Appendix A Statement of Work: Digitization, Archiving and Digital Documents Management System

Appendix A Statement of Work: Digitization, Archiving and Digital Documents Management System 1

Table of Contents Table of Contents... 2 TERMS AND ABBREVIATIONS... 3 Statement of Work Overview... 4 Summary of Phases... 4 I. Administrative Requirements... 5 A. System Training... 5 B. SFMTA Support... 6 C. Web Content... 6 II. Service Specifications... 6 A. Record Retention and Destruction Policy... 6 B. General Requirements... 6 C. Disaster Recovery... 7 D. Digitization of Format 1... 8 E. Digitization of Format 2... 10 III. Digital Documents Management System (DDMS)... 11 A. Software License... 11 B. General Specifications... 11 C. DDMS Documentation... 12 D. DDMS Naming Convention... 12 E. DDMS Search Module... 12 F. DDMS Archiving Module... 12 IV. Integration... 12 A. General Specifications... 12 2

TERMS AND ABBREVIATIONS Statement of Work: Digitization, Archiving and Management Services Page 3 The following definitions apply to the Specifications: Term or Acronym ADA City Contractor Day Document or Record Record Retention and Destruction Policy DDMS Effective Date FIT Proposer Record Format Definition Americans with Disabilities Act. The City and County of San Francisco. Proposer who is awarded the contract. A calendar day that runs from 12 midnight to 11:59 PM. Written material, including plans, diagrams and photographs that the Agency creates in the course of doing work. Written parameters for preserving all documents and records created by the SFMTA. Digital Documents Management System. The date of certification of the contract, as evidenced by a notice to proceed issued from SFMTA to the selected Contractor. Finance and Information Technology division of the SFMTA. Firm competing for contract award. Type and description of document to be scanned and stored electronically. SFTMA or Agency The San Francisco Municipal Transportation Agency. Sunshine Ordinance User The ordinance established to institute policy and provisions for public access to city records and open meetings. A city employee who is authorized to access the DDMS. 3

STATEMENT OF WORK OVERVIEW Statement of Work: Digitization, Archiving and Management Services Page 4 The City and County of San Francisco s Municipal Transportation Agency ( SFMTA ) seeks proposals from qualified firms demonstrating successful experience in implementing electronic document management systems and imaging services to facilitate SFMTA s goal of reducing paper consumption and to convert paper-based document formats into digital images that are easily storable, searchable and retrievable for viewing and printing, either in part or in the document s entirety as specified by the User. Record Format 1: Paper-based building plans of various sizes, including but not limited to 16 x24, 24 x36, 36 x42, and 36 x48. Record Format 2: Standard letter-sized (8.5 x11 ), legal sized (8.5 x14 ) and tabloidsized (11 x17 ) documents containing text and images. The SFMTA anticipates a phased approach to this project. Each phase represents anticipated tasks and milestones. SFMTA reserves the right to modify each phase, individual tasks, phase order and priorities within each phase/task before or during contract negotiations. Order of execution for each phase may not be consecutive and/or may occur simultaneously. Lengths of phase extensions are subject to SFMTA approval. SUMMARY OF PHASES Phase 1 The Contractor shall assist the SFMTA with establishing DDMS parameters such as document naming conventions and search criteria. The Contractor shall configure the software product to operate with existing SFMTA computer systems. During Phase 1, the SFMTA will designate a single unit group within FIT (e.g. accounting) to start implementing the digitization project. During this phase, SFMTA will provide the Contractor with document samples for both format 1 and 2. Phase 1 shall be completed within two months of its start date. Phase 2 The Contractor shall begin digitizing documents for the chosen SFMTA unit. During Phase 2, Contractor shall test and verify DDMS software functionality and confirm functionality with the SFMTA project manager. The Contractor shall apply lessons learned to the overall approach to system development prior to involving other FIT departments. Phase 2 shall be completed within six months of the phase s start date. Phase 3 The Contractor shall begin digitizing documents for entire FIT division. Phase 3 shall be completed within six months of the phase s start date. Phase 4 The Contractor shall move scanned documents to SFMTA s designated long-term storage facility. The Contractor shall begin disposal of paper versions of scanned documents in accordance with SFMTA s Record Retention and Destruction Policy. Phase 4 shall be completed within six months of the phase s start date. Phase 5 The Contractor shall develop a plan to transition the entire SFMTA to digitized documents and digitally archive Record Format 1 and 2 documents. Based on experience gained during the prior phases, the Contractor shall include in the Phase 5 plan a recommended timeline for completion. 4

The Statement of Work is organized into four sections: 1) SECTION I: ADMINISTRATIVE REQUIREMENTS 2) SECTION II: SERVICE SPECIFICATIONS Statement of Work: Digitization, Archiving and Management Services Page 5 3) SECTION III: DIGITAL DOCUMENTS MANAGEMENT SYSTEM 4) SECTION IV: INTEGRATION Where a requirement includes an accompanying example, table, or diagram, it is numbered to match the requirement number (e.g. Example I.A.3.b refers to requirement I.A.3.b; Table III.B.10.a refers to requirement III.B.10.a). I. ADMINISTRATIVE REQUIREMENTS A. System Training 1. The Contractor shall provide all system training for SFMTA employees at a location in San Francisco to be determined by SFMTA. The Contractor shall be responsible for all costs of travel and materials associated with providing training. 2. The SFMTA anticipates training will be needed as follows for each project phase: a. Prior to start of Phase 2, train up to 3 employees to access digitized documents for test unit (Financial Services) in FIT. b. Prior to start of Phase 3, train up to 3 employees per unit for the eight remaining FIT units (Accounting and Operating Budget, Administrative Hearings, Capital Finance and Budgeting, Contracts and Procurement, FIT Administration, Real Estate, Revenue Collection and Sales, and Technology and Performance). Training for up to 3 employees per unit per division for 13 SFMTA divisions (Board of Directors, Capital Programs and Construction, Central Subway Program, Chief of Staff, Communications and Marketing, Director of Transportation, Executive Director, Government Affairs, Human Resources, Sustainable Streets, System Safety, Taxi and Accessible Services, and Transit). SFMTA Organizational Chart: https://www.sfmta.com/sites/default/files/pdfs/2015/agencyorgdiagram 1.2015-1.pdf 3. The Contractor shall provide digital copies of all training/operating manuals. 4. The Contractor shall grant the SFMTA rights to reproduce all training, operation and repair manuals as needed for its employees use. 5. The SFMTA may request additional training beyond what is currently projected. The Proposer should include in its cost proposal a per-hour fee for additional training services, and explain in their proposal response how many persons can be trained at one time for the cost 5

specified. Statement of Work: Digitization, Archiving and Management Services Page 6 6. The Proposer shall submit a training plan that includes but is not limited to the following: 1) Recommendation of training schedule, including how far in advance of each phase employees should be trained 2) the amount of hours needed for training, 3) Suggested hours and frequency needed refresher training, training of new employees and system/software upgrades. B. SFMTA Support The Contractor shall provide the following: 1. A toll-free number that shall be available, at a minimum, between 8 AM and 5 PM PST/PDT, Monday through Friday except for official SFMTA holidays. 2. The Contractor s customer support staff shall respond to designated SFMTA administrative staff within 24 hours from the time of the request. 3. The proposal shall include locally available support personnel/team. 4. The Contractor shall assist SFMTA staff in compiling scanned documents upon SFMTA s request. 5. SFMTA will provide the Contractor with the names and contact information for designated administrative staff. C. Web Content 1. The Contractor shall provide web content for use by the SFMTA to explain how the digitizing process works, and basic instructions on how to use the DDMS software product as well as provide a link to the operations/training manual. 2. The Contractor shall list the hourly cost for creating such web content in Appendix C. II. SERVICE SPECIFICATIONS A. Record Retention and Destruction Policy 1. The Contractor shall adhere to SFMTA s Record Retention and Destruction Policy when asked to digitize, store and archive either format 1 or 2 records. The Policy shall apply to both storage and shredding of documents. SFMTA s Record Retention and Destruction Policy is accessible here: http://archives.sfmta.com/cms/rhome/records.htm. 2. The Contractor shall assist SFMTA thru proper training in fulfilling Sunshine Ordinance requests at no additional cost. B. General Requirements 1. The Proposer s solution shall guarantee the preservation and confidentiality of SFMTA s stored documents at all times. The Proposer shall submit its security protocol plan for SFMTA s review. 2. The Proposer s DDMS software solution shall be easy to use and navigate. 6

3. Scanned documents shall be easily indexed and added to the database from an employee s computer by using the web client/software of the proposed DDMS software. 4. SFMTA staff shall be able to add any new documents to the system without limitation. 5. The proposed system shall be able to track various versions of the same document as it is being developed, and to be able to send out hyperlinks of any version to external parties. 6. SFMTA staff shall have the ability to request that a specific document be scanned at a resolution higher that 200 dpi or in color. C. Disaster Recovery 1. Data Backup, Off-site Storage and Recovery Contractor shall ensure that the following tasks are completed: a) Backup copies of all media are made weekly and daily, as designated by the SFMTA. b) Backup copies of all media are delivered and stored at a designated off-site facility within 24 hours of completion of save process. c) Daily incremental backups are taken of every non-database dataset which has been revised since the last backup (including but not limited to: operating software, source code, procedures, copy, and transaction libraries). 2. Maintenance, Repair and Restore Processes To minimize disruption of service, Contractor shall: a) Ensure that software/hardware vendor maintenance support contracts provide on-going preventive maintenance and response to software/hardware problems within one hour for any component failure between 8 AM and 5 PM PST/PDT Monday through Friday, except for official SFMTA holidays. b) For any software/hardware component for which vendor Contracts are not available, Contractor shall have third party maintenance personnel access to guarantee uninterrupted service to SFMTA. c) Contractor shall monitor software that 1) performs regular diagnostics, 2) reports any irregularities, 3) notifies field support personnel and 4) schedules preemptive maintenance in advance of the onset of a hardware failure. d) The Contractor shall accommodate emergency requests for document retrieval. Requested documents shall be scanned and e-mailed, FTP, faxed or otherwise delivered to SFMTA within two business days of request. The Contractor shall assist with document retrieval in response to time sensitive Sunshine Ordinance requests when SFMTA 7

is otherwise not able to access the DDMS due to Contractor system failures including but not limited to software issues, server failures, etc. 3. Alternate Processing Arrangements Contractor shall have a detailed disaster recovery backup plan that addresses four areas of concern: Backup and off-site storage of all media; maintenance, repair and restore processes to minimize disruption of service; alternate processing arrangements in the event of a catastrophe and periodic testing of emergency procedures. Contractor shall document disaster procedures in a Disaster Plan that shall be available for review by the SFMTA within sixty (60) days of the Effective Date of the Agreement. The plan shall include the following components: a) An action plan b) Notification procedures to execute the plan c) Assigned and trained disaster recovery team d) All necessary resources (backup site, vault, transportation, etc.) e) Logistics needed to implement plan f) Directions to the backup facility g) Reporting and communication structure h) Identification and retrieval of backup files and supplies i) List of all team members and their assignments 4. Periodic Testing of Emergency Procedures Contractor shall conduct an annual review of the Disaster Recovery Plan that ensures that the plan remains current and responsive to changes in technology, environment, personnel, and business considerations. Contractor shall notify the SFMTA's Contract Administrator in writing of the results of the annual review, and note any modifications to the plan. 5. Exit Clause Following termination or expiration of the contract, Contractor shall provide to SFMTA all remaining data in a readable electronic form determined by agreement of both parties. D. Digitization of Format 1 The Contractor shall convert all of the SFMTA s paper-based plans and drawings into digital images and create an index of all imaged documents that is storable and retrievable through DDMS software product. Plans/drawings may vary in size, including 16 x24, 24 x36, 36 x42, 36 x48. The SFMTA cannot accurately estimate the number of format 1 documents in its possession. The Proposer shall include price per scanned page in Appendix C. 8

The following work tasks are assumed necessary by the SFTMA to complete a successful document conversion. Proposers may suggest a modified process as part of their proposal. Work tasks: 1. At the SFMTA s request, the Contractor shall collect all media and documents for scanning and imaging and deliver all finished products in compliance with the Record Retention and Destruction Policy. Under no circumstance will the Contractor proceed with shredding of documents without the explicit instruction from designated SFMTA staff. (Drawings are to be recycled after approval by authorized SFMTA staff).the Contractor shall complete all document preparation prior to beginning the digitizing process. 2. The Contractor shall in their proposal detail the plan for the removal, transport, scanning, and return of SFMTA documents once the scanning process has commenced. 3. The Contractor shall scan all paper documents to digital imaging at 200 dpi with the exception of blue- line drawings, which the Contractor shall scan using grayscale to produce a better quality image. 4. The Contractor shall add a verbal or graphic bar scale to each page of each image scanned. 5. The Contractor shall add a cover page disclaimer for documents scanned below 200 dpi, documents with damages, and documents where legibility is not sufficient per the SFMTA specifications. Examples of these types of documents include but are not limited to the following: documents with stains, tears, faint print, illegibility from a transparent double-sided document, etc. 6. The Contractor shall provide document indexing and naming convention as approved by the SFMTA. 7. The Contractor shall provide adequate quality controls to ensure adherence to SFMTA document retention policies and the terms and condition of the agreement. 8. The Contractor shall accommodate emergency requests for document retrieval. Requested documents shall be scanned and e-mailed, FTP, faxed or otherwise delivered to SFMTA within two business days of request. 9. The Contractor shall conduct a post-scan review process of electronically stored documents to ensure that all specifications are being met. 10. The Proposer shall in their proposal detail the plan for the removal, transport, scanning, and return of SFMTA documents once the scanning process has commenced. 9

E. Digitization of Format 2 Statement of Work: Digitization, Archiving and Management Services Page 10 The Contractor shall convert all 8.5 x 11 (Letter), 8.5 x14 (Legal) and 11 x17 (Tabloid) documents and reports consisting of text and images into digital images and create and index all image documents that are storable and retrievable through the DDMS software product. The SFMTA estimates that it may have up to 4,000 boxes (10 x 12 x 15 ) for digitization. The Proposer shall provide costs per page for any pages that exceed the SFMTA estimate in Appendix C. The following work tasks are assumed necessary by SFMTA to complete a successful document conversion. Proposers may suggest a modified process as part of their proposal. Work tasks: 1. At the SFMTA s request, the Contractor shall collect all media and documents for scanning and imaging and deliver all finished products in compliance with the Record Retention and Destruction Policy. Under no circumstance will the Contractor proceed with shredding of documents without the explicit instruction from designated SFMTA staff. (Drawings are to be recycled after approval by authorized SFMTA staff). 2. The Contractor shall complete all document preparation prior to beginning the digitizing process. 3. The Proposer shall in their proposal detail the plan for the removal, transport, scanning, and return of SFMTA documents once the scanning process has commenced. 4. The Contractor shall scan all paper documents to digital imaging at sufficient resolution, minimum 200 dpi. 5. The Contractor shall scan all boxes provided by the SFMTA into digital images. 6. The Contractor shall assist the SFMTA with developing required system parameters, including document indexing and naming convention. 7. The Contractor shall add a cover page disclaimer for documents scanned below 200 dpi, documents with damages, and documents where legibility is not sufficient per the SFMTA specifications. Examples of these types of documents include but are not limited to the following: documents with stains, tears, faint print, illegibility from a transparent double-sided document, etc. 8. The Contractor shall have adequate quality controls to ensure adherence to SFMTA document retention policies and the terms and condition of the agreement. 9. The Contractor shall accommodate emergency requests for document retrieval. The requested documents shall be scanned and e-mailed, FTP, 10

faxed or otherwise delivered to SFMTA within two business days of request. 10. The Contractor shall conduct a post-scan review process of electronically stored documents to ensure that all specifications are being met. III. DIGITAL DOCUMENTS MANAGEMENT SYSTEM (DDMS) A. Software License 1. The SFMTA would like to license the proposed software from the Contractor for an initial period of five (5) years. 2. The MTA expects that there will be no limit on the number of machines, number of users, number of locations or size of CPU on which the SFMTA can operate the licensed software. 3. The Contractor shall deliver to the SFMTA a copy of the licensed software in CD-ROM or other media format, from which SFMTA may make copies for its use. The Contractor shall provide to the SFMTA a copy of the licensed software in CD-ROM or other media format when updates or other modifications are made to the existing version. 4. The licensed software shall be compatible with but not limited to the following platforms: Microsoft Windows, and OS X (Mac OS). 5. The SFMTA shall have the right, at no additional cost, to operate simultaneously on, move, or upgrade the licensed software to other hardware platforms on which the licensed software may operate. 6. The SFMTA shall receive software updates at no additional cost during the software license period. 7. The Proposer shall submit the software license agreement with their proposal for SFMTA review. The License should include terms intended to address the requirements set forth above in subsections 2-6. 8. The Proposer shall include the price for software licensing in Appendix B. B. General Specifications 1. DDMS system log in shall take no more than 5 seconds. 2. The DDMS software shall be easily accessible via internet and SFMTA network by using standard internet browsers (i.e. Internet Explorer, Mozilla 11

IV. Firefox, Google Chrome, Safari). 3. The DDMS shall contain, at a minimum, the following general modules: i. System Administration ii. iii. Reports Management of User Permissions and Alarms 4. The DDMS software shall be server-based and accessed via the internet or desktop. 5. The Contractor shall be responsible for providing any and all updates to its DDMS software to ensure full compatibility with the latest versions of internet browsers. 6. The DDMS software shall offer a uniform User interface, in which the same colors, fonts, nomenclature, icons and logos are used for all DDMS software modules. C. DDMS Documentation 1. The Contract shall fully document all standard DDMS software functionality and instructions in their operating manual. 2. Proposed DDMS software shall include a comprehensive online help menu to assist SFMTA users in utilizing the software. D. DDMS Naming Convention SFMTA will provide the Contractor with proper naming convention for each Format. Each digitized document must adhere to the designated naming structure. E. DDMS Search Module The proposed DDMS software search module shall return the results by full or partial name string, document title, or document content. The search should return the results within 5 seconds. F. DDMS Archiving Module The proposed DDMS software shall have an archiving module that corresponds to the SFMTA s Record Retention and Destruction Policy. INTEGRATION At the end of the contract, the Contractor will supply to the SFMTA any and all media including any back up media in its possession containing information belonging to the SFMTA. A. General Specifications The proposed solution shall include, but is not limited to the following integration parameters: - Desktop solutions shall easily integrate with User current paper workflow 12

(i.e. User will be able to upload new documents to DDMS software application from individual workstation or remotely offsite) - A seamless interface with SFMTA s SharePoint and other file storage systems. - Implementation of the DDMS software product with no capital investment from the SFMTA - Services available onsite at the SFMTA or remote locations offsite - Ability for the User to perform document file type conversion and manage the conversion process - Assist in reduction and/or elimination of SFMTA s on-site physical records storage and makes records easier to search, access, print and distribute. 13