Inactive Local Area Set-Aside (FAR 26.2)

This firm-fixed price solicitation originating from the US District Court of California Northern (hereby referred to interchangeably as “the court” or “CA-ND”), requires a contractor to perform the fo... This firm-fixed price solicitation originating from the US District Court of California Northern (hereby referred to interchangeably as “the court” or “CA-ND”), requires a contractor to perform the following service activities for the digital conversion of paper records to be performed at the Contractor’s document scanning facility. The services that the Contractor is expected to provide include, but are not limited to: RECORDS MOVEMENT AND ACCOUNTABILITY: [Please note that the updated version of the SOW requires the contractor to inventory, box and move the records to their worksite.] The Contractor will box the records and create an inventory at the courthouse to be supervised by court personnel. Up to three trips will be permitted for the Contractor to inventory, box, and pick-up the records. The records will be placed in new Federal Records Center archive boxes to be provided by the court. The Contractor will provide a signed inventory of the records it boxed and removed from the court prior to boxes leaving the courthouse. The court will validate the inventory and provide a copy with signature and date of authorization for the Contractor’s temporary possession. PAPER DOCUMENT PREPARATION AND DESCRIPTION: Inspect and prepare the records (such as: removing staples, page separation, etc.) for digital conversion. The paper records include the following collections: Docket Book Binders: This collection consists of civil dockets (1957-1990), criminal dockets (1956-1980) and civil docket case index (1938-1972) measuring an estimated total volume of 3,468 inches (289 linear feet) of records, comprised of 135 binders for criminal and 961 for civil, for a total of 1,096 binders. The paper is maintained inside page-releasable loading binders and its paper weight is approximately 30 - 40 lbs. in thickness, causing the average page count per inch to be approximately 113 for civil and 140 for criminal pages per inch, a number lower than the average for normal 20 lbs. paper. All pages are assumed double sided. The page size is 9 inches by 11 for civil and 9 ½ inches by 11 inches for criminal. The estimated total page volume for this collection is estimated at 806,826, rounded to 807,000 scanned images. Naturalization: This collection consists of records to include but not limited to petitions for naturalization, petitions for name changes, and declarations of intentions with an estimated volume of 452 inches of which 294 is contained in folders and the remaining 158 are contained in binders. The date range for this collection is 1992-2005. The collection is maintained in file folders, where each folder stores approximately 148 pages per inch and binders where each binder stores approximately 175 pages per inch. This collection as 1% which are double sided. The paper size measures around 8.5 inches by 11 inches. The estimated total page volume for this collection is estimated at 71,874, rounded to 72,000 scanned images. Total Estimated Images: The judiciary estimates the size of this project to include an approximate total of 879,000 scanned images stored in PDF file format that includes optical character recognition (OCR) text. [Please note the total estimated images has been rounded up from the previous SOW]. DIGITAL CONVERSION REQUIREMENTS: The Contractor shall comply with the following requirements: Box, inventory, and remove the records from the court. [Please note that this updated SOW requires the contractor to box, inventory, and remove the records from the court to the contractor’s workplace]. The Contractor will provide a signed inventory and attach a chain of custody document to CA-ND attesting to the Contractor’s removal of the records and its temporary custody of the same. The Contractor will maintain full control of the court’s records while in custody of the same. The Contractor shall comply with the security requirements identified in Section 10 and 11 of this SOW. Perform all necessary steps to prepare the documents for digital conversion (e. g., releasing documents from binders or folders, removing staples and clips, separate pages, remove sticky notes). Scan the paper collection at no less than 300 dots per inch (DPI) resolution. Storing final output as PDF files with embedded optical character recognition (OCR) text. Scanning will be done in black and white, unless color or grayscale is required for content representation of charts, signatures, seal, or other object not adequately represented using the black/white scanning default. Remove blank pages from the created electronic PDF files. Preserve paper records in the respective binder or folders and in its original document order. The scanning process must maintain the paper order within each binder or folder. Hence, the PDF file content shall follow the order in the original paper. Re-stapling/re-clipping is not required. Apply quality control measures to verify that each scanned page is 100 percent readable (e. g., de-skewing, proper paper orientation, contrast adjustments, grayscale/color application). Apply 100 percent quality control measures at the document level to include a visual comparison of each paper page side-by-side with corresponding electronic page to verify that each PDF file is100 percent complete in relation to the corresponding paper original (e.g., paper to image comparison). Page size is described in Section 2 of the SOW. Track scanning production and, upon 70 percent completion of each CLIN, the Contractor must notify the judiciary’s contracting officer of a possible underestimation of the actual record volume, one that will exceed the maximum volume funded by the CLIN. ELECTRONIC FILE NAMING/INDEXING: The file naming convention for each binder or folder will use the existing label for each item. The naming conventions for the series of records are as follows: Docket Books. A PDF file shall be created for each scanned docket book/index. The file name will follow the title/label for each docket book/index to include the case type and case range within the book (e.g., Civil 40931 - 41200; Civil 73 2198 - 73 2260; Civil Index 1950-1955 M-Z). Naturalization. A PDF file shall be created for each scanned naturalization folder/binder. The file name will follow the title/label for each folder/binder (e.g., “Naturalization 1999-08-31” or “Petition for Name Change, List No. 8018 and 8019” or “Petition for Name Change, List 1992-03-12 – 1992-03-20”). QUALITY CONTROL (QC) & QUALITY ASSURANCE (QA): The Contractor shall establish a QC and QA methodology for all services performed under procurement. The Contractor shall verify its work to confirm it is performed correctly and free from errors. At its discretion, CA-ND may perform periodic reviews and samples of the quality of the Contractor’s scanning work, comparing the created PDF files with the corresponding paper record. If CA-ND review identifies error(s) in a production batch, the Contractor shall review, rescan, and recertify the entire stack from which the error(s) originated. For the purpose of this SOW, a stack is defined as the folders included in the box of records where the error is found. The Contractor shall not charge CA-ND for any corrective work performed under this contract CA-ND QUALITY REVIEW: At the onset of the project, CA-ND staff will perform a random sample review of the scanned PDF files as a second review of electronic content. [Please note that the following is an updated requirement]: CA-ND staff will request up to 25% of the boxes to be returned for a secondary review. If necessary, the Contractor shall replace damaged, torn, or weak boxes while in its possession. The Contractor will cover the expense of re-boxing including the purchase of new Federal Record Center archive boxes (14 ¾” x 12” x 9 ½” size, GSA stock number NSN 8115-00-1178249). This expense is not required if the original boxes provided by CA-ND remain in good condition for shipping purposes or if CA-ND indicates to the Contractor in writing CA-ND’s intention to authorize the certified destruction of the records. PERFORMANCE DEDUCTION: CA-ND’s review involves a comparison of electronic content in relation to the original paper. The Contractor shall facilitate expedited access of secondary review boxes as requested by CA-ND staff. A one percent performance deduction of the total contract amount will be applied to the final invoice for each box where the electronic PDF content is found to be inaccurate (CA-ND staff observation of missing or incomplete electronic documents or missing page content). POST-PRODUCTION: The Contractor agrees to store the records for up to 31 calendar days after it has submitted the final delivery of the electronic PDF records to CA-ND. Should CA-ND determine to accession some or all of these records to the National Archives and Records Administration (NARA), the Contractor shall provide an optional cost element for the tracked shipment of boxes to NARA at: Leo J. Ryan Memorial Federal Building, 1000 Commodore Drive, San Bruno, California 94066-2350. Content should remain in the boxes as it was received and inventoried from the court. The Contractor will follow courts instructions for the labeling of the boxes scheduled to be shipped to NARA. [Please note that the following has been updated from the original SOW]: Should CA-ND determine to destroy the records, the Contractor shall provide a per box cost element for the destruction of boxes. FINAL DELIVERABLE: The Contractor shall provide its final deliverable of scanned PDF files using a FIPS 140-2 certified portable encrypted USB drive. SECURITY: The Contractor agrees to and shall abide by the following stipulations: Personnel. The Contractor shall: (i) ensure that individuals occupying positions of responsibility (including third-party service providers) are trustworthy and meet established security criteria for those positions; (ii) ensure that information and information systems are protected during and after personnel actions such as terminations and transfers; and (iii) employ formal sanctions for personnel failing to comply with security policies and procedures. Access Accountability and Control. For the purposes of the entire Section 10, CA-ND records are hereby also referred to as Government data. The Contactor shall require all employees who will have access to Government data, the architecture that supports government data, or any physical or logical devices/code to pass the appropriate background investigation required by CA-ND in compliance with HSPD -12. At a minimum, all Contractor employees with access to CA-ND data, the architecture that supports Government data, or any physical or logical devices/code shall pass a CA-ND specified check and be cleared as defined in Chapter 5 of the AO Manual §540 Requirements for Contractor Personnel. The Contractor shall limit information access to authorized users, secured authorized devices, and procedures permitted to be exercised as part of the digital conversion outlined by this SOW. Subcontractor(s). For each subcontractor whose work requires access to CA-ND data, the Contractor must certify that it has incorporated this requirement in the subcontract. Any breach by a subcontractor of any of the provisions set forth in this requirement will be attributed to the Contractor. The Contractor agrees to assume responsibility for the performance and actions of its subcontractor(s). Asset Accountability. The Contractor shall secure and maintain any computer system, including mobile devices, which it uses in the performance of this contract. This includes ensuring that security and other software is kept up-to-date and patched; anti-virus software is installed and current; security events are detected and addressed via a formal incident response program; physical security of assets is maintained; CA-ND data is isolated from other customers or contractor data in such a manner that data leakage cannot occur between data sets and destruction of CA-ND data is not impeded; transmissions of sensitive information taking place over insecure networks (such as the internet) are secured; and business continuity is assured in the event of a system failure. Awareness and Training. The Contractor shall: (i) ensure that managers and users of information systems are made aware of the security risks associated with their activities and of the applicable laws, directives, policies, standards, instructions, regulations, or procedures related to the security of information systems; and (ii) ensure that personnel are adequately trained to carry out their assigned information security related duties and responsibilities. Contingency Planning. The Contractor shall establish, maintain, and effectively implement plans for emergency response, backup operations, recovery, and reconstitution of information systems to ensure the availability of critical information resources and continuity of operations in emergency situations. Media Protection. The Contractor shall: (i) protect information system media, both paper, film-based (if applicable) and digital; (ii) limit access to information-on-information system media to authorized users. Physical and Environmental Protection. The Contractor shall: (i) limit physical access to information systems, equipment, and the respective operating environments to authorized individuals; (ii) protect the physical plant and support infrastructure for information systems; (iii) provide supporting utilities for information systems. (iv) protect information systems against environmental hazards; and (v) provide appropriate environmental controls in facilities containing information systems. Data Security. The Contractor shall take all reasonable precautions and steps to prevent and remedy data breaches and provide CA-ND with all necessary information and cooperation in this area. If the Contractor’s actions result in a data breach, the CA-ND may charge the Contractor $5,000 for each data breach, not to exceed $50,000. The Contractor shall take all reasonable and necessary steps, and precautions to enable CA-ND to satisfy its data breach reporting duties under applicable law, regulation, and/or policy if a breach occurs including monitoring, incident reporting, and other physical and electronic access security controls and safeguards. Erase of Storage Media. The court data contained in any storage media (portable and internal) used by the Contractor to process CA-ND paper records must be irrecoverably erased, and a certificate of data destruction must be issued by the Contractor to CA-ND as a deliverable, after the project is completed. Security Breach Procedures. The Contractor shall ensure that rules of behavior (Attachment 2 – “Sample Rules of Behavior.pdf”), approved by the COR, are signed by all Contractor employees assigned to work on this CA-ND contract, and address at a minimum: authorized and official use; prohibition against unauthorized users; and protection of sensitive data and personally identifiable information. The Contractor shall ensure that Contractor-owned removable media such as removable hard drives, flash drives, CDs, and laptops, containing CA-ND data, are encrypted using a NIST FIPS 140-2 (or its successor) approved product. The Contractor shall report to the COR, within 24 hours of discovery, any suspected or confirmed security incidents relative to the systems and data used in fulfillment of this contract and to cooperate in the investigation and resolution thereof. If a data breach occurs or is discovered outside of regular business hours and the COR cannot be reached, the Contractor shall contact the program office point of contact, or other point(s) of contact identified in Section 10, for this project. As a last resort, the Judiciary Automated Systems Incident Response Capability (JASIRC) can be reached via phone on (202) 502-4370 or via an email message to either SOC@ao.uscourts.gov or JASIRC@ao.uscourts.gov. The Contractor shall provide Judiciary with the name and contact information of the Contractor employee who shall serve as Judiciary’s primary security contact and shall be available to assist Judiciary twenty-four (24) hours per day, seven (7) days per week as a contact in resolving obligations associated with a Security Breach; (ii) notify Judiciary of a Security Breach as soon as practicable, but no later than twenty-four (24) hours after the Contractor becomes aware of it; and (iii) notify Judiciary of any Security Breaches by reaching out to the points of contact listed in Section 9 of this document. Immediately following Contractor’s notification of a Security Breach to the Judiciary, the parties shall coordinate with each other to investigate the Security Breach. The Contractor agrees to fully cooperate with Judiciary in handling the matter, including, without limitation: (i) assisting with any investigation; (ii) providing Judiciary with physical access to the facilities and operations affected; (iii) facilitating interviews with Contractor’s employees and others involved in the matter; and (iv) making available all relevant records, logs, files, data reporting and other materials required to comply with applicable law, regulation, industry standards or as otherwise reasonably required by Judiciary. External Disclosure. The Contractor agrees that it shall not inform any third party of any security breach without first obtaining prior written CA-ND consent, other than to inform a complainant that the matter has been forwarded to CA-ND Further, the Contractor agrees that CA-ND shall have the sole right to determine: (i) whether notice of the security breach is to be provided to any individuals, regulators, law enforcement agencies, consumer reporting agencies or others as required by law or regulation, or otherwise in CA-ND’s discretion; and (ii) the contents of such notice, whether any type of remediation may be offered to affected persons, and the nature and extent of any such remediation. Review and Approval of the Contractor’s Facility. CA-ND may conduct a physical review of the Contractor’s personnel, information technology resources, space, systems, software, security, and processes of work authorized by CA-ND. The Contractor’s site must be in compliance with all requirements listed in this SOW. Contractor Rules of Behavior: The Contractor management, employees, and subcontractors must abide by the following Rules of Behavior (ROB) applicable to the processing of CA-ND information and records under this contract. (i) Access granted only to those parts of the project in terms of information, hardware, and software, assuming only those roles and privileges for which authorization has been granted. (ii) User accounts are provided solely for the use of the individuals for whom they are created. Passwords or any other authentication mechanism must never be shared or stored any place easily accessible. (iii) Users must always safeguard the information to which they have access at all times from unauthorized or inadvertent modification, disclosure, destruction, denial of service, and use. Properly mark and protect all data inputs and outputs according to their sensitivity and value. (iv) Ensure that electronic media and output are properly marked, controlled, stored, transported, and processed in accordance with this SOW, including steps to prevent public disclosure, or disclosure to users who do not have a “business need-to-know” to perform the functions related to this SOW. (v) Do not store sensitive data on an unencrypted removable and portable media including laptop hard drives, flash drives and other forms of removable and portable media. (vi) Protect CA-ND data from being viewed by unauthorized personnel by always locking the terminal or workstation when not in use. (vii) Any fraudulent activities, including inappropriately using someone else’s computer account pertaining to this project or selling any of the data or information for personal gain or concern are prohibited. (viii) Immediately report all security incidents, including compromised or suspected compromise of CA-ND data to the Contractor’s management personnel, COR, and Records@ao.uscourts.gov. Include your name, telephone, email address, the date and time of the incident, examples, and any other information that may be useful to the investigation and verification of the incident. (ix) All Contractor personnel assigned to this contract must follow the ROB outlined here. Failure to adhere to ROB may result in the Contractor’s disciplinary action or referral for civil or criminal prosecution as appropriate. (x) Contractor personnel assigned to this contract must agree to these stipulations with signature and date, prior to receiving access to CA-ND records. Points of Contact for Technical Guidance: The Contractor shall coordinate its activities with the Contracting Officer Representative (COR) listed below. Helene McVanner, CA-ND Contracting Officer Megan Filly, CA-ND Technical Advisor Kelly McCall, Records Management Technical Advisor Additional judiciary contacts may be identified, as necessary. 13. PERIOD OF PERFORMANCE: The period performance is 6 months from the date of award. COST PROPOSAL: The Contractor shall submit a firm-fixed-price proposal based on the requirements contained herein, and the following information, including the proposed time frame to complete this project. The proposal must include a response to the CLINs listed below. The Contractor’s proposal shall provide a list of assumptions and questions to resolve issues that The Contractor believes may impede the project from being completed, as required. This project assumes that work will be performed at the Contractor’s site using its equipment to convert the paper records described in Section 2. Example – US District Court of California Northern Completion time interval (Section 13) ________________ Cost Per Scan Page* ________________ CLIN 0001: Records boxing, inventory, and pick-up at court (Section 1) _______________ (Up to three trips may be permitted unless otherwise allowed in writing by the court) CLIN 0002: Conversion Cost Per Page (Sections 2a) ________________ Converted not to exceed 807,000 electronic pages* CLIN 0003: Conversion: Cost Per Page (Sections 2b) ________________ Converted not to exceed 72,000 electronic pages* CLIN 0004: FIPS 140-2 portable encrypted USB drive (Section 9) ________________ (Quantity = 2 drives, one for the AO) CLIN 0005: Optional: Shipment Cost Per Box (Section 8) ________________ (Shipping cost to NARA) CLIN 0006: Cost Per returned Box to the Court (Section 6) ________________ (returns for the court’s quality control process) CLIN 0007: Optional: Cost per box for certified destruction (Section 8) ________________ *The Contractor agrees to remove blank pages from the final deliverable of PDF documents. The Contractor further agrees to bill on a per page cost, only for the total number of pages converted, excluding blank pages. Pages with content on both sides will be billed as a cost per side (per image with content).