding between the Customer and the Contractor of the expected resultant images. For example, if the Customer expects to see an oversized document translated into one image, the Contractor shall not provide multiple images, or a “stitched image”, of the document. To the greatest extent possible, such understandings shall be delineated in the Job Plan.

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Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 14

3.1.5. Indexing / Data Entry: Contractor should have a variety of indexing capabilities including, but not limited to: barcode index capture, data entry and or double key data entry, zonal OCR (optical character recognition), multi-level indexing, web-based search and retrieval system, etc.

3.1.6. Quality Control: Contractor shall have a series of checks and balances, both electronic and manual, in place to ensure the document conversion process is accurately capturing and indexing images according to the customer’s requirements and as outlined in the Job Plan. Contractors shall provide Quality Control throughout the imaging services processes for which the Contractor was awarded a contract.

3.1.6 (a) The Contractor shall provide quality assurance and quality controls to ensure:

(a) i. The level of required quality control shall be established with the Customer and meet ASLAPR requirements before the start of the project (e.g. every page reviewed or audits of outcomes).

(a) ii. Contractor shall reimage documents that fail to meet standards, whether discovered by their own quality assurance procedures, or because of Customer rejection of the imaged document(s), at no additional cost.

(a) iii. If the best possible image has been provided of a poor original, the Contractor shall annotate that information on either the captured image or a leading image.

3.1.6 (b) Any indexing requirements (e.g. use of data imports) shall be tested and confirmed prior to project start.

3.1.6 (c) 100% quality assurance: If the Customer discovers records that require reimaging after the return of the source materials, the Contractor shall securely collect, process, and return those records at no charge to the Customer.

3.1.7. Proof of Concept / Test Run: Contractor shall provide, at the Customer’s request, a proof of concept demonstrating the functionality of their solution. A description of the Proof of Concept, including sample size and turnaround time, shall be included in the Job Plan. Source materials selected for the Proof of Concept must be representative of the proposed job.

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 15

3.1.8. Progress Reports: Contractor shall have the capability to track and report progress on a job as requested. Examples of the information to be reported include, but are not limited to: the number of source documents received, the number of documents currently imaged, the number of documents transferred via secured file transfer.

Reports are to be provided as required by the Customer.

3.1.9. Output / Data Retrieval / Access: Contractor shall provide Customer with ability to access both images and index information in multiple formats, including custom outputs as may be required by the Customer. All Outputs shall be accessible, searchable and downloadable via cross-platform products (non-proprietary formats). Contractor shall have the capability to provide encrypted document images in a variety of formats, including but not limited to CDs, DVDs or Blu-ray.

Contractor shall have additional means of distributing scanned image files, including but not limited to, secure FTP or HTTP (website) downloads. Contractor shall provide Customer with the ability to transfer the images to the Customer’s Internal Document Management System (IDMS), if so required by the Customer.

Contractor shall not have access to Customer’s IDMS, unless authorized in writing by the Customer. Agreement of the output format shall be included in the Job Plan.

3.1.10. Acceptance: Work performed by the Contractor shall be subject to periodic reviews and partial acceptance at various stages. The State reserves the right to make such reviews and pass upon the acceptability of Contractor's work. No partial acceptance shall relieve the Contractor's obligation to correct, without charge, any errors in the work on this project. Customer and Contractor shall agree, in the Job Plan, on an acceptable time frame for review/test of the delivered images for quality and completeness. If the Customer had not reported problems during that period, the job may be considered as accepted.

3.1.11. Completion, Transfer, or Termination of Job:

3.1.11 (a) Per the Job Plan, at the completion, transfer, or termination of a job, or phases of a job, the Contractor shall work closely with the Customer to ensure the secure transport of source documents and electronic images, as directed by the Customer.

3.1.11 (b) The Contractor shall work with the Customer to transfer electronic information to the destination required by the Customer and in a format and timeframe acceptable to the Customer. There shall be no additional fee charged for the transfer of the Customer’s information.

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 16

3.1.11 (c) When electronic transfer has been successfully completed, and tested and approved by Customer, all documents, data and images shall be securely purged and deleted from Contractor computer systems. Contractor shall provide written confirmation that data and images have been destroyed and are no longer accessible by any means.

Contractor shall verify with Customer prior to data or image destruction.

3.1.11 (d) Contractor shall follow Customer requirements regarding disposal of original paper documents, as directed by the Customer.

3.1.12. Desirable Specifications / Options:

3.1.12 (a) The Contractor shall allow Customer to drop off and pick up source documents from the Contractor’s facilities.

3.1.12 (b) The Contractor should have automatic “document cleanup” mechanisms in place.

3.1.12 (c) If the Contractor offers other options that are consistent with the intent of this solicitation, the Contractor may submit those options in their proposal. The options shall be clearly defined as such, and submitted with sufficient description of the option and the value it may provide to the State. Pricing, if any, for the option(s) shall be provided as well.

3.2. Part Two:

The Successful Contractor(s) shall provide a document management solution(s) that can meet and conform with the following requirements:

3.2.1. State data may contain personal and sensitive employee data PII (Personally Identifiable Information) and PHI (Protected Health Information) (e.g. benefits, compensation, enrollment and performance forms), compliance with all State Security and Data Handling requirements from a proposed solution and implementation perspective are essential;

3.2.2. Extensibility of the proposed solution to meet other situational needs of the State;

3.2.3. Modularity of the proposed solution to allow the State to selectively implement elements of the solution in a variety of systems support roles that leverage existing or future State investments in scanning, imaging, Commercial Off-the-Shelf (COTS) e-signature software, workflow, routing, storage etc., and integration with State systems in the future;

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 17

3.2.4. Flexibility of the solution to meet the below listed needs:

3.2.4 (a) Address a variety of image inputs (forms, formats and standards);

3.2.4 (b) Accept presentation from a variety of sources (desktop scanners, workgroup imaging platforms, high volume imaging platforms or managed imaging vendors);

3.2.4 (c) Align with specific situational business needs (e.g. HR data, Business data, State revenue data, citizen data) based on the mission of an Eligible Agency or Co-op Buyer and it’s needs;

3.2.4 (d) Integrate with existing or new State systems using available APIs based upon open-standards such as XML, SOAP, .NET and other integration frameworks;

3.2.4 (e) Align with the State’s appropriate data creation processes and policies, which may be modified as needed;

3.2.4 (f) Native encryption of all content and ability for customer to manage encryption key outside of service provider infrastructure;

3.2.4 (g) System should be web-accessible and support easy document sharing across State agencies/divisions/sections;

3.2.4 (h) Organize all paper and digital files;

3.2.4 (i) Combine paper to digital files;

3.2.4 (j) Ensure that external documents are identified and controlled;

3.2.4 (k) Ability to create custom metadata templates

3.2.4 (l) Store files into a single hub after document is scanned and digital formats get imported;

3.2.4 (m) Cloud-based storage with unlimited storage of data;

3.2.4 (n) System should be integrated with common cloud platforms;

3.2.4 (o) Keep a record of the various versions created and modified by different users;

3.2.4 (p) Provide version control;

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 18

3.2.4 (q) System should allow simultaneous document review (including media files) and revision by multiple users, and keep track of the edits made (document custodian should have authority to accept or reject those edits);

3.2.4 (r) Ensure that documents remain legible and identifiable;

3.2.4 (s) Read and accept multiple formats like .XLS, .PDF, .DOC etc.;

3.2.4 (t) Support compression options like zipping or compressing large files;

3.2.4 (u) Ability to use links to documents on the system;

3.2.4 (v) Ensure that external documents are identified and controlled;

3.2.4 (w) Prevent “unintended” use of obsolete documents;

3.2.4 (x) Validation of authenticity;

3.2.4 (y) Prevention of document editing and alteration (determined by type of document);

3.2.4 (z) Ability to recover accidentally deleted file (within a certain timeframe after deletion), reporting on deleted files (who deleted and when) available until deleted file is no longer recoverable, and ability to block deletion of certain files (e.g.

records);

3.2.4 (aa) Access controls at the document level and folder level;

3.2.4 (bb) Allow restrictions on downloading, copying and printing sensitive content and different levels of access to content per individual;

3.2.4 (cc) Allow collaboration between internal and external users without additional licensing costs;

3.2.4 (dd) Identification of community: access rights/controls;

3.2.4 (ee) System should support optical character recognition: for automated search and retrieval;

3.2.4 (ff) Support forms processing – so data can be extracted from input fields within a form;

3.2.4 (gg) Support hand print or handwriting recognition;

3.2.4 (hh) Provide mechanisms for identification of specific attributes to facilitate retrieval;

3.2.4 (ii) Provide mechanisms to allow agencies to create/manage users/user groups as well as fields, tables, permissions, searches;

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 19

3.2.4 (jj) Provide Mechanisms for multiple file uploads and keyword searches;

3.2.4 (kk) Provide standard naming conventions for documents;

3.2.4 (ll) System should permit de-duplicating search results;

3.2.4 (mm) Easily searchable using multiple criteria (such as date, author, subject, document type, metadata, OCR fields etc.), search capabilities across metadata, data, naming conventions etc.;

3.2.4 (nn) Provide document preview for search results;

3.2.4 (oo) Single view search;

3.2.4 (pp) Automatic synchronization of content;

3.2.4 (qq) Archiving and retention capability: accept multiple retention schedules per type of document and related policies; ability to update retention policies based on changes in legislation or needs;

3.2.4 (rr) Archive and store documents in accordance with State laws, regulations and policies;

3.2.4 (ss) Ability to provide defensible discovery with legal holds and content classification;

3.2.4 (tt) Ability to apply and remove legal holds on documents;

3.2.4 (uu) Ability to systematically archive documents based on defined retention policies;

3.2.4 (vv) Ability to systematically delete documents based on defined retention policies;

3.2.4 (ww) Audit report tracking to manage all aspects of an audit program;

3.2.4 (xx) Reporting as needed and required which can vary by Eligible Agency and type of documents;

3.2.4 (yy) Disaster recovery (this is part of the Baseline Security Controls assessment that is a requirement to be submitted with the Offeror’s bid): provision for mirroring/restoration so that if needed, files can be purged and recovered from an uncompromised location; regular testing to confirm that the disaster recovery process is sound;

3.2.4 (zz) eDiscovery related needs:

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 20

(zz) i. The system should permit users to edit documents with anything from redaction or notes to highlights or other such changes. These edited documents should be then stored in an appropriate Attorney General’s Office (AGO) restricted location to preserve their security as well as protect work product. This should be done without altering the original agency documents. These locations should be logically structured based on where in the legal process the document occurs, i.e.

pleadings, notions, orders, etc.

(zz) ii. The system should be compatible with predictive coding type software and allow for redaction and bates stamping. Ideally system should allow for searching, retention, marketing, for both public records request and litigation purposes. Same set of documents may need to be produced in both contexts.

3.2.5. Additional Requirements:

3.2.5 (a) The system shall schedule the backup copies and recycle or destroy the medium in accordance with the disposition schedule.

3.2.5 (b) The system shall provide a means for identifying and aggregating vital records by cycle dates.

3.2.5 (c) The system shall assign a unique computer-generated record identifier for each record managed regardless of where that record is stored.

3.2.5 (d) The system shall not permit modification of the metadata fields indicated by established standard as not editable.

3.2.5 (e) The system shall prevent subsequent changes to electronic records stored in its supported repositories. The content of the record, once declared, shall be preserved.

3.2.5 (f) The system shall provide the capability to automatically calculate the complete life cycle, including intermediate phases, of record folders and records not in folders.

3.2.5 (g) The system shall provide recalculation of the record life cycle based on changes to any life-cycle date and document status.

3.2.5 (h) The system shall provide the capability for defining multiple phases (e.g.

transfer to inactive on-site storage, transfer to off- site storage) within a disposition schedule.

3.2.5 (i) The system shall provide the capability for users to create and maintain templates that automatically populate commonly used data into record metadata fields.

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 21

3.2.5 (j) The system shall provide the capability for authorized individuals to select the metadata fields that are optional and mandatory for a given organization.

3.2.5 (k) The system shall provide for sorting, viewing, saving, and printing life-cycle information, eligibility dates, and events of user- selected record folders and records (Views).

3.2.5 (l) The system shall provide for sorting, viewing, saving, and printing list(s) of record folders and/or records (regardless of media) based upon metadata (Views).

4. Exhibits to the Scope of Work

Please refer to BPM004656 Exhibits to the Scope of Work.PDF attached separately within APP, which includes the following Exhibits:

Request for Document Imaging of Public Records - This form is to be filled out by the Customer and accompanied with each approved Job Plan. Approval is to be obtained from the Arizona State Library, Archives and Public Records by the Customer.

Request for Microfilming of Public Records - This form is to be filled out by the Customer and accompanied with each approved Job Plan. Approval is to be obtained from the Arizona State Library, Archives and Public Records by the Customer.

Certificate of Compliance - This form is to be filled out by the Contractor annually at the request of the Customer.

Minimum Standards For Digital Imaging Or Scanning Of Textual Documents

End of Scope of Work

Pricing Document

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 22

1. Compensation method

Contractor will be compensated based on the final detailed written quote approved by the Customer.

2. Pricing

2.1. Contractor’s Best Pricing. Supplier warrants that, for the term of the Contract, the prices and discounts set out in BPM004656 Solicitation Attachment 11 – Pricing Document, including any subsequent agreed amendment to it (the “Contract Pricing”), will be equal to or better than the lowest prices and largest discounts, both separately and in combination, at which Contractor sells equivalent services, items of equipment and materials.

2.1.1. That price-plus-discount equivalence (“Contractor’s Best Pricing”) is intended to be irrespective of whether or not those other sales have special purchase terms, conditions, rebates or allowances.

2.1.2. If Contractor’s Best Pricing for equivalent services, items of equipment and materials is better than the Contract Pricing, then Contractor agrees to adjust the Contract Pricing to match the Contractor’s Best Pricing for all sales related to the Contractor made after the date when the Contractor’s Best Pricing was first better than the Contract Pricing.

2.1.3. For clarification of intent, that date is intended to be the date when the difference first occurred, which might have been before the difference was first identified. If it was before, then Supplier agrees to charge at less than the Contract Pricing until the extended difference that would have been realized (i.e., if the Contractor’s Best Pricing had been applied when it should have been) has been settled.

2.2. Pricing is all-inclusive, including any ancillary fees and costs required to accomplish the Scope of Work and all aspects of Contractor’s offer as accepted by State. Details of service not explicitly stated in the Scope of Work or in Contractor’s Offer, but necessarily a part of, are deemed to be understood by Contractor and included herein. All administrative, reporting, or other requirements, all overhead costs and profit and any other costs toward the accomplishment of the requirements in the Contract are included in the pricing provided.

2.3. Price Increase. The State may review a fully documented request for a price increase. The requested increase shall be in writing and be based upon a cost increase to the contractor that was clearly unpredictable at the time of the offer and is directly correlated to the price of the product concerned. Contractor must provide conclusive evidence of a need for any price increases such as being substantiated by the Producer Price Index, Consumer Price Index, or similar pricing guide.

Solicitation No. BPM004546 Document Management Services

Arizona Department of Administration State Procurement Office

Solicitation Requirements (rev 06/22) Page 23

2.3.1. Initial Contract prices will be honored for one year after award of Contract.

2.3.2. All written requests for price adjustments made by the contractor shall be initiated thirty (30) days in advance of any desired price increase to allow the State sufficient time to make a fair and equitable determination to any such requests.

This may be waived upon proper documentation demonstrating the urgency of the request.

2.3.3. All price adjustments will be implemented by a formal contract amendment. State shall determine whether the requested price increase or an alternate option is in the best interest of State.

2.4. Price Reductions. Price reductions shall be immediately passed along to State and may be submitted in writing to State for consideration at any time during the Contract period.

The contractor shall offer State a price reduction on the Contract product(s) concurrent with a published price reduction made to other customers. The State at its own discretion may accept a price reduction. The price reduction request shall be in writing and include documentation showing the actual reduction of cost.