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Background, Requirements and Definitions

Imaging Approach

Batch Process Overview

Index File Layout and Definitions

Dept. of Transportation Lessons Learned

Agency Considerations

Timelines

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Background, Requirements and Definitions

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In 2011 the Legislature amended Section 215.985, F.S., making DFS responsible for the development and maintenance of a contract reporting system.

In March 2012 Florida Accountability Contract Tracking

System (FACTS) came online. FACTS Project Phases: ◦ Phase 1 – Web-based application for Contracts (Complete) ◦ Phase 2 – Budget and Disbursements (Complete) ◦ Phase 3 – Compliance/Audit Reporting (Complete) ◦ Phase 4 – Contract Images (Implementation Phase) ◦ Phase 5 – Grant Agreements (Development Phase) ◦ Phase 6 – Purchase Order Information (Testing Phase)

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In 2012 Section 215.985 (14), F.S. was amended to require: By January 1, 2014, each state entity shall post to the

Florida Accountability Contract Tracking System (FACTS) electronic images of contract and procurement documents for each existing contract that was executed before July 1, 2013, with payment from state funds made after June 30, 2013.

Within 30 calendar days after executing a contract or an amendment (including renewal, termination or extension) each state agency shall update the required information in FACTS.

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Contract – written agreement or purchase order issued for the purchase of goods or services or a written agreement for the receipt of state or federal financial assistance

Procurement Documents – any document or material provided to the public or any vendor as part of a formal competitive solicitation of goods or services undertaken by a state entity, and a document or material submitted in response to a formal competitive solicitation by any vendor who is awarded the contract

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Statutory Exemptions Trade Secret Laws

Chapter 119, Florida Statutes and Agency specific exemptions found in other chapters may apply to specific information.

Two trade secret definitions: S. 812.081, Florida Statutes S. 688.002, Florida Statutes

Florida Statutes contain over 1,100 exemptions including: • Social Security Numbers • Personal Financial Information • Medical Records • Security System Plans • Agency Building Plans

Section 815.045, Florida Statutes Section 119.071(1)(f), Florida Statutes

Sepro Corp. v. Florida Dept. of Envtl. Prot., 839 So. 2d 781 (Fla. 1st DCA 2003). Trade secret owner must take measures to protect specific information.

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FACTS Images shall not reveal information made confidential or exempt by law, including:

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Agencies choose between two methods for adding images to FACTS: ◦ Manual Upload – a users logs into FACTS, and

uploads files to the Contract’s Document Tab

◦ Batch Upload – agency sends a batch file with image records (nightly), FACTS loads the images systematically

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Technical Requirements for all images:

Tagged Image File Formats (TIFFs) or Portable Document Formats (PDF) are accepted

Agencies will add one file per record type/change ◦ Original Contract Document ◦ Amendment ◦ Procurement Document (New)

FACTS does not maintain image versions. Agencies

will replace old versions with new versions if updates are needed

Ability to add multiple amendments records

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Contract Images ◦ Attach 2 types of contract images in FACTS:

1. Original Contract 2. Amendments

◦ Optionally, Agencies can provide a URL (to a document, not a website) for each image in FACTS instead of uploading a document

◦ Any URL’s included in FACTS should remain available for 10

years

Procurement Images ◦ All procurement documents meeting the definition should

be included as one image in FACTS

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Batch Process Overview

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FACTS receives Agency batch image files through a Secure FTP

FACTS processes the batch image files daily at 9:30 p.m. (7 days a week). Any files received after 9:30 p.m. will be processed the next night.

FACTS can process multiple zip files from the same agency in the same day.

All batch image files should be placed inside a zip file. The zip file should contain the images and an index file.

Zip files currently do not have a size limit.

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Document Index File Specifications:

The index file should be provided in this format: Document Type| Agency OLO|FLAIR Contract ID| Agency

Amendment Reference | File Name | Document Link | Final Proposal Indicator

Any conditional/optional fields may be left blank

according to the business rules, however, their location in the data file should be preserved with the “|” delimiter.

“|” delimiter is not needed at the beginning or end of a record line.

The index file should be provided in a text file format with a .txt or .dat extension.

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Document Image Specifications:

Provide images as a Tagged Image File Format (TIFFs) or Portable Document Format (PDF)

There is no specified naming convention for

agency image files

Individual files are currently capped at 1 GB per document.

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FACTS Process Overview: FACTS un-zips the agencies file. FACTS reads the index file one record at a time

and identifies the type of record, OLO, the contract number, agency amendment reference number, and the image file name.

FACTS then looks for that image file name in the zip file and copies the image file into the FACTS database based on the data above.

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FACTS associates a new naming convention to each image file as it is saved in the FACTS database:

[Document Type]-[Agency OLO]-[Contract ID or Grant ID or PO#]-[Agency Amendment Reference]

The Document Type must have one of these values

– CN or PC.

Examples of FACTS image names: ◦ An original contract image for DOT Contract ID: T1234

will be stored as “CN-550000-T1234.pdf”

◦ An amendment contract image for DOT Contract ID T1234 and Agency Amendment Reference A1 will be stored as “CN-550000-T1234-A1.pdf”

◦ A procurement contract image for DOT Contract ID T1234 will be stored as “PC-550000-T1234.pdf”

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Replacing Images and URLs

The same information provided before for the record is needed to replace images and URLs

Document Type| Agency OLO|FLAIR Contract ID| Agency Amendment Reference | File Name | Document Link | Final Proposal Indicator

FACTS will overlay the previous image or URL with the new one, based on the combination of the type of record, OLO, the contract number, amendment

reference number.

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After FACTS process agency files, nightly the results will be returned to the agency through secure FTP as an “Document/Error log”.

The ‘Document/Error Log’ will contain a summary and details of the file processed: ◦ Name of the agency file processed

◦ Total number of records found

◦ Total number of records processed successfully

◦ Total number of records failed

◦ If any records fail, the following details will be provided for those records: Reason for failure The rejected record as provided to DFS

The ‘Document/Error log’ will use this naming convention:FilenameRecieved_YYYYMMDD_HHMMSS_Documents_Log.txt

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FACTS Dashboard Report

Agencies can obtain a listing of document images in FACTS by clicking the “View Documents” hyperlink on their User Dashboard.

Agencies then can use the information to reconcile contract/grant disbursement agreement images.

FACTS list includes: ◦ Document Type ◦ Agency Name ◦ FALIR contract ID ◦ Agency Amendment Reference Number ◦ Add date ◦ Document URL ◦ Original Document Name ◦ FACTS Document Name

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FACTS Dashboard Report

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Index File Layout and Definitions

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Field Name Description Requirement Acceptable Values

Document Type Type of document Yes “CN” – Contract/ Grant Disbursement Agreement “PC” – Contract Procurement Document

Agency OLO Agency 6 digit FLAIR OLO

Yes FLAIR OLO must exist in FACTS or the document is rejected

FLAIR Contract ID

FLAIR 5 alphanumeric ID

Yes FLAIR Contract Identifier must exist in FACTS or the document is rejected

Agency Amendment Reference

Agency assigned amendment reference ID

Required when the document being added is an Amendment

Amendment Reference Number must exist in FACTS or the document is rejected. Will be blank for Original Contract and Procurement Documents

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Index File Layout

Field Name Description Requirement Acceptable Values

File Name Name of the image file contained in the zip file for this record

If Document Link is not sent File Name is required

Any value is acceptable

Document Link URL of document image on your own publicly accessible website

If File Name is not sent Document Link is required

Any value is acceptable

Final Proposal Indicator

Indicates that Contractor’s final proposal is part of the contract

This field is optional; “Y” when the document includes the contractor’s final proposal Otherwise it can be left blank or set to “N”

Blank, “Y” or “N”

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Index File Layout

Example Index Files Document Type | Agency OLO|FLAIR Contract ID| Agency Amendment Reference | File Name | Document Link | Final Proposal Indicator

◦ (Original Contract) CN|430000|D0160||ImageDocument160.pdf|| ◦ (Amendment) CN|430000|D0160|E3|ImageAmendmentDocument160.pdf|| ◦ (Amendment) CN|430000|D0160|E2|ImageAmendment2Document160.pdf|| ◦ (URL)CN|430000|D0160|E1||www.myfloridacfo.com/somedocument| ◦ (Procurement Document) PC|430000|D0160||ImageProcDocument160.pdf||

Example Document Image Files ◦ ImageDocument160.pdf ◦ ImageAmendmentDocument160.pdf ◦ ImageAmendment2Document160.pdf ◦ ImageProcDocument160.pdf

Index File and Document Image Files should be zipped into one Zip File. Agency can use their own zip file naming convention since each agency will have a separate FTP folder.

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Identify Tools/Mechanisms for redaction

Establish and Communicate Agency redaction policy and procedures

Develop internal training plan

Establish an FTP Account for FACTS with DFS

Scheduling Testing with FACTS

Technical Questions Contact: Robert Foster at 850-413-2226 or Robert.Foster@MyFloridCFO.com

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October 2, 2013 - FACTS Images ‘Go-Live’

October 8, 2013 – Workshop for Agencies Using FTP Batch load

April 2, 2014 – Deadline for loading images

Images must be loaded for existing contracts that were executed before July 1, 2013, with payment from state funds made after June 30, 2013. Images must also be loaded for agreements executed after July 1, 2013.

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