King County Department of Judicial Administration. DOCUMENT EXTRACTION AND CONVERSION PROJECT Part C Scope of Work

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Dominick Merritt
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1 King County Department of Judicial Administration DOCUMENT EXTRACTION AND CONVERSION PROJECT Part C Scope of Work

2 CONTENTS 1.0 PURPOSE OF RFP The Client Agency Project Background Extracting from Outdated Technology: FileNet 3.6 ESE The Project Part I Part II Auditing Requirements Security Requirements Scope of Products and Services Special Requirements for Contract Signing Major Deliverables Out-of-Scope Detail EVALUATION CRITERIA Pricing Technical Management... 11

3 DEFINITIONS ABBREVIATION/TERM Bulky Sub DEFINITION Portions of large documents (1,000 to 100,000 pages) broken into multiple segments to accommodate file size limitations within DJA s outdated FileNet document repository. These segments represent sequential parts of a single document. Core The main document repository and workflow application for Superior Court records, as well as associated databases and workflows used for managing the documents required for Superior Court proceedings. Core is owned and maintained by DJA. DJA MSAR PDF/A-1b POC TIFF TB WBS King County Department of Judicial Administration. (Also known as the Superior Court Clerk s Office.) Magnetic Storage and Retrieval. A sub-set of standards among a suite of PDF-related standards. It was developed to enable the long-term preservation of electronic documents and provides specifications for creation, viewing, and printing of PDF documents. The intent is to preserve documents of record as self-contained images that are not searchable. Proof of Concept. Tagged Image File Format. A static image file type used for preventing edits to electronic documents or images. Terabyte. As a descriptor of required data storage space, a Terabyte is approximately one trillion bytes, or 1,000 Gigabytes. Work Breakdown Structure. A written, hierarchical decomposition of the project into phases, deliverables and/or work packages. It is a tree structure showing a subdivision of effort required to achieve the project. RFP # KAO Document Extraction and Conversion Project 3

4 1.0 PURPOSE OF RFP 1.1 The Client Agency The client agency is King County s Department of Judicial Administration (DJA), also known as the Superior Court Clerk s Office. DJA serves as a customer service office of the Superior Court and manages all records associated with Superior Court cases. The Washington State Constitution identifies Superior Court as a court of record, meaning that all court records need to be retained indefinitely. DJA has Superior Court records dating back to the 1800 s and currently receives more than 7,000 documents each day that must be maintained indefinitely. DJA maintains and manages Superior Court records on a central application known as Core ECR or Core. 1.2 Project Background Images are considered an official court record once scanned and uploaded within the Core ECR system. Shortly after being scanned into Core ECR, hard copy versions of court records are destroyed. As such, it is critical that DJA protect the electronic versions. DJA is seeking proposals for document extraction and conversion for the purpose of establishing a redundant, portable copy of the entire Superior Court record (approximately 6 TB with databases). DJA seeks to establish this copy to protect the Superior Court record in the event of a catastrophic failure of the Core application. DJA intends to replace the Core ECR in the near term, and will eventually move the converted documents into the new Core repository. However, DJA seeks to complete the document extraction and conversion immediately, since failing to protect the existing Superior Court record before system replacement can occur puts the Superior Court record at unacceptable risk Extracting from Outdated Technology: FileNet 3.6 ESE The existing Core ECR system was originally developed in 1999 and is at end-of-life. It is based on an outdated technology set (FileNet 3.6 ESE) that severely limits Core s support, enhancement potential, and operating system platform compatibility. FileNet 3.6 ESE uses a proprietary document repository format to store documents. Given this outdated technology platform, it is conceivable for the Core ECR to fail catastrophically in the near term, making data extraction extremely difficult. DJA therefore seeks to immediately protect Superior Court documents. 1.3 The Project There are two parts to this document extraction and conversion project: Part I accomplishes the extraction and conversion of the overwhelming majority of Superior Court documents. Part II will occur during the months between contract execution and implementation of a new Core system within DJA. Part II accomplishes the same extraction and conversion operations as Part I, only for a much smaller collection of documents. Document Extraction and Conversion Project 4

5 1.3.1 Part I The purpose of this project is to extract PDF and TIFF documents from the FileNet Image Services Server 3.6 ESE; convert these documents to PDF/A-1b format; and provide to DJA an extracted and converted copy of each of the more than 22 million such documents. These 22 million documents contain approximately 148 million pages, totaling to approximately 6TB of data. Superior Court documents currently are contained within approximately two hundred FileNet MSAR storage libraries, which will be provided to the selected contractor by King County. Individual MSARs range up to 32 GB in size and sum in total to approximately 5TB. The MSARs are accompanied by two SQL Server databases, one of which is a standard FileNet 'indexdb' database measuring approximately 5 GB when in compressed SQL Server backup format. The second is a proprietary SQL Server database which contains additional attribute data related to MSAR contents and which measures approximately 30GB when in compressed SQL Server backup format. Once the data has been provided by DJA, the selected contractor shall: A. Extract the electronic documents from the FileNet MSARs; B. Merge separate segments of extremely large documents (Bulky Subs) into single files (see Section 1.4.C); C. Convert all extracted files, regardless of source format, into PDF/A- 1b Image format; D. Validate that the produced files are conformant with PDF/A-1b format; E. Associate the documents to the identifiers contained in databases; F. Maintain a comprehensive audit trail of all extraction and conversion activities; G. Ensure that the visual clarity and completeness of the converted documents is equal to or superior to the documents extracted from the FileNet MSARs. H. Store the converted and (with regard to Bulky Subs) connected documents, associated data, and audit data on a portable storage device for provision to DJA. The first batch of extracted and converted documents shall be submitted to DJA for Acceptance within one week after Acceptance of a Proof of Concept (POC) is achieved (see Section 1.4A below for discussion on POC). Subsequent batches of extracted and converted documents shall be submitted to DJA on a monthly basis until Part I of the project is complete and Accepted. Document Extraction and Conversion Project 5

6 Extraction and conversion, to the specifications outlined above, will occur offsite. The contractor will have no access to DJA systems at any point. There are three primary reasons for this: A. Fragility of Legacy FileNet System: Exposing the outdated Core production system to the processing load of a lengthy export process creates an intolerable risk of catastrophic system failure, directly impacting DJA and Superior Court business continuity. B. Maintaining Schedule: Significant contractor hardware and software resources are required to accomplish this project at the performance level required to meet a timely project schedule. C. Active and Regular Monitoring: Constant monitoring and auditing of the export and conversion process is required to ensure adherence to schedule and acceptable weekly reporting to the DJA Project Manager. By taking the migration and conversion process offsite, the contractor can directly monitor the extraction and conversion processes without having to secure King County resources Part II Part II requires the same extraction and conversion operations as Part I, only for a much smaller body of documents. In order to fully protect Superior Court records during the remaining time period that DJA must use the outdated FileNet technology, the project also requires extraction and conversion of the documents that are filed with the Clerk s Office after the point of transferring the Part I document and data set, and prior to going live with a new Core system. After the contractor has successfully completed a Proof of Concept (POC) (see Section 1.6.A below), DJA will subsequently provide monthly updates covering all of the new documents that have been filed with the Clerk s Office since the last transfer. Part II document transfers will not exceed 200,000 documents in a given month. This process will continue until the point at which DJA goes live with a new Core system, estimated to occur within the next months. Batches of extracted and converted documents shall be submitted to DJA on a monthly basis until Part II of the project is complete and Accepted Auditing Requirements Protecting the integrity of King County s electronic court record is essential. Therefore, King County requires adherence to strict auditing protocols during the life of this project in order to ensure complete and accurate extraction, conversion of court documents, as well as proper association to database values. The required auditing methodology is summarized below: A. General Process Auditing: Once a batch of documents is extracted from FileNet MSARs, the contractor must compare the number of files extracted against what was expected for the total count in the Document Extraction and Conversion Project 6

7 batch. A subsequent comparison of the values must then be made to verify that the data values match by comparing database values such as CaseNumber, SubNumber, SubID, DOCID, and DocumentPageCount. Any variance in total document count or index value must be researched and accounted for, reported and corrected. Weekly reports submitted to DJA by the contractor shall detail the previous week s extraction and conversion activity by volume and file type, as well as whether or not any errors occurred. Weekly reports shall also document the reasons for identified errors and whether or not they have been corrected. To the extent that the source of the previous week s error(s) is unknown, weekly reports shall provide strategies and time estimates for having errors diagnosed and corrected. The status of uncorrected errors will be documented in weekly reports until resolved. Within weekly reports submitted to DJA by the contractor, the total time for the extraction must also be reported, indicating the average time per document and the average time per page. When tracking and reporting the total time for extraction prior to the conversion process, the time will be tracked using three metrics: 1) the amount of time required for the export of documents that export without any failure or issues; 2) the amount of time expended to remediate export failures and successfully export documents that fail the initial attempt at extraction; and 3) the total duration of time from the beginning of the export process until the point in time when all available documents have been successfully exported. Capturing all three metrics of information will enable King County to assess contractor performance against the project schedule. B. Additional Auditing Notes for Proof of Concept (POC) (see Section 1.4 below): As part of the Proof of Concept (POC), a record of the file size and file type of all the documents extracted will be provided by the contractor in order for the County to assess whether the data set used in the POC is a representative sample compared to the full existing body of Superior Court documents. The auditing requirements summarized in Item A above also will be required. C. Bulky Sub Auditing: After the merging of the Bulky Sub documents, an auditing adjustment must be made reflecting the merging of the documents. At that time, a comparison must also be made to compare page counts and segment order between the processes. D. Verifying a Complete Copy of the Electronic Court Record: For any documents that ultimately fail to extract, convert, or connect (Bulky Subs), discovery must be performed to identify and remediate any failures or issues encountered. Any such failures or issues must also be fully documented in the audit report (as explained in Item A Document Extraction and Conversion Project 7

8 above) and must ultimately be identified as either having been corrected or having been verified as necessarily resulting from data that is corrupt or otherwise unavailable in the source FileNet storage libraries Security Requirements The following security protocols will be in place throughout the life of the project: A. During Transit: During transit between DJA and contractor offices, documents and data will be stored on a portable storage device supplied by the contractor. The portable storage device(s) will be delivered directly to and from the two facilities and will remain in the direct possession of a contractor employee at all times until handed off to the designated supervising resource at either location. B. Designated Delivery Point at King County: The designated delivery point for all project deliverables is the Director s Office at King County s Department of Judicial Administration, King County Courthouse, Room 609 located at 516-3rd Ave. in Seattle. C. Contractor Facilities: While stored at contractor facilities, only the assigned project staff will have access to Superior Court documents. D. Confidentiality Agreement: A confidentiality Agreement will also be signed by the contractor prior to contract execution. (See boilerplate included with this RFP.) E. Contractors working outside of the Puget Sound Area: For prospective contractors located outside of the Puget Sound region, it is understood that certain aspects of the aforementioned security protocol may not be practical. For this scenario, contractors must propose a security protocol within Attachment B, Contractor Questions that is at least as secure as the protocol outlined above. 1.4 Scope of Products and Services The scope of contractor services for the Document Extraction and Conversion Project is outlined below: A. Proof of Concept for Conversion of PDF and TIFF Files to PDF/A-1b Format, and Connection of Bulky Subs: DJA will require a Proof of Concept within 30 calendar days of Contract Execution and transfer of sample documents and data from DJA to the contractor. The Proof of Concept must demonstrate successful conversion of PDF and TIFF documents to PDF/A-1b Format, as well as the contractor s ability to connect Bulky Subs into properly-ordered, single documents stored in PDF/A-1b Format. B. Complete Conversion of PDF and TIFF Files to PDF/A-1b Format: Once the Proof of Concept has been formally Accepted, the contractor will be authorized to commence Parts I and II of the project. Document Extraction and Conversion Project 8

9 C. Connect Bulky Subs into Continuous Documents: Connect separate segments of extremely large documents (Bulky Subs) into single, properlyordered PDF/A-1b files. Bulky Subs constitute a very small percentage of the overall material to be extracted and converted. D. Portable Storage: The converted, associated (to descriptive data), and audited documents will then be delivered to DJA on a portable storage device. The portable storage device format is to be proposed within bidder responses to this RFP and must be approved by King County. E. Documented Audit Mechanisms (see Section above): The aforementioned audit mechanisms for the extraction, conversion and transfer to storage processes will be clearly documented in an Audit Report submitted with both the Proof of Concept and again each week during the life of the project. F. Performance Metrics: Regular reporting of document conversion and transfer operation speed is required to assure adherence to the project schedule. This subject matter will also be covered in the weekly reports referenced in item E above. G. Perform Part II: Extract and convert the documents filed with DJA after the Part I file transfer to the contractor and up to the point that a new Core goes live. These documents will be provided to the contractor on a monthly basis over a time period estimated at months. H. Time Frame: o o Contractors must propose a schedule for Part I of this project (see Section 1.5.A below); and Part II of this project is expected to last months. I. Document Quality After Conversion: Upon completion of the document extraction and conversion process, the visual clarity and completeness of the converted documents must be equal to or superior to the documents extracted from the FileNet MSARs. King County will be the final authority on whether document quality is acceptable. 1.5 Special Requirements for Contract Signing A. Project Plan: Contractor will create and incorporate within its proposal a detailed Project Plan that includes: 1) a project schedule; 2) a Work Breakdown Structure (WBS); 3) a project task checklist; 4) a Quality Assurance and Quality Control Plan; 5) a Staffing Plan identifying each particular staff member and their associated responsibilities, as well as a listing of resource-loaded staff hours required to complete all work according to schedule; 6) a suggested format for weekly status reports to the DJA Project Manager; and 7) an Extraction and Conversion Audit Plan compliant with the King County standards outlined in Section above. Document Extraction and Conversion Project 9

10 It is fully expected that the contractor is resourced to meet deadlines listed in the project schedule, as well as the quality assurance and quality control standards referenced in the Project Plan and ultimately the contract. DJA must formally Accept the Project Plan prior to contract signing. The Project Plan will be incorporated into the Contract. B. Confidentiality Agreement: The contractor shall sign a Confidentiality Agreement as documented in Section D above. 1.6 Major Deliverables The major deliverables associated with the Core ECR Document Extraction and Conversion Project include: A. Proof of Concept for Conversion of PDF and TIFF Files to PDF/A-1b Format, and Connection of Bulky Subs: Prior to commencing work on the full scope of the Document Extraction and Conversion Project, the successful contractor is required to complete a Proof of Concept (POC) in order to demonstrate the technical and professional capability required for DJA s Acceptance. DJA will require a Proof of Concept within 30 calendar days of Contract Execution and transfer of sample documents and data from DJA to the contractor. B. Part I and Part II Extraction and Conversion of Superior Court Documents: All records extracted from Core ECR will be converted to PDF/A-1b in their entirety with the same quality and content as the original record. The converted documents will then be placed into a portable storage device (to be proposed by the contractor and approved by the County) for storage at DJA. Both parts include connecting Bulky Subs. C. Weekly Audit and Performance Reports: Reports summarizing the audit and performance results for the document conversion and transfer to storage processes will be submitted weekly in a mutually agreed-upon form to the DJA Project Manager. 1.7 Out-of-Scope Detail Access to any DJA system in any capacity is beyond the scope of this project. Any proposal to replace Core ECR is also beyond the scope of this project. Document Extraction and Conversion Project 10

11 2.0 Evaluation Criteria 2.1 Pricing The total cost for all professional services, including storage, associated with this contract. 2.2 Technical A. Technical Tools: DJA will assess the professional tools used by the contractor to complete this project. The expected performance of any tool(s) will also be assessed. DJA will assess the portable storage device(s) proposed by the contractor for long-term storage of the extracted and converted documents. B. Quality Assurance and Quality Control: DJA will assess the Quality Assurance and Quality Control methods applied to ensure complete and accurate document conversion and reattachment of Bulky Subs. C. Security Protocols: See Section D. Experience with Challenging Extractions. 2.3 Management A. Contractor Qualifications and Capacity to Perform Work: DJA will evaluate the contractor s Project Plan as described above in Section 1.5.A. Staff resources, technical skills and successful project history also will be evaluated, including the contractor s reputation, efficiency, and responsiveness. B. Customer References: DJA will carefully evaluate customer references. Contractors must provide complete and up to date contact information. C. Overview and Project Methodology: DJA will evaluate whether the contractor demonstrates a clear understanding of the project scope. Prospective contractors should present a clear proposal and explain how it meets the requirements and objectives of the project. Proposals must include a clear Project Plan including industry standard and proven project management methodologies. Specific requirements for the Project Plan are covered in Section 1.5.A above. D. Contractor Stability and Support: DJA will assess whether prospective contractors demonstrate a strong commitment to the market sector and to its customers. Responsiveness of the contractor to the problems identified by customers is extremely important, as are turnaround times on solutions to problems and the technical expertise and demonstrated professionalism of contractor s project personnel. King County reserves the right to interview and reject any contractor personnel prior to Contract award. Document Extraction and Conversion Project 11

Sample Company. Risk Assessment and Mitigation Plan

Sample Company. Risk Assessment and Mitigation Plan Sample Company Revision History DATE VERSION DESCRIPTION AUTHOR 08-07-04 0.01 Initial Version F. Jack Anderson 09-07-04 0.02 Revised with changes from team reviews Michael Bennett 09-08-04 2.00 Initial