Addendum 1 The Florida Legislature Invitation to Negotiate ... · The Florida Legislature Invitation to Negotiate (ITN) ... expense reports and documentation ... include travel as

Addendum 1

The Florida Legislature

Invitation to Negotiate (ITN)

UN #894

Enterprise Content Management

ITN #894, Addendum 1, Enterprise Content Management Page 1

Question Number

Document Name or ITN

Reference

Question Response

Section 1.3, page 5

The ITN states: The Respondent will include and describe proposed data conversion and data migration strategies considering the Project Schedule. Be specific as to Respondent's recommendations and proposal with respect to the number of years of legacy data that will be migrated to the new solution and how any legacy data Respondent does not propose to migrate be maintained and accessible to the new Solution as archive data. Additionally, the ITN also states: The Legislature will review the Technical Reply for answers to the following questions: • Did the Respondent effectively demonstrate an understanding of the complexity of data conversion as it relates to migration activities and the Project Schedule? Question: Since the OL[S] is scoring the response to data conversion/migration, we request OL[S] provide more details on the "archive" of information going back to 2012. How much of each data and hardcopy documents do you have per year?

The Legislature can provide 2 fiscal years' information for: i.) travel data, ii.) intradistrict expense reports and documentation (which may include travel as well, and iii.) voucher information for ABA/MEA accounts.

Please see modification to the ITN below regarding ABA/MEA accounts.

Folder Items Size (Mb)

\Travel\House Travel Files\House Travel_FY 11-12

125 448

\Travel\House Travel Files\House Travel_FY 12-13

131 162

\Travel\Senate Travel Files\Senate Travel FY 11-12

45 202

\Travel\Senate Travel Files\Senate Travel FY 12-13

43 63

\Travel\lntradistrict Office Files\House Intradistrict Office Files 2013

120 1690

\Travel\lntradistrict Office Files\House Intradistrict Office Files 2014

142 2642

\Travel\lntradistrict Office Files\Senate Intradistrict Office Files 2013

40 636

\Travel\lntradistrict Office Files\Senate Intradistrict Office Files 2014

39 391

\Vouchers\FY 14-15 All 4921 7434

\Vouchers\FY 15-16 All 4722 7660

TOTAL 10328 21328


2 Section 1.3, page 5

What is the frequency of retrieval per year?

The Legislature retrieves daily and quantity varies greatly. The Legislature experiences a large increase of records requests during election years.


Are you able to provide the number of requests by data type and hardcopy per year? Even an estimate would be helpful.

For fiscal year 2015-2016, F&A received 30 requests for the House of Representatives and 18 requests for the Senate. The requests are for all financial documents relating to that elected official which includes travel documents, intradistrict reports, and invoice/voucher payments from the ABA/MEA accounts.

Please see modification to the ITN below regarding ABA/MEA accounts.


How many tables are in your current database and CD's?

There are zero (0) tables in the database and/or CDs.


How many records are include from all tables?

N/A.


Will the winning partner be able to access the archives to analyze the migration requirements or will we be relying upon OL[S]'s technical team to provide the required analysis?

OLS will provide. All of the archived data is stored in pdf format.


Is the data stored in a text data type or is the data in the legacy system stored in specific data types that are indicative of the data that is being stored in those fields?

See Answer to Question 6.


Data is stored in your legacy DB and CD's. Is the data stored as enumerations (0, 1, 2, 3 to represent values) or is it stored as the actual data value?

All data is stored in alphanumeric name by topic and year.


How many files does OL[S] estimate are in paper format?

Zero.


Are the paper files multiple pages? Are they stapled, paper clipped or bound in some way? Do they have any sticky notes in them?



Does OL[S] have the need to scan at multiple locations or will all scanning be conducted in one location?

Currently, there are 2 batch scanners in OLS and many users scan on BizHub multifunction devices.


Does OL[S] have an estimate on the daily volume that will need to be scanned per the business units included in this ITN?

A very rough estimate for the daily volume for OLS F&A is approximately 18 pages per item, but the number of items can fluctuate from 1-200.


A very rough estimate for the daily pages for OLS Purchasing is approximately 70 pages.

13 Page 3 Is OL[S] able to describe in further detail your requirements for redacting information?

The Legislature seeks a masking tool for the ECM, and not a permanent redaction. The fields that need masking include SSN, bank account numbers, date of birth, credit card numbers, certain addresses for specified vendors and/or personnel which are confidential and exempt from public records by Florida law.

14 Please confirm the solution OL[S] requires is integrating with the current travel system and does not want to replace it.

Confirmed.

15 Page 3 How many FOIA requests are received monthly or annually?


16 Please confirm that OL[S] Purchasing is willing to change their current process of submitting budgetary quotes and purchase requisitions from a paper based approach to a digital approach using digital forms.

OLS can confirm that some legislative entities will utilize the ECM for Purchasing.

17 What is the volume of these quotes and requisitions?

From July 1, 2016, through April 4, 2017, OLS Purchasing processed 388 quotes and requisitions.

18 Are they scanned today once received in paper? If yes- by whom?

Yes, they are scanned daily by OLS Purchasing staff.

19 ITN 894 states the following: The Legislature will perform review to determine the integrity and reliability of the Respondent and Confirmation that the Respondent's financial statements appear to reflect a financially stable firm and is responsible. 1. Question: As a privately held company, would The FL Legislature allow responding companies to present financials at a later point such as when the firm is selected in the downsizing step or if selected?

No.

20 Is ITN 894 related to RFI 886[?] Yes. 21 In reference to page 31, when an ECM

solution is in place, will you still be expecting the district offices to submit the copies of receipts/invoices along with a paper copy of the quarterly report to OLS? Why is the agency

No.

The current practice evolved from the requirement and submittal of an executed, original report via U.S. mail. The bulk of the receipts and related documentation are


sending all of the documentation via mail if all of the information is electronic?

scanned. The intent is that the ECM allow for an electronic signature so that all documents are electronic.

22 Is an electronic signature or an electronic stamp going to be acceptable on the expense report?

Yes.

23 Are you trying to replace your online system or just display your online system for travel reimbursements?

The Legislature is not replacing the travel system. The Legislature requires that data from the travel system be imported into the ECM in a pdf format.

24 Is the SOC audit report required if the ECM solution is delivered as a SaaS solution?

Yes. See Answer to Question 25.

25 Is a SOC 3 audit report acceptable for a solution that is delivered as a SaaS solution?

No. The Legislature requires a SOC 2, Type II.

26 In reference to the bottom of page 27, what is the required process for submitting the vendor's financial information? Is a separate sealed confidential package acceptable?

Yes.

27 From a training perspective, how many total users of the system do you anticipate?

From a training perspective, the Legislature will train all district staff. The only training required from the Contractor will be for those users in Tallahassee. The Legislature does not understand the difference between "internal" or "external" users, but generally describes users as follows:

• Basic users: a minimum of 160 district staff across the State who prepare the intradistrict expense reports and a minimum of 160 elected members who approve the intradistrict reports

• Super users: approximately 15 employees in Tallahassee

• Administrators: approximately 5-6 employees in Tallahassee

The Legislature uses 4 domains for approximately 1600 employees.

28 How many locations for those users? See Answer to Question 27. 29 Are there users of the system that are

external to your organization? See Answer to Question 27.

30 Is this ITN asking for the licenses and professional services quote for all of the components (including the public facing aspect and backfile for the

The ITN is requesting an ECM system for all of the components.


travel request, documents and reimbursements, as well as the OLS Purchasing business process), or just the Quarterly Expense Reporting piece?

31 When is the implementation of the OLS Purchasing process expected to be in place?

The production date for the OLS purchasing process has been changed to July 1, 2018.

Please see the modification to the timeline contained in the ITN.

32 When the receipts / invoices are submitted to the district offices, is there additional documentation (expense report, etc.) with them, or just the copy of the receipt/invoice?

The quarterly intradistrict expense report is an Excel spreadsheet with three tabs - instructions, the actual report, and an expense spreadsheet that populates to the report for certain fields.

Please see Answer to Question 33. 33 Can we get a copy of the Quarterly

Report and Expense Spreadsheet in an excel sheet format?

Yes. Please see the icon on the ITN weblink entitled "Intradistrict Expense Report" in the Excel format.

34 When an ECM solution is in place, will you still be expecting the district offices to submit the original paper copies of receipts/invoices along with a paper copy of the quarterly report to OLS?

No.

35 How many internal users will be retrieving documents for the travel expense component?

The Legislature does not understand the difference between "internal" or "external" users, but believes that approximately ten (10) to fifteen (15) users in Tallahassee will retrieve travel documents.

36 What will be the estimated total number of internal users of the ECM Solution, including the Florida Senate 40 elected members from 40 districts and the Florida House of Representatives 120 elected members?


37 Besides the individuals in each of the district offices, how many users in OLS will be involved in the workflow approval process?

For intradistrict reports, there is one (1) "preparer" and one (1) "approver" in each district office, and one (1) final approver/reviewer in OLS F&A.

38 How many users from OLS will be involved in the Purchasing workflow/business process?

No more than six (6) to ten (10) users in Tallahassee.

39 What is your volume of public records requests? How many requests for intra-district quarterly reports? How

Please see Answer to Question 3.


many requests for travel documentation?

40 How will the SaaS, cloud-based, online travel application for the processing of travel authorizations and travel reimbursements still be used after the ECM solution is implemented? Please provide additional information pertaining the use of this application and how you want to use this application in conjunction with the new ECM Solution.

The Legislature requires that data be imported into the ECM in a pdf format from the travel system. The Legislature requires that the ECM provide the data, in a searchable format, to be public facing.

41 Does the existing online travel authorization system have a method to extract the documents and data to allow for storage, redaction and retrieval in/from the ECM solution?

Yes, the data in the travel system can be extracted on a per traveler basis for a specified period of time. The travel system does not include the SSN on the pdf; however, some supporting documentation may require redaction in the ECM prior to being made available to the public.

42 In reference to page 18, does the Florida Legislature wish to convert backfile of the intradistrict quarterly reports? If so, how are they currently stored? What is the volume of these documents?

Yes. The intradistrict expense reports are scanned to a shared drive in pdf format. Currently intradistrict expense reports dating back to the year 2000 are being retained.

Please see Answer to Question 1. 43 Data Conversion and Migration

In reference to page 18, how is the data and scanned documents that requires to be converted or migrated currently stored? Is it in file folders on the network? Can screen shots be provided to show the methodology used for naming conventions of the files and folders?

Yes. All data is stored electronically in files and folders in pdf format. The nomenclature may vary by calendar year, but generally includes the following: last name, first name, calendar year, and the title, "intradistrict." The files are received throughout the year on a quarterly basis, but stored in one single folder for the whole year.

The Legislature would like the name to identify the quarter as well.

44 Data Conversion and Migration In reference to page 18, what is the required number of years of legacy data that the Legislature wants to be migrated to the new solution? What is the amount or size (in GB) of the data images that need to be migrated?

The Legislature has travel information/data from fiscal year 2004-2005 to present.

The Legislature has intradistrict reports from calendar year 2000 to present.

Please see clarification below to the ITN.

45 Has there been budget amount

funded for this project for 2016-2017?

OLS does not have a budgeted amount at this time.


If so, can you please give out the

budget amount?

46 With the anticipated posting date for answers to Respondent's questions being so close to the ITN Response submittal date, can there be an extension of the due date for the ITN Response?

Yes.

Please see the modification to the timeline contained in the ITN.

47 How many Solution Users will need access to the system at least 40% or more of their day?


48 The Legislature desires software that has robust capabilities for integration with other systems. Please explain what type of integration the Legislature is looking for? Do you want to be able to retrieve documents associated to the data on a screen while in other systems? Do you want to be able to pass data from the ECM System to another system? Do you want to be able to pass data from other systems to the ECM System?

No.

No.

Yes, the Legislature requires that data from the travel system be imported to the ECM.

49 What is the average volume of pages or images per month that is accumulated in the submission and approval processes for intra-district expense reporting?

The Legislature wants to clarify that the intradistrict reports are submitted quarterly; not monthly.

The Legislature can state that per quarter, approximately 200-250 megabytes of data is scanned and stored. Every quarter, the Legislature receives 160 reports plus supporting documentation which varies greatly in number of items.

50 With the initial implementation, what is a list of all of the types of documents that would be captured into the system? Example: receipt (should each type of receipt be a different document type?), quarterly report, purchase requisition, voucher, etc.

The Legislature believes that all documents are pdf. This is not an exhaustive list: receipts (one document type), quarterly report, voucher, travel voucher, invoice, purchase requisition, purchase order, contract, quotes, Pcard transactions, memos, emails.


51 In the initial implementation, what information for retrieval purposes do you wish to capture about the list of documents from question above? Example: Name, SSN, Dates, Account Number, etc.

The Legislature requires that the information be searchable by every field.

52 Are there any document types that you would like to full-text index so that these doc types are full-text retrievable? If so, please list document types.

Please see Answer to Question 50-51.

53 Is both MS Outlook 2013 and 2016 used within the Office of Legislative Services?

The Legislature expects all entities to be using MS Outlook 2016 by August, 2017.

54 34. Do you prefer to have all of your users trained by the vendor or use a train the trainer approach?

From a training perspective, the Legislature will train all district staff. The only training required from the Contractor will be for those users in Tallahassee.

55 How many individuals would the Florida Legislature like trained as administrators for the solution?


56 Is records management and/or document retention required for the intra-district expense reporting implementation?

Yes, with the caveat that the records retention schedule is the required minimum number of years for document storage and the Legislature reserves the right to extend the retention period. The current practice is to keep certain F&A documents indefinitely.

57 Are some of the documents saved in electronic formats like WORD, Excel, etc.?



The following modifications are made to the UN. Additions are underlined and deletions are struckthrough.

1.2 UN Objective and Solution Goals

One of the more immediate legislative goals of an ECM is to automate the submission and approval processes for the intradistrict expense reports. Due to the large number of public records requests for these reports and to enhance transparency, the finalized intradistrict reports and all related, archivesd data must be redacted for confidential information and be public-facing on the Internet in a searchable format by name and topic no later than January 1, 2018. Please note that the first intradistrict report for calendar year 2018 is not due until the end of the second quarter, June, 2018. Internally, legislative staff should be able to search by name and social security number (SSN) of all legislative employees although SSNs should be masked at all times in the ECM.

Another immediate legislative goal is to automate the retrieval process for public records requests regarding Senators' Additional Budget Allotment Account (ABA) expenses and Representatives' Member Expense Allowance (MEA) expenses. This information and all archived data must be redacted for confidential information and be public facing on the Internet in a searchable format by name and topic no later than January 1, 2018.

The Legislature contracts with a vendor to provide via a SaaS, cloud-based, online travel application for the processing of travel authorizations and travel reimbursements in accordance with legislative policies. Due to the large number of public records requests for these reports and to enhance transparency in government, the finalized travel documents, including travel authorization requests^ reimbursement vouchers and all substantiating documentation, and reimbursements and all archivesd data, must be redacted for confidential information and be public-facing on the Internet in a searchable format for all legislative employees no later than April January 1, 2018. Internally, legislative staff should be able to search by name and social security number (SSN) of all legislative employees although SSNs should be masked at all times in the ECM.

All public facing records should have a workflow that includes an affirmative approval by OLS authorized employees before the records are available to the public.

Other legislative goals are to automate the OLS Purchasing business processes for purchases offer commodities and contractual services and create a business workflow that dovetails into the OLS General Services Property Management for the identification and tagging of legislative property in accordance with legislative policies and with the OLS Finance and Accounting (F&A) which pays invoices pursuant to Purchase Orders and Contracts that are executed. The ECM should be functional and in production for these purposes no later than July 1, 2018.


1.3 Background

ABA/MEA Accounts

Each Senator is allotted a specific amount each fiscal year for the Additional Budget Allotment account (ABA) to be used for official legislative business for certain categories of expenses. Senators may have expenses deducted from the ABA by submitting supporting documentation to F&A.

Each Representative is allotted a specific amount each fiscal year for a Member Expense Allowance account (MEA) to be used for official legislative business for certain categories of expenses-Representatives may have expenses deducted from the MEA by submitting supporting documentation

to F&A.

The ABA/MEA expense records are very time-consuming to identify and retrieve because they are processed by 160 different organization codes and commingled among all expenditures for the entire

Legislature.

The current manual retrieval process is as follows: • Open the appropriate disk from DFS that has been saved to a shared drive; • Search all payments made for the entire Legislature for timeframe in question and the

Legislator's org code; • Print the pages that contain payments for that org code which are comingled with other

legislative payments; • Highlight the specific payment and voucher numbers; • Open the voucher folder for the particular fiscal year; « Search for the voucher that was highlighted; • Once the voucher is found, search between 20 and 200 pages of payments for the expense

for that member; and, • Print the voucher page with the expense, supporting documentation, redact if necessary,

then scan for placement on the appropriate chamber's share drive.

The Legislature does not intend for the workflow of this process to be part of the ECM but does require that the documentation regarding a reimbursement of an expense of these accounts to be imported into the ECM. and all archived data be public facing and searchable by name, no later than January 1,

2018.

As stated earlier in the ITN Objective, the Legislature requires that Phase 1 of the ECM implementation include at the least the following, by January 1, 2018:

• All Finalized intradistrict expense reports, including related archived^ data and the workflow for the submission and approval of intradistrict expense reports.

• All ABA/MEA expenses and related, supporting, archived data. • All travel system documentation and related, supporting, archived data.


All other aspects of the ECM should be in place no later than A^r4f July 1. 2018.

Clarification of Archived Data

The Legislature has travel information/data and ABA/MEA data from fiscal year 2004-2005.

The Legislature has intradistrict expense reports from calendar year 2000-2001.

2.2 Revised Timeline of Events

Timeline of Events Event Time, Eastern Standard time (EST)

Event Date

Deadline for 2nd Round of 5:00 p.m. April 10. 2017 Questions

April 10. 2017

Anticipated Posting Date for Answers to 2nd Round of

5:00 p.m. April 12. 2017

Questions

5:00 p.m. April 12. 2017

Deadline to submit Replies 3:00 p.m. April 21. 2017 Demonstration for Intradistrict Expense Report

N/A Week of April 24th - 28th


Documents

Addendum 1 The Florida Legislature Invitation to Negotiate ... · The Florida Legislature Invitation to Negotiate (ITN) ... expense reports and documentation ... include travel as