Administrative Office of the Courts

Supreme Court of New Mexico

Arthur W. Pepin, Director 237 Don Gaspar, Room 25 Santa Fe, NM 87501

(505) 827-4800

(505) 827-4824 (fax)

REQUEST FOR INFORMATION (RFI)

DOCUMENT REDACTION SOFTWARE AND SERVICES

RFI# 001-12-08-2017

Posting Date: Friday, December 8, 2017

Submission Deadline Date: Friday, January 8, 2018

Version 0.11

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Table of ContentsI. INTRODUCTION..........................................................................................................................3

A. PURPOSE OF THIS REQUEST FOR INFORMATION (RFI)......................................3B. BACKGROUND INFORMATION.................................................................................3C. RFI MANAGER...............................................................................................................4D. DEFINITIONS.................................................................................................................5

A. SEQUENCE OF EVENTS..................................................................................................6B. EXPLANATION OF EVENTS...........................................................................................6

1. Issuance of RFI.................................................................................................................62. Submission of Response...................................................................................................63. Evaluation of RFI.............................................................................................................6

C. GENERAL REQUIREMENTS...........................................................................................71. No Obligation...................................................................................................................72. Incurring Cost...................................................................................................................7

III. SPECIFICATIONS.......................................................................................................................8A. SPECIFICATIONS..............................................................................................................8

1. Corporate Experience: Provide an overview of corporate experience and experience with bulk document redaction....................................................................................................82. Technical Specifications...................................................................................................9

SPECIFICATIONS RESPONSE MATRIX.......................................................................................9APPENDIX A...................................................................................................................................12SUPREME COURT ORDER 17-8500-001.....................................................................................12APPENDIX B...................................................................................................................................16SUPREME COURT ORDER 17-8500-024 AMENDMENT..........................................................16

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I. INTRODUCTION

A. PURPOSE OF THIS REQUEST FOR INFORMATION (RFI)

The purpose of this Request for Information (RFI) is to gather information in order to assist the New Mexico Judicial Information Systems Council (JIFFY) in the potential development of a Request for Proposals (RFP) to establish a contract through competitive negotiations for implementation and support of a comprehensive statewide image and electronic document redaction solution for the New Mexico Judiciary.

The New Mexico Judiciary is seeking information from qualified firms that can provide expertise regarding commercial off-the-shelf (COTS) image and document redaction solutions. The ideal system must have the proven capability of redacting Personal Identifying Information (PII), including social security numbers, whether typed or handwritten. The system must be capable of redacting source files where the source document may be stored in a word processing document, PDF, TIFF, or other file format. The system must also be capable of employing optical character recognition of scanned images, and storing the redacted file as a searchable Adobe’s Portable Document Format (PDF). The system must provide a user web interface and be interoperable with existing applications.

B. BACKGROUND INFORMATION

The New Mexico Judiciary must comply with the redaction requirements of the New Mexico Supreme Court Order 17-8500-001 and amendment (APPENDIX A and B), and provide online remote access to electronic court case records.

Case Management SystemThe statewide case management system for the New Mexico Judiciary is Tyler Technologies’ Odyssey 2014.3.9, and will be upgraded to 2014.3.24 by the 2nd Quarter of 2018. Odyssey currently allows the upload of scanned TIFF file formats directly from the scanner or PDF files directly from the desktop. Existing files stored in Odyssey currently total ~21,442,469 documents with ~63,113,856 pages, however not all documents will require redaction. Redacted documents will be segmented by document codes into multiple case types, so the system must be able to search and redact documents from a subset of document codes.

Electronic FilingElectronic filing is mandatory for the Supreme Court and Court of Appeals for all case types and for Civil Cases (Probate and Family Cases) at the District Court level. The electronic filing system is Tyler Technologies’ File and Serve 3.14.3.1591, and will be upgraded to 3.17 during 2018. File and Serve accepts PDF file format only and directly transmits these files into the Odyssey database (converting the files into a TIFF image).

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Document ManagementOdyssey is a statewide document management system and currently stores both TIFF and PDF document formats at a rate of ~1,000,000 pages per month. In the 1st Quarter of 2018, a project will launch to implement the Tyler Technologies’ Optical Character Recognition (OCR) module to convert existing TIFF and PDF files into searchable PDFs.

Online AccessCurrently, attorneys, attorney staff, justice partners (including law enforcement), and the press register for access to case information and documents through the Secured Odyssey Public Access (SOPA) application. Their access is determined through a tiered protocol, which restricts or admits access to case information and documents based on the Odyssey case type and document security group. Currently there are over 9,000 user accounts.

PII information includes, but is not limited to, all but the last four digits of a taxpayer’s identification number, financial account numbers, driver’s license number and all but the year of a person’s date of birth. All of this information must be redacted prior to allowing full public access to court documents. Once fully redacted, the courts will be able to safely provide online access to self-represented litigants (SRLs), the press and the public.

C. RFI MANAGER

1. The Office of the Chief Information Officer of the New Mexico Judiciary has assigned an RFI Manager who is responsible for the conduct of this RFI whose name, address, telephone number and e-mail address are listed below:

Name: Tim Elsbrock, RFI ManagerAddress: Judicial Information Division

Administrative Office of the Courts2905 Rodeo Park Drive East, Building 5Santa Fe, NM 87505

Telephone: (505) 476-6900Fax: (505) 476-6952Email: telsbrock@nmcourts.gov

2. All deliveries of responses via express carrier must be addressed to the RFI Manager listed above.

3. Any inquiries or requests regarding this RFI should be submitted to the RFI Manager. Respondents may contact ONLY the RFI Manager regarding this RFI. Other state employees or Evaluation Committee members do not have the authority to respond on behalf of the RFI Manager.

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D. DEFINITIONS

“Court User” means a court clerk or other court employee responsible for maintaining court case records.

“JIFFY” The New Mexico Judicial Information Systems Council.

“Public User” means a registered or non-registered attorney, self-represented litigant, justice partner, press, or other person accessing court case records online.

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II. CONDITIONS GOVERNING THE RFI

This section of the RFI contains the schedule, description, posting location, and conditions governing the RFI.

A. SEQUENCE OF EVENTS

The RFI Manager will make every effort to adhere to the following schedule; however dates are subject to change at the discretion of JIFFY:

Action Responsible Party Due Dates 1. Issue RFI JIFFY 12/8/20172. Submission of RFI Response Respondents 1/8/20183. Evaluation of RFI Responses JIFFY 1/19/2018

B. EXPLANATION OF EVENTS

The following paragraphs describe the activities listed in the sequence of events.

1. Issuance of RFIThis RFI is being issued on behalf of the New Mexico Judiciary and JIFFY on the date indicated in the Sequence of Events. The RFI will be posted to:

https://www.nmcourts.gov/request-for-proposals.aspx

2. Submission of Response ALL RESPONSES MUST BE RECEIVED FOR REVIEW AND EVALUATION BY THE RFI MANAGER OR DESIGNEE NO LATER THAN 3:00 PM MOUNTAIN TIME ON January 8, 2018. Responses received after this deadline will not be accepted. The date and time of receipt will be recorded on each response.

Responses must be addressed and delivered to the RFI Manager at the address or email address listed in Section I, Paragraph C1. Mailed responses must be sealed and labeled on the outside of the package to clearly indicate that they are in response to the Document Redaction Software and Services RFI# 001-12-08-2017. Email responses must have as subject line: Document Redaction Software and Services RFI# 001-12-08-2017. Responses submitted by facsimile will not be accepted.

3. Evaluation of RFIJIFFY retains the sole discretion to move forward with, or decline to move forward with, the procurement process, including but not limited to the release of an RFP for document redaction software and services.

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C. GENERAL REQUIREMENTS

1. No ObligationThis RFI in no manner obligates the New Mexico Judiciary or JIFFY to the issuance of an RFP or the eventual retention of professional services and, if applicable, the rental, lease or purchase of any real and/or personal property that may be implied or proposed.

2. Incurring CostAny cost incurred by the potential Respondent in preparation, transmittal, and/or presentation of any response or material submitted in response to this RFI shall be borne solely by the Respondent.

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III. SPECIFICATIONS

Respondents should respond in the form of a thorough narrative to each specification in the Specifications Response Matrix found below.

A. SPECIFICATIONS

1. Corporate Experience: Provide an overview of corporate experience and experience with bulk document redaction.

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2. Technical SpecificationsRespondents must complete the Response Matrix (available at: https://www.nmcourts.gov/request-for-proposals.aspx) to indicate whether each of the following technical specifications is an essential component of bulk document redaction software, and if so, describe how redaction software should meet the specification:

SPECIFICATIONS RESPONSE MATRIX

ID Technical Specification Respondent’s Explanation/Description2.1 How should a redaction system be interoperable with standards-

based content or document management systems?2.2 How should the system be compatible with the New Mexico

Judiciary’s current environment?2.3 How should a redaction system support various user groups such

as end-user and technical administrators of the system?2.4 How should a redaction system’s commerce capabilities support

multiple document access pricing models?2.5 How should a redaction system present redacted documents to a

web-based user interface?2.6 How should a redaction system estimate allocations for future

storage needs?2.7 How should redaction system charge for licensing?2.8 How should a redaction system guarantee a successful redaction

rate and what methodology should be used to create/model this successful redaction rate?

2.9 How should a redaction system allow the processing of jobs to be configurable in size, timing, and duration in order to prevent redaction processing from impacting database performance during business hours?

2.10 When redaction rules are changed, how should a redaction system be able to examine all existing files and identify where

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redaction may now necessary?2.11 How should a redaction system allow for on-demand manual

redaction by Court Users as ordered by the court?2.12 How should a redaction system determine if a document is in a

language other than English, and if so, whether it can be OCR’d and/or redacted?

2.13 How should a redaction system display information identifying the new document as the redacted version?

2.14 How should a redaction system be able to extract and classify documents based on identified case types, document types and document security groups, including obsoleted documents?

2.15 How should a redaction system be able to identify documents that have not yet been converted to a searchable PDF and then OCR them as part of the redaction process?

2.16 How should a redaction system distinguish between redacted and unredacted documents in order to make them easily identifiable for efficient selection of documents by the Court User?

2.17 How should a redaction system permanently remove information from the document?

2.18 How should a redaction system flag suspect redaction instances?

2.19 How should the software create both a redacted and non-redacted version of the image without overwriting the original?

2.20 How should a redaction system read and redact machine printed, handwritten images, and unstructured data?

2.21 How should a redaction system meet ADA compliance standards?

2.22 How should a redaction system be able to identify and redact both horizontal and vertical text?

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2.23 How should a redaction system be able to read bar codes inherently with no additional cost or modules?

2.24 How should a redaction system provide a forensic audit trail of redactions and any subsequent redactions made to a document?

2.25 How should a redaction system utilize a one-pass OCR engine that allows both the capture of metadata, indexing, classification, and redaction information?

2.26 How should a redaction system be able to output two or more redacted versions based on different rules?

2.27 How should a redaction system be able to rapidly recognize or “fingerprint” document types based on previous examples and autonomously build a dictionary?

2.28 How should the system be able to read QR codes inherently with no additional cost or modules?

2.29 How should the system match both bulk redacted and on-demand redacted documents to the original document within the case management system?

2.30 How should a redaction system allow for documents that have gone through the redaction process be reviewed/accepted in cases where there are questions? How is questionable text flagged?

2.31 How should a redaction system work with third party OCR applications?

2.32 How should a redaction system present redacted documents to the Public Users?

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APPENDIX ASUPREME COURT ORDER 17-8500-001

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APPENDIX BSUPREME COURT ORDER 17-8500-024 AMENDMENT

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