I.        Miscellaneous Terms

1. CLIENT will provide ACCESS all reasonably requested information in order for ACCESS to perform the services in connection with the Project.
2. Pricing. All services are subject to ACCESS’ pricing contained in CLIENT’s Price Schedule. The Price Schedule is based on the estimated volumes set forth in the Specifications Schedule. If pricing for a service in this SOW is not otherwise contained in the CLIENT’s Price Schedule, then the pricing for such service is subject to ACCESS’ then current rates unless otherwise agreed upon.
3. Business Hours. The services described in this SOW shall be provided during normal business hours at the local servicing Branch. If CLIENT requests services outside the usual business hours, a premium of 1.5x is applied to the rates.
4. Invoicing and Payment Terms. Unless specific instructions are provided herein, and strictly relating to payment under this SOW, invoicing and payment terms are as specified in the Agreement between ACCESS and CLIENT.
5. Custody Exchange
   1. CLIENT will provide an electronic (Excel/txt) listing of all Records and will include the following fields/columns at minimum:
      1. Client Box ID/Barcode
      2. Item ID/Barcode
      3. Item metadata fields
   2. ACCESS will scan box barcode to Work Order for each box picked up which will show custody of box to Access
   3. Upon arrival at ACCESS facility, ACCESS will scan the barcode of each item and reconcile against CLIENT provided electronic listing. A reconciliation report will be provided to the CLIENT to confirm all items received as well as any exceptions.
   4. For any items that are not on the client listing, ACCESS will capture the following minimum information in order to complete the custody exchange process:
      • Client Item Barcode – scanned from barcode label
      • Client Item Description – from item label
      • CLIENT will review exceptions and confirm action with ACCESS.

6. Records Preparation – ACCESS will:
   1. Generate smart barcode sheets (“Smart Sheet”) from the reconciled custody exchange listing.
   2. Match a Smart Sheet to each item by comparing the Smart Sheet item ID with the item ID on the physical item.
   3. Prepare the physical item for scanning by:
      • Inserting additional Smart Sheets (separator/marker sheets) will be inserted for each section, large format, etc.
      • Removing staples, bindings, paper clips
      • Remove/discard post-it “flags” that have no content on them
      • Affix post-it notes or other small items with content on them to a blank spot on the page or to the back of the page, ensuring that no existing information is covered.
   4. No documents or pages will be moved or corrected. Pages will be scanned in the same order they are received.
   5. Any non-scannable items will be placed in an envelope for return to the CLIENT.
7. Quality Assurance – ACCESS will:
   1. Generate smart barcode sheets (“Smart Sheet”) from the reconciled custody exchange listing.
   2. Match a Smart Sheet to each item by comparing the Smart Sheet item ID with the item ID on the physical item.
   3. Prepare the physical item for scanning by:
      • Inserting additional Smart Sheets (separator/marker sheets) will be inserted for each section, large format, etc.
      • Removing staples, bindings, paper clips
      • Remove/discard post-it “flags” that have no content on them
      • Affix post-it notes or other small items with content on them to a blank spot on the page or to the back of the page, ensuring that no existing information is covered.
   4. No documents or pages will be moved or corrected. Pages will be scanned in the same order they are received.
   5. Any non-scannable items will be placed in an envelope for return to the CLIENT.

II.        Standard Quality Controls

The following Quality Control procedures/processes associated to this project are defined, but not limited to the details below:

Document Preparation

• A review and removal of all existing bindings and ensuring that pages are in the proper orientation for a legible scanned image.
• The proper insertion of new file level or document level document barcoded separators.
• Identification of specific defects in physical paper condition, such as torn corners, rips, tears, etc. which can affect the efficiency and quality of the images produced at the scanner.
• Boxes are never split or shared, and no operator works on more than one box at a time.

Document Scanning

• No blind scanning. Scan operators stage an efficiently sized stack of documents and manually guide the pages through the scanner, performing capture by sight, feel, and sound.
• An on-screen page validation during capture is performed by viewing an image monitor.
• The scanner (hardware) utilizes Optical Density Checking of every page to validate a single-page feed; additionally, the scanners per-form a level of auto adjustments for de-skewing, de-speckle, blank page drop-out, and/or auto-crop.

Manual Indexing

• Human Index operators will manually key from the images the index fields detailed in this SOW.
• Human Index operators will perform indexing of documents either from the images or via physical files (creating a manifest to output to bar-codes which will be inserted during document preparation).
• If a manifest is created and the files barcoded, an automated barcode read will take the place of manual/human index operators.

Document Validation

• Human QC operators review results derived from automated process throughout the capture platform.
• Human QC operators review statistically valid samples of all captured images and data for accuracy and quality. Sample size is adjusted based on initial QC results.
• Where/if applicable, re-scan and re-QC steps are performed prior to submission of the batch for finalization.

Finalization

• Human finalization operators validate the metadata and images, using the established data export requirements and standards.
• Validation of index fields and image pointers.
• Tracking of batch completion and output against original box.
• Validation that all metadata and images are recorded correctly to the SFTP site and/or media for delivery.

Quality/Error Definitions

The following indices define what will be considered errors, non-errors and items that will be dealt with on a best effort basis for the project.

ERROR INDEX (Used in Access’s accuracy rate calculation)	NON-ERROR INDEX (Not to be used in Access’s accuracy rate calculation)	BEST EFFORT INDEX (Not to be used in Access’s accuracy rate calculation)
Multi-feeds	Bent corners covering non-critical information*	Scanning of photographs
Bent or folded pages covering critical information *	Poor original quality scans	Indexing or OCR typos, incorrect capitalization, incorrect metadata selection
Blank pages †	Line(s) through an image if image is legible and searchable	OCR and/or orientation of: Colored pages Charts Faint originals Stamps Very small font Maps, drawings, photographs Page tabs Handwriting
Incorrect orientation	Image capture resulting from bleed-through (e.g.., due to ink bleed-through on onion skin paper, the rear image may not be deleted)
Poor quality copy (in comparison to original)
OCR non-functional for image (exceptions detailed on this table)	Orientation of images that appear skewed but have pin holes perfectly aligned
Image cut-off (in comparison to original)	Skewed or shadowing due to original paper quality (ex: excessive creases/folds in oversize pages)
Skewed or shadowing that is covering critical information, not caused by original paper quality
Incorrect separator sheet assignment (counts as 1 error per incorrect separator)

*Critical and non-critical information defined in the table below. †A blank is defined as an image containing 5.5kb or less of data. Images resulting from an original physical page containing more than 5.5kb of data are not considered errors (ex: bleed-through on thin/onion skin paper; more than 5.5kb of data resulting from poor paper quality or pinholes).

Critical Information Defined As:	Non-Critical Information Defined As:
ID number (ex: invoice number)	Standard form title, headings
Financial amounts	Standard form telephone number
Entered dates	Standard form address
Written information	Standard form fax number
Entered information	Standard form distribution list
All block header information on drawings	Standard form number
Other critical information that are not typically on each standard form	Border lines on forms, documents, drawings
	Other non-critical information that are typically on each standard form

 

SCANNING GUIDELINES FOR OTHER DOCUMENT TYPES

The following suggests baseline requirements for the following document types:

Document Type	Format	Min. DPI	Settings
Photos	JPG	Minimum resolution of 300 DPI	Color or Greyscale
Well Logs	TIFF	Minimum resolution of 300 DPI	Color or Greyscale LZW compression   Black &White CCITT Group 4 compression
Large/Wide Format	TIFF	Minimum resolution of 300 DPI	Color or Greyscale LZW compression   Black &White CCITT Group 4 compression
Seismic Sections	TIFF	Minimum resolution of 300 DPI	Color or Greyscale LZW compression   Black &White CCITT Group 4 compression
Microfiche	TIFF	Minimum resolution of 300 DPI	Color or Greyscale LZW compression   Black &White CCITT Group 4 compression

 

Definitions of Large format scan quality

Criteria	Poor	Partial	Good
Background	Dark	Light	Light
Foreground (Font)	Blurry	Clear	Clear
Image Misalignment (degrees)	High (>10)	moderate (<5)	0
Color Distribution	Non-uniform	Non-uniform	Uniform

 

TAPE COPY PROCESS

Receipt of Shipment

Confirmation is sent to the client once we have received the shipment. Spot checks against the transmittal/manifest are completed, errors or missing/additional items are acknowledged, with the supporting documentation updated accordingly. Clients are informed about any variances within the shipment at the point of identification.

Item Management and Tracking

The tapes received are sorted based on project requirements and priority. Relevant tape information is recorded and scanned to create a tracking sheet.

Once created, the tracking sheets track and manage the progress of the tapes during the transcription process. The operator also uses the tracking sheets to note any observations or problems when copying.

Copying Process

The job or specific batches of tapes are assigned to an operator to transcribe. The operator will then begin the copying process, as per client requirements, utilizing various techniques depending upon the type of input media presented.

For each tape, an electronic listing is generated from:

• Manifest or inventory provided by the client
• Metadata from the tape
• Information captured by the operator at the time of copying.
• Listings are then used to QC the data and check for consistency.

Below is a breakdown of the processes used for copying differing types of media.

9 and 21 Track Tapes

Tapes are transcribed bit-for-bit to RODE format to extract all data and minimize data loss. RODE files are then converted to the original data format or converted to standard industry or as per client requirements. Any unknown formats will be assessed and converted as appropriate.

The standard outputs for seismic data are SEG A, B, and C converted to SEG-Y format. SEG-D formats are not converted to SEG-Y unless expressly requested by the client.

Cartridges

Access can transcribe several different cartridge media. Some drives have compatible stackers allowing multiple tapes to be automatically loaded and copied. As before, data is copied bit for bit, and can be output tape for tape, or concatenated to one output, as per client requirements.

Access can copy various formats of input media, outlined below. Other media may be available upon request.

• 8mm Exabyte
• USB Portable Drives
• CD-ROM, Disc
• DVD
• 3 ½” Floppy Disk
• 9-Track
• 3480
• 3490
• 3590
• 3592
• DLT
• LTO versions 1 – 8

Hard Drive

It is common to require multiple copies of various data. This data can be copied from a hard drive or any input media to any output media, including general backup or archiving of files using TAR format.

Stiction

Due to age and inappropriate storage conditions, many older tape media such as 9 or 21 track tapes may become unstable. The tapes need careful preparation when stiction is present to make them readable, which involves cleaning and/or baking. The baking dries out the bonding glue on the tapes, allowing a chance to recover the data.

If tapes require baking, it is important to understand there is an element of time urgency after baking, as there is typically only a period of up to 24 hours to recover the data before the tape returns to its original condition. Additionally, once the baking process is complete, tape brittleness increases, making future attempts for recovery increasingly complex.

Quality Control / Quality Assurance

Access is synonymous with expertise, experience, capability, and quality. Our team devotes considerable time and effort to ensure all transcribed and remediated assets and associated metadata are produced to meet or surpass our highest quality standards. Access understands the data, the media, the formats, and the organizational issues that come with large legacy projects. Access understands that only high-quality digital data can be derived when appropriately trained staff adhere strictly to comprehensive QA/QC and governance procedures such as:

• All workflows include integrated decision points that form strong quality and governance processes. The process can be reviewed and amended to meet specific governance needs and requirements.
• Access partners with the client to understand and integrate defined business rules to ensure the final product meets expectations.
• Each workflow has several QC steps to assure continuity and consistency of the product.

Filing of Records

All records will be stored in Access warehouse facilities until the departmental manager/client requests that they are returned or disposed of in a controlled manner.

Tape Transcription Workflow

 

   III.        Records Requests During the Conversion Process

If CLIENT anticipates a necessity to request Records while such Records are being serviced by ACCESS under this SOW, CLIENT shall follow the following procedures:

For all requests, CLIENT will place order through the ACCESS Operations Supervisor listed in Section I  of SOW.

Priority Scan Requests

Up to 10 files per day may be requested to be pulled and placed at the front of the queue and will be delivered per the standard processing time.

Standard Scan-on-demand requests

Requests for standard scan on demand requests (delivery of digital file) up to an average of 5 files placed by 10:00 am any business day will be returned to the client by end of the following business day, subject to the per-file rate in additional to standard per-image fees.

Urgent/Rush Scan-on-demand requests

Requests for Urgent scan on demand requests (convenience copy digital file) for up to an average of 3 files per business day will be returned to the client within 4 business hours and are subject to the per-file rate in addition to the standard per-image fees.

• These files will not be imaged with the same assumptions as the final project deliverable
• These files will be imaged using a desktop or MFP scanner. The image quality, OCR and accuracy rate per the above specifications are not guaranteed.
• All such files will be returned to imaging production for full imaging in accordance with the full requirements of the SOW.
• This means that a version that will not meet requirements standards will be issued for CLIENT’s immediate use and convenience, but the full version will still be processed and delivered per the full requirements of the SOW.

Physical Retrieval Requests

CLIENT request for standard retrieval will be subject to ACCESS’ then-current rates and standard delivery timeframes.  The physical file will also be removed from scope of the project.  If returned, it will be re-added to the scope per the processes established in this SOW.

IV.        Change Management Process

The process below will be followed if a change to this SOW is required:

1. A Change Order (“CO”) will be the vehicle for communicating change. The CO must describe the change, the rationale for the change, and the impact the change will have on the project.
2. The designated Project Manager of the requesting Party (ACCESS or CLIENT) will review the proposed change and determine whether to submit the request to the other Party.
3. A written CO must be signed by both Parties to authorize implementation of the changes.
4. Several assumptions have been made regarding the nature of the services and Deliverables, which are incorporated into the pricing line items and unit multipliers described in the Price Schedule. Throughout the operational process descriptions within this SOW, additional assumptions (or clarifications of those already established) may be listed within the applicable operational process sections.
5. Changes to these assumptions could affect unit prices and could have an impact on the throughput rates or units encountered (and therefore, the actual extended costs invoiced) for each task performed as part of the services. In all cases, invoicing for all tasks performed will be based on actual units encountered during the conversion. Significant variances to these assumptions will be addressed as and when encountered, via a CO. This CO may result in revisions to project schedule, scope, budget, processes, assumptions, Deliverables, and/or unit pricing.
6. Analysis and approval of proposed process and method modifications under this Change Request Procedure, together with any resulting implementation of modifications so proposed and approved, will be performed by experienced and authorized team members from both ACCESS and CLIENT to the mutual agreement of both Parties in writing.

    V.        Data Handling Policy

During the course of the SOW, the transfer of information and data may be required in order to provide delivery of the Services. The following policy applies only to this SOW and does not replace or change any existing agreements that may be in place between ACCESS and CLIENT.

1. Personally Identifiable Information, Protected Health Information or any other highly sensitive information must be identified by Client in advance of transmission to ensure the appropriate handling.
2. ACCESS recommends that such identified information only be transmitted via HTTPS or SFTP (or similar secure protocols).
3. Only securely transmitted information will be used by ACCESS for the purposes of the SOW.
4. Should any exceptions to the above be required, approval is required from both CLIENT and ACCESS in writing.
5. Physical Records converted into digital Records will be processed in ACCESS’ image capture systems (“ICS”) by batch before being delivered to the CLIENT. All digital copies and format of the Records (ex: digital images, digital data or metadata) will be held on the ICS for a period of thirty (30) days from its initial conversion by ACCESS. Thereafter, all images and associated data in an uploaded Batch of electronic Records will be purged from the ICS.  Any re-work required on purged Records will be required to be re-processed from original physical format.

   VI.        CGSB Compliance Statement

Access understands and supports the importance of any Canadian organization’s Records Management Program (“RM Program”) to be compliant with the Canadian General Standards Board CAN/CGSB-72.34-2017 standard “Electronic records as documentary evidence” (“CGSB Standard”).

While it is the responsibility of any organization to authorize and develop the required RM Program and IT Systems Manual to be compliant with the CGSB Standard, Access will work closely with each organization to adhere to existing standards, including the following examples, depending on the Services in Scope:

Digitization Services:

1. Temporary storage of physical records in secure, designated area
2. Secure, limited access to physical records by Access personnel authorized to work with Client records
3. High quality digital substitute of analogue records
4. Quality assurance controls as documented in SOW
5. Certification of assurance through proper custody exchange and validation
6. Certification of physical and electronic destruction upon authorization from Client or expiration of time period for electronic documents stored on Access’ digitization servers
7. Required metadata for all digitized records including: Time – timestamp, batch ID and original location when scanned; Persons – name of scan operator; Identity – as provided by Client and validated during custody exchange, and/or captured through classification/indexing process established in the SOW.

Physical Records Management Services:

1. Temporary storage of physical records in secure, designated area
2. Secure, limited access to physical records by Access personnel authorized to work with Client records
3. Compliance with established Client policy, procedures of the RM Program to the extent they have been communicated and on-boarded as part of on-going Services.
4. Barcoded records tracked to physical storage location
5. Custody exchange validation, audit trail for all record requests, circulation activity and updates in accordance with established policy and procedures
6. Certification of physical and electronic destruction upon authorization from Client for electronic documents or data stored on Access or Client databases.