1.1 Request for Proposal (RFP) Process 7

City of StocktonElectronic Document Management System & Systems Integration Services

REQUEST FOR PROPOSAL

REQUEST FOR PROPOSALS (RFP)

TO PROVIDE

Electronic Document & Records Management System & Systems Integration Services

(PUR 06 – 105)

PROPOSALS WILL BE RECEIVED UNTIL THE HOUR OF2:00 O'CLOCK P.M. April 26, 2007

IN THE OFFICE OF THE CITY CLERK,CITY HALL, 425 NORTH EL DORADO STREET

STOCKTON, CALIFORNIA 95202-1997

City of Stockton EDMS RFP FINAL 1



Table of Contents

NOTICE INVITING PROPOSALS...............................................................................5Proponent’s Checklist..................................................................................................6

Section 1 General Information...................................................................................................6

1.1 Request for Proposal (RFP) Process...........................................................................71.2 Invitation to Submit a Proposal....................................................................................71.3 Local Business Preference..........................................................................................71.4 Consequence of Submission of Proposal....................................................................81.5 Acceptance or Rejection of Proposal...........................................................................81.6 Right to Change or Amend Request............................................................................81.7 Cancellation................................................................................................................. 91.8 Examination of Proposal Materials..............................................................................91.9 Addenda and Interpretation.........................................................................................91.10 Disqualification.............................................................................................................91.11 Informal Proposal Rejected.......................................................................................101.12 Conditions to be accepted if any Work is Subcontracted...........................................101.13 Licensing Requirements............................................................................................101.14 Insurance Requirements............................................................................................101.15 Hold Harmless Defense Clause.................................................................................111.16 Applicable Law...........................................................................................................111.17 Method of Payment....................................................................................................111.18 Notice to Out-of-State Vendor....................................................................................111.19 Term.......................................................................................................................... 121.20 Competitive Pricing....................................................................................................121.21 Funding...................................................................................................................... 121.22 Unconditional Termination for Convenience..............................................................121.23 Auditing of Charges and Services..............................................................................121.24 Changes.................................................................................................................... 131.25 Award........................................................................................................................ 131.26 Product Ownership....................................................................................................131.27 Confidentiality............................................................................................................131.28 Other Governmental Agencies...................................................................................131.29 Mandatory Pre-Bid Conference.................................................................................141.30 Prevailing Wages.......................................................................................................141.31 Proponent’s Safety Responsibility.............................................................................14

Section 2 Background Information.........................................................................................15

2.1 City of Stockton..........................................................................................................152.2 City of Stockton EDMS Program Background............................................................152.3 Goals and Objectives of the Enterprise EDMS Program ..........................................152.3.1 Enterprise EDMS Goal..............................................................................................152.3.2 City Objectives...........................................................................................................152.4 Citywide EDMS Deployment Strategy.......................................................................16

Figure 1: City of Stockton Deployment Approach.....................................................172.4.1 Enterprise EDMS / Automated Workflow Solution Deployment.................................17




Figure 2: Enterprise EDMS Implementation.............................................................182.5 Guidelines..................................................................................................................18

Section 3 Business, Functional and Technical Requirements.............................................20

3.1 Business and Functional Requirements....................................................................203.1.1 Community Development Permit Process................................................... .203.1.2 City Manager.............................................................................................. . .213.1.3 City Clerk......................................................................................................223.1.4 Administrative Services ................................................................................233.1.5 Community Development, Building Permits................................................ .253.1.6 City Attorney............................................................................................... . .26

3.2 Systems Requirements..............................................................................................273.2.1 Mandatory Systems Requirements Form..................................................................273.2.2 Hardware...................................................................................................................29

Figure 3: Scan Station Hardware / Software.............................................................303.2.3 Software....................................................................................................................30

Figure 4: EDMS Concurrent User Assumptions........................................................303.2.3.1 EDMS Functionality Matrix .......................................................................................31

Figure 5: EDMS Features & Functions Matrix...........................................................33Document Capture.....................................................................................33Scanning....................................................................................................34Document Management............................................................................41Business Process Management................................................................48Collaborative Process Management..........................................................51E-Government Services.............................................................................52Operational and Design Requirements......................................................55

3.3 Professional Services ...............................................................................................643.3.1 Implementation .........................................................................................................643.3.2 Integration..................................................................................................................64

Figure 6: Enterprise Application Integration Requirements........................................653.3.3 Backfile Conversion...................................................................................................66

Figure 7: Backfile Conversion by Departments..........................................................66

Section 4 Scope of Work ........................................................................................................67

4.1 Part A. Systems Integration Services.......................................................................671. Project Management...........................................................................................672. Requirements Validation.....................................................................................683. Design & Configure EDMS & Scan-stations........................................................684. Implement EDMS Solutions................................................................................685. Implement Automated Workflow Solutions..........................................................686. System Production Testing.................................................................................687. Systems & End User Documentation & Training.................................................688 EDMS Delivery, System Acceptance Testing and Cut-Over...............................699 Systems Maintenance & Ongoing Technical Support.........................................69

4.2 Part B. EDMS Software............................................................................................694.3 Part C. Backfile Conversion Services.......................................................................70 4.3.1 Backfile Conversion...................................................................................................70

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Section 5 Required Proposal Submission Contents.............................................................74

5.1 Letter of Transmittal...................................................................................................745.2 Table of Contents......................................................................................................745.3 Mandatory Systems Requirements Form..................................................................745.4 Executive Summary...................................................................................................745.5 Section 1: Company Background............................................................................745.6 Section 2: Firm’s Systems Integration Qualifications...............................................745.7 Section 3: Similar EDMS Projects...........................................................................755.8 Section 4: Client References...................................................................................755.9 Section 5: Approach to the Project..........................................................................755.9.1 Project Organization..................................................................................................755.9.2 Technical Approach...................................................................................................755.9.3 Project Management Approach.................................................................................785.10 Section 6: Scope of Work & Deliverables................................................................78

Part A: EDMS Implementation Professional Services...........................78Part B: EDMS Software Solution...........................................................78Part C: Backfile Conversion Services....................................................79

5.11 Section 7: Project Schedule....................................................................................795.12 Section 8: Cost Proposal.........................................................................................795.13 Section 9: Consultant Services Agreement.............................................................805.14 Section 10: Conflict of Interest..................................................................................80

Section 6 Evaluation Procedure and Criteria ........................................................................81

6.1 GENERAL TERMS AND CONDITIONS....................................................................816.1.1 Firm is not an Employee of City.................................................................................816.1.2 Product Ownership....................................................................................................816.1.3 Licensing Requirements............................................................................................816.1.4 Development Costs...................................................................................................82

Attachments:

Attachment 1 CDD Development Permit ProcessAttachment 2 City Clerk Receiving - Disposition Process Attachment 3 Admin Services Accounts Payable ProcessAttachment 4 CDD Building Division Building Permit ProcessAttachment 5 Stockton EDMS Reference FormAttachment 6 Stockton EDMS Cost SummaryAttachment 7 Stockton EDMS Non-Collusion AffidavitAttachment 8 Stockton IT EnvironmentAttachment 9 Consultant Services AgreementAttachment 10 Additional Insurance SampleAttachment 11 Sample Insurance FormAttachment 12 Proponent’s Agreement




NOTICE INVITING PROPOSALS

NOTICE IS HEREBY GIVEN that Request for Proposals (RFP) are invited by the City of Stockton, California for specifications for ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SOLUTION (PUR 06-105) in strict accordance with the specifications.

The City seeks to acquire a state-of-the-art Electronic Document and Records Management Solution. In addition, the City seeks the services of a highly qualified Software Vendor / Systems Integration firm with expert professional, technical EDMS / Automated Workflow implementation and integration service capabilities for the purpose of implementing the aforementioned solution.

Proposal forms and specifications are available on the City’s web site at http://www.stocktongov.com/business/bidflash.cfm and must be delivered to the Office of the City Clerk, City Hall, 425 North El Dorado Street, Stockton, up to but not later than, Thursday April 26, 2007,

Due to the large number of potential respondents, those wishing to bid on this project must acknowledge receipt of this RFP via e-mail to Tony DeGruy at [email protected], by 5:00 PM PST March 16, 2007.

The City reserves the right to reject any and/or all proposals received.

Information on Technical Data Information on Bid Process/ClarificationTony A. DeGruy, IT Program Manager Dave Milton, Sr. Buyer(209) 937-8554 (209) 937-8608e-mail: [email protected] kton.ca.us e-mail: [email protected]

DISCLAIMER: The City does not assume any liability of responsibility for errors/omissions in any document transmitted electronically.

Dated: March 10, 2007

//s//KATHERINE GONG MEISSNERCITY CLERK OF THE CLERK


mailto:[email protected]



http://www.stocktongov.com/business/bidflash.cfm



PROPONENT'S CHECKLIST - CITY OF STOCKTON / PURCHASING DIVISION

Did You:*___ Sign and notarize by Jurat certificate the "Non-Collusive Affidavit" form. An "All-Purpose

Acknowledgment" form will not be sufficient.

*___ Complete and sign the "Proponent's Fee Schedule" form (under separate cover).

*___ Sign the "Proponent’s Agreement" form.

___ Include your $ 0.00 proponent's security, proponents bond, certified or cashier's check.

___ Sign, and include with proposal, all Letters of Clarification.

*___ Submit one (1) ORIGINAL, TEN (10) COPIES and one (1) CD-ROM of all proposal documents.

*___ Deliver sealed proposal to City Hall, City Clerk's Office (1st floor), 425 North El Dorado Street, Stockton, CA 95202, before April 26, 2007 at 2:00 p.m. Sealed proposal shall be marked "Proposal" and indicate project name, number, and proposal opening date. Please note that some overnight delivery services do not deliver directly to the City Clerk's Office. This could result in the proposal arriving in the City Clerk's Office after the proposal opening deadline and therefore not being accepted.

A) “RFP – TO PROVIDE AN ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SOLUTION”

B) PUR 06-105

C) APRIL 26, 2007

CONTACT INFORMATION:

Information on Technical Matters: Information on RFP Process/clarification:

Tony DeGruy at (209) 937-8554e-mail: [email protected]

Dave Milton at (209) 937-8608e-mail: [email protected]

*If not completed as required, your proposal may be voided.

DISCLAIMER: The City does not assume any liability or responsibility for errors/omissions in any document transmitted electronically.

THIS FORM IS FOR YOUR INFORMATION ONLY AND DOES NOT NEED TO BE SUBMITTED WITH YOUR PROPOSAL.






1. GENERAL INFORMATION

1.1 REQUEST FOR PROPOSAL (RFP) PROCESS

The purpose of this Request for Proposal (RFP) is to request proponents to present their qualifications and capabilities to provide ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SOLUTION (PUR 06-105) for the City of Stockton.

1.2 INVITATION TO SUBMIT A PROPOSAL

Proposals will be received until the hour of 2:00 p.m., on Thursday, April 26, 2007, in the office of:

CITY CLERKCITY OF STOCKTON425 NORTH EL DORADO STREETSTOCKTON, CA 95202-1997

One (1) original, ten (10) bound copies, one unbound and one (1) CD-ROM (containing) of the proposal shall be submitted. The proposal should be firmly sealed in an envelope which shall be clearly marked on the outside, "ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SOLUTION for the City of Stockton (PUR 06-105)." Any proposal received after the due date may not be accepted and may be rejected and returned, unopened, to the proposer.

In addition to the above requirement, proposal responses may be submitted in electronic form in MS WORD format. DISCLAIMER: The City does not assume any liability or responsibility for errors/omissions in any document transmitted electronically.

Proponent may submit more than one proposal provided the proposal meets the functional requirements.

1.3 LOCAL BUSINESS PREFERENCE

Stockton Municipal Code Section 3-106.1 reads as follows:

Preference shall be given to the purchase of supplies, materials, equipment and contractual services from local merchants, quality and price being equal. Local merchants who have a physical business location within the boundaries of San Joaquin County, and who have applied for and paid a business license tax and registration fee pursuant to Stockton Municipal Code Chapter 6, Division 5, shall be granted a three (3) percent bid preference. The three (3) percent preference shall be based on the amount of that portion of the bid which is subject to sales tax. This is intended to provide preference in the award of certain City contracts in order to encourage businesses to move into the City.

061020 Stockton EDMS RFP FINAL.doc 7



1.4 CONSEQUENCE OF SUBMISSION OF PROPOSAL

A. The City shall not be obligated to respond to any proposal submitted nor be legally bound in any manner by the submission of a proposal.

B. Acceptance by the City of a proposal obligates the proponent to enter into an agreement with the City.

C. An agreement shall not be binding or valid against the City unless or until it is executed by the City and the proponent.

D. Statistical information contained in these documents is for informational purposes only. The City shall not be responsible for the accuracy of said data. City reserves the right to increase or decrease the project scope.

1.5 ACCEPTANCE OR REJECTION OF PROPOSAL

The City reserves the right to select the successful proposal and negotiate an agreement as to the scope of services, the schedule for performance and duration of the services with proponent(s) whose proposal(s) is/are most responsive to the needs of the City. Further, the City reserves the right to reject any and all proposals, or alternate proposals, or waive any informality or irregularity in the proposal as is in the City's best interest.

The City reserves the right to reject any and all proposals, or portions thereof, received in response to the Request or to negotiate separately with any source whatsoever, in any manner necessary, to serve the best interests of the City. Additionally, the City may, for any reason, decide not to award an agreement(s) as a result of this Request.

Non-acceptance of any proposal shall not imply that the proposal was deficient. Rather, non-acceptance of any proposal will mean that another proposal was deemed to be more advantageous to the City or that the City decided not to award an agreement as a result of this Request.

1.6 RIGHT TO CHANGE OR AMEND REQUEST

The City reserves the right to change the terms and conditions of this Request. The City will notify potential proponent(s) of any material changes by posting on the City’s website. No one is authorized to amend any of the Request requirements in any respect, by an oral statement, or to make any representation or interpretation in conflict with their provisions. If necessary, supplementary information and/or clarifications/questions/answers will be posted on the City’s website @ http://www.stocktongov.com/business/bidflash.cfm . Failure of any proponent to not have received such information and/or clarifications/questions/answers shall not relieve such proponent from any obligation under his/her proposal as submitted.

Any exceptions to this Proposal shall be clearly stated in writing.





1.7 CANCELLATION

The City reserves the right to rescind award of the contract at any time before execution of the contract by both parties if rescission is deemed to be in City’s best interest. In no event shall City have any liability for the rescission of award. The proponent assumes the sole risk and responsibility for all expenses connected with the preparation of its proposal.

1.8 EXAMINATION OF PROPOSAL MATERIALS

The submission of a proposal shall be deemed a representation and warranty by the proponent that it has investigated all aspects of the Request, that it is aware of the applicable facts pertaining to the Request process and its procedures and requirements, and that it has read and understands the Request. No request for modification of the provisions of the proposal shall be considered after its submission on the grounds the proponent was not fully informed as to any fact or condition. Statistical information which may be contained in the Request or any addendum is for informational purposes only. The City disclaims any responsibility for this information which may subsequently be determined to be incomplete or inaccurate.

1.9 ADDENDA AND INTERPRETATION

The City will not be responsible for, nor be bound by, any oral instructions, interpretations, or explanations issued by the City or its representatives. Any request for clarifications/questions/answers of this Request shall be made in writing/e-mail and deliverable to:

CITY OF STOCKTON

ATTN: TONY A. DEGRUY

CITY CLERK’S OFFICE

425 NORTH EL DORADO STREET

STOCKTON, CA 95202-1997

[email protected]

Such request for clarifications/questions/answers shall be delivered to the City at least ten (10) calendar days prior to the date for receipt of proposals. Any City response to a request for clarifications/questions/answers will be posted on the City’s website at http://www.stocktongov.com/business/bidflash.cfm (not later than five (5) calendar days prior to the due date), and will become a part of the Request. The proponent should await responses to inquires prior to submitting a proposal.

1.10 DISQUALIFICATION

Any of the following may be considered cause to disqualify a proponent without further consideration:






A. Evidence of collusion among proponents;

B. Any attempt to improperly influence any member of the evaluation panel;

C. A proponent's default in any operation of a professional services agreement which resulted in termination of that agreement; and/or

D. Existence of any lawsuit, unresolved contractual claim, or dispute between proponent and the City.

1.11 INFORMAL PROPOSAL REJECTED

A proposal shall be prepared and submitted in accordance with the provisions of these Request instructions and specifications. Any alteration, omission, addition, variance, or limitation of, from, or to a proposal may be sufficient grounds for rejection of the proposal. The City has the right to waive any defects in a proposal if the City chooses to do so. The City may not accept a proposal if any document or item necessary for the proper evaluation of the proposal is incomplete, improperly executed, indefinite, ambiguous, or missing.

1.12 CONDITIONS TO BE ACCEPTED IF ANY WORK IS SUBCONTRACTED

A. The proponent assumes full responsibility, including insurance and bonding requirements, for the quality and quantity of all work performed.

B. If proponent's supplier(s) and/or subcontractor's involvement requires the use of a licensed, patented, or proprietary process, the proponent of the process is responsible for assuring that the subcontractor, supplier, and/or operator have been properly authorized to use the process or for providing another process which is comparable to that which is required prior to submission of a proposal.

1.13 LICENSING REQUIREMENTS

Any professional certifications or licenses that may be required will be the sole cost and responsibility of the successful proponent.

A City of Stockton Business license may be required for this project. Please contact the City of Stockton Business License Division at (209) 937-8313.

1.14 INSURANCE REQUIREMENTS

Proponent, at proponent's sole cost and expense and for the full term of the resultant agreement or any extension, shall obtain and maintain at least all of the insurance requirements listed in Exhibit. All policies, endorsements, and certificates shall be subject to approval by the Risk Manager of the City of Stockton as to form and content. These requirements are subject to amendment or waiver if




so approved in writing by the Risk Manager. Proponent agrees to provide City with a copy of said policies, certificates, and/or endorsements.

The proponent shall satisfy these insurance requirements concurrently with the signing of the contract prior to commencement of work. Please contact City of Stockton Risk Management at (209) 937-8629.

Proof of insurance coverage for personal injury and property damage, including commercial general and automobile liability and contractual liability shall be provided in the amount of not less than $1,000,000 and in a form acceptable to the City. The City of Stockton shall be named an additional insured by separate endorsement. Carrier shall provide notice to the City of any change in or limitation of coverage or of cancellation no less than 30 days prior to the effective date. Proof of worker's compensation coverage pursuant to statutory requirements shall also be provided.

Errors & Omissions – In addition, Professional Liability (Errors & Omissions) coverage will be required at $1,000,000 per claim.

All coverage shall be provided by a carrier authorized to transact business in California and shall be primary.

1.15 HOLD HARMLESS DEFENSE CLAUSE

The contractor shall indemnify, defend, and save harmless the City against all loss, cost, or damage on account of any injury to persons or property, including employees or property of the City, contractor or third parties, occurring in the performance of the contract.

1.16 APPLICABLE LAW

This agreement shall be governed by the laws of the State of California. Venue shall be proper in the Superior Court of the State of California, county of San Joaquin, Stockton Branch, or, for actions brought in Federal Court, the United States District Court for the Eastern District of California, Sacramento Division.

1.17 METHOD OF PAYMENT

Payment will be made within thirty (30) days after invoices are received and accepted by the City Manager. Invoices are to be rendered monthly.

1.18 NOTICE TO OUT-OF-STATE VENDOR

Do not charge any sales or use tax on this purchase. The City of Stockton will pay all applicable sales / use tax directly to the State of California for this purchase.

It is the policy of the City of Stockton to pay all applicable California sales / use tax directly to the State Board of Equalization (BOE) pursuant to California Revenue and Taxation Code 7051.3. The City of Stockton will self-accrue all sales/use tax on purchases made from out-of-state vendors.




Sales and use tax on purchases made by the City of Stockton from all companies located outside California and whose products are shipped from out of state will be remitted to the BOE directly by the City under permit number SR KHE 28-051174 DP. Please do not include sales/use tax on the invoice that you submit to the City of Stockton.

Questions regarding the City of Stockton’s payment of sales/use tax can be directed to Jim Leonardini at (209) 937-7007.

1.19 TERM

The term of the contract for this project will be three (3) years. With two (2) additional one (1) year terms at City of Stockton’s discretion.

1.20 COMPETITIVE PRICING

Proponent warrants and agrees that each of the charges, economic or product terms or warranties granted pursuant to this Contract are comparable to or better than the equivalent charge, economic or product term or warranty being offered to any similarly situated commercial or other government customer of proponent. If proponent enters into any arrangements with another customer of proponent to provide product under more favorable charges, economic or product terms or warranties, proponent shall immediately notify CITY of such change and this Contract shall be deemed amended to incorporate the most favorable charges, economic or product terms or warranties.

1.21 FUNDING

Any contract which results from this Request will terminate without penalty at the end of the fiscal year in the event funds are not appropriated for the next fiscal year. If funds are appropriated for a portion of the fiscal year, this contract will terminate without penalty, at the end of the term for which funds are appropriated.

1.22 UNCONDITIONAL TERMINATION FOR CONVENIENCE

The City may terminate the resultant agreement for convenience by providing sixty (60) calendar day advance notice unless otherwise stated in writing.

1.23 AUDITING OF CHARGES AND SERVICES

The City reserves the right to periodically audit all charges and services made by the successful proponent to the City for services provided under the contract. Upon request, the proponent agrees to furnish the City with necessary information and assistance.




1.24 CHANGES

The City’s Representative has the authority to review and recommend or reject change orders and cost proposals submitted by the proponent or as recommended by the proponent’s project manager, pursuant to the adopted City of Stockton Standard Specifications.

1.25 AWARD

Upon conclusion of the Request process, a contract may be awarded for ELECTRONIC DOCUMENT AND RECORDS MANAGEMENT SOLUTION (PUR 06-105) for the City of Stockton.The City reserves the right to select the successful proponent and to negotiate terms of a contract with the proponent(s) whose proposal(s) is / are most responsive to the needs of the City. Further, the City reserves the right to reject any and all proposals, or alternate proposals, or waive any informality in the proposal as is in the City's best interest.

1.26 PRODUCT OWNERSHIP

Any documents, products or systems resulting from the contract will be the property of the City of Stockton

1.27 CONFIDENTIALITY

If proponent believes that portions of a proposal constitute trade secrets or confidential commercial, financial, geological, or geophysical data, then the proponent must so specify by, at a minimum, stamping in bold red letters the term "CONFIDENTIAL" on that part of the proposal which the proponent believes to be protected from disclosure. The proponent must submit in writing specific detailed reasons, including any relevant legal authority, stating why the proponent believes the material to be confidential or a trade secret. Vague and general claims as to confidentiality will not be accepted. The City will be the sole judge as to whether a claim is general and/or vague in nature. All offers and parts of offers that are not marked as confidential may be automatically considered public information after the contract is awarded. The proponent is hereby put on notice that the City may consider all or parts of the offer public information under applicable law even though marked confidential.

1.28 OTHER GOVERNMENTAL AGENCIES

If mutually agreeable to all parties, the use of any resultant contract/purchase order may be extended to other political subdivisions, municipalities, or tax supported agencies.

Such participating governmental bodies shall make purchases in their own name, make payment directly to successful bidder and be liable directly to the successful bidder, holding the City of Stockton harmless.




1.29 MANDATORY PRE - BID CONFERENCE

A mandatory Pre-Bid Conference will take place on Wednesday April 4, 2007. The conference will take place from 9:00 – 12:00 PST. A teleconference number for this conference will be provided via e-mail to those wishing to have additional participants via telephone

1.30 PREVAILING WAGES

Prevailing wage rates are required for this project according to State and Federal Labor laws.

1.31 PROPONENT’S SAFETY RESPONSIBILITY

The scope of work for this project has been reviewed for special risks or hidden dangers that may be present to employees of the proponent or any subcontractor. The proponent is required to identify, notify employees, and implement special precautions to prevent injuries to employees. Additionally, the proponent is required to identify its skill, experience, and equipment in dealing with the types of risk to employees.




2. BACKGROUND INFORMATION

2.1 CITY OF STOCKTON

The City of Stockton is one of California's fastest growing communities. Stockton is currently the 13th largest city in California with a dynamic, multi-ethnic and multi-cultural population of over 291,000. It is situated along the San Joaquin Delta waterway, which connects to the San Francisco Bay and the Sacramento and San Joaquin Rivers. Stockton is located 60 miles east of the San Francisco Bay Area, 83 miles east of San Francisco, and 45 miles south of Sacramento, the capital of California.

2.2 CITY OF STOCKTON EDMS PROGRAM BACKGROUND

The documents of the City are an important resource for its residents as well as public officials. Documents are currently kept in numerous formats including paper, imaged copies, on-line computer systems, desktop hard drives, magnetic tape and optical media. City documents can include everything from timesheets, e-mails, correspondence, contracts, drawings, subdivision plans, reports, council minutes and blueprints to photographs, videotapes, databases and images.

The City of Stockton currently does not have consistent operating principles, processes, procedures, standards or technology for managing documents on a citywide basis. The City is therefore interested in implementing an EDMS / Automated Workflow solution on a citywide basis.

A high level enterprise EDMS Requirements / Implementation Strategy was completed in December 2005. Subsequently, a citywide records management program was carried out in the summer of 2006, which included an assessment and development of an indexing schema for the City’s documents. This RFP document seeks Systems Integration / Vendors to carry out a multi-phased EDMS Implementation Program.

2.3 GOALS AND OBJECTIVES OF THE ENTERPRISE EDMS PROGRAM

2.3.1 Enterprise EDMS Goal

The goal of the City’s is to deploy an enterprise EDMS solution that is cost effective, strategic and can optimize City staff resources, allowing City Departments to effectively meet the growing demands of the community by streamlining internal business processes and enhancing service delivery to the public.

2.3.2 City Objectives

The high level EDMS project objectives include the following:

The City desires to acquire a state-of-the-art system or the use thereof of the same, embracing best business practices embedded in the software.




The proposed software and services should effect a transformation of inefficient and antiquated business practices to industry best business practices, enabling the City’s workforce to be more efficient and improve customer service.

The City seeks a vendor that will continually enhance the proposed software, via provision of upgrades and new version releases throughout the duration of the City’s use of the systems purchased, so as to continually reflect industry best practices and requirements for local government.

The City seeks a Proposer team that will provide all software and requested implementation services. This team may be a single firm or a software company and implementation firm team submitting a single, combined proposal for all required products and services.

In general, the City prefers integrated, full-function software supported by a single supplier as opposed to “best of breed” where the different components are produced by different firms.

The City wishes to implement the selected software in multiple phases in order to provide sufficient support during the implementation, without compromising its ongoing operations.

The City intends to implement an out-of-the-box “vanilla” software package and to limit the amount of customizations (i.e., changes to source code) made to the base software.

The City seeks software based on a user-friendly EDMS seamlessly interfaced and integrated with automated workflow in order to foster wide acceptance and use of the system throughout the organization.

The City seeks a system that shall provide a common integrated repository for information to enable better integration of data on a citywide scale, and to improve the entire organization’s capacity to operate more efficiently and effectively.

The City seeks a system that includes easy-to-use reporting tools that will enable end users to access information stored in a single, integrated relational database for analysis without requiring programmer support or becoming heavily dependent upon programmer consultants.

The City prefers software web-based modules integrated through a common database platform. Third-party products that require interfaces shall be minimized.

2.4 CITYWIDE EDMS DEPLOYMENT STRATEGY

The purpose of the RFP is to provide interested Proposers with sufficient information to enable them to submit proposals to supply software and implementation services that will fulfill the specified information processing needs of the City. The City is soliciting proposals for a comprehensive, fully integrated Electronic Document Management System (including a number of key functional components) that is flexible and scaleable in order to meet its future business and technology needs. The desired system function includes:

Electronic Document Management Citywide Electronic Records Management Document Viewing, Editing and Annotating Citywide Internal Web Access Web-Enabled Services Public Web Access to City Documents




Automated Workflow / Collaborative Process Management e-Forms e-Signatures Small / Large Scale Document Imaging Integration with Other City Systems

The Citywide EDMS deployment strategy consists of a two pronged / parallel track approach in response to the City’s acute need to mitigate the amount of paper currently produced, processed and stored in the existing workplace environment. The deployment strategy includes the following:

1. Deploy enterprise EDMS solutions to the three groups identified in the Scope of Work, using a four-phase deployment to spread out the City’s investment, minimize risk, and ensure success;

2. Deploy Automated Workflow solutions in the first EDMS deployment group, when phase two of the EDMS deployment is underway, and deploy Automated Workflow solutions in the Group 2 EDMS deployment when the phase three EDMS deployment is underway. The following figure illustrates the implementation strategy.

Figure 1: City of Stockton Deployment Approach

The Automated Workflows for Group 2 and 3 will be determined at a later date, and are not part of this solicitation.

2.4.1 Enterprise EDMS / Automated Workflow Solution Deployment

The City seeks a highly capable Software Vendor / Systems Integrator that can execute an enterprise EDMS / Automated Workflow business process deployment approach, to deploy an EDMS to automate critical City business operations.

The City intends to deploy the EDMS in phases over the next two years, ensuring that each phase is successful before expanding to the next. Using this approach, the initial pilot installations will allow the City to evaluate the success and support requirements of the system before adding new user groups or automated business processes. The City has determined that the enterprise deployment of EDMS will be carried out in four phases within the overall City strategy, including the following groups:Figure 2: Enterprise EDMS Implementation




Group 1: 1. Public Works 2. City Manager 3. City Clerk 4. Administrative Services 5. Community Development 6. City Attorney

Group 2: 7. Human Resources 8. Neighborhood Services 9. Municipal Utility District

10. Auditor11. Office of Economic Development (Housing & Redevelopment)

Group 3: 12. Fire 13. Parks & Recreation 14. Police Department 15. Library The requirements for Phase 1 Departments that will receive Records Management and Automated Workflow solutions (in addition to EDMS) are described in Section 3, Business, Functional and Tech-nical Requirements. For purposes of responding to this RFP, Proposers can assume that Group 2 and 3 Departments will only receive Imaging and EDMS solutions as shown in Figure 1 on the previ-ous page.

2.5 GUIDELINES

When responding to this RFP, Proposers should follow all instructions carefully. Please submit proposal contents according to the outline specified (see Section 5, Required Proposal Submission Contents) and submit all hard copy and electronic documents according to the instructions. Failure to follow these instructions may result in your proposal being assessed as unresponsive and may result in its elimination from further consideration.

Proposers should take special note of the following:

All spreadsheets included with this RFP (as Exhibits) should be completed. These spreadsheets shall be used for identifying all proposal costs and special terms. Proposer formatted quotes may be included as supplementary information.

The basis for identifying staff must be in hours, not FTEs (full time equivalents). Analysis of the staffing levels will be made on the basis of hours; no recalculation will be done in order to maintain consistency during proposal comparisons.

Proposers must ensure their implementation costs and staffing estimates identified in the cost matrices are consistent with their staffing estimates noted in the staffing matrix.

When describing training plans and costs for City project team members, Proposers must define training in terms of class type, hours (not units), and state where the training will take place (e.g. at the customer’s site, or at a software training site).




Proposers will NOT be allowed to demonstrate any functionality that is not included as part of the cost proposal.

All products proposed must be commercially available at the time of proposal submission. The City will not accept proposals offering Beta (or future/proposed) versions of any software product.

All functionality identified in the software requirements matrix in Section 3 must be included in the cost proposal.

The City reserves the right to purchase only the functional modules and services that they desire.




3. BUSINESS, FUNCTIONAL AND TECHNICAL REQUIREMENTS

3.1 BUSINESS AND FUNCTIONAL REQUIREMENTS

The following provides an overview of the business and functional requirements of the Group 1 Departments, which will receive Document / Records Management and Automated Workflow solutions, based on their unique business and functional requirements. 3.1.1 Community Development Permit Process

Background Information

The Community Development Department is responsible for establishing policies and goals for long-range plans to provide for the orderly growth of the community, management of the Permit Center, promotion and preservation of architecturally and historically significant resource, and providing staff support services to the Cultural Heritage Board.

The Community Development staff directs and coordinates the activities of the Building and Planning Divisions to ensure that applicable codes and laws are implemented and the directives of the City Council and City Manager are carried out.

Community Development is currently carrying out the backfile conversion of documents which will be stored in the proposed enterprise EDMS.

Community Development Objectives

Community Development’s objectives are to enhance the Community Development Permit Process via the following capabilities:

1. EDMS requirements: Store electronic and scanned documents in a robust, enterprise EDMS with expanded

accessibility to electronic content via the City’s Intranet / Internet, as appropriate. Store and access applications, plans, etc., and provide easy access to previous applications

and relevant information

2. Imaging requirements: Implement imaging solution to support scanning and linking of hardcopy documents to

e-applications that are part of this process. Implement small and large document scanning devices, integrated with the EDMS. Implement standard number and naming conventions.

3. Automated Workflow: Community Development Permit requirements: Allow Customers to submit Applications, including PDFs of supporting documents, on–line,

storing that data in a database, replacing existing Access and Excel databases. Provide e-Forms using intelligent, dynamic e-Forms for generating the initial application, as

an alternate to emails and faxes, and provide the use of e-Signature.




Allow Customers to submit plan documents electronically, and provide electronic redlining of plans

Implement a uniform Community Development Permit method / process with clearly defined roles and responsibilities for all participants in the process.

Allow City staff to track the process, e.g.: Determine the physical location and completion status of the file or project during

processing so Staff can easily answer customer inquiries. Allow Customers and/or outside agencies to check the status via the Internet. Produce summary results

See Attachment 1 for an illustration of the proposed business process.

4. Integration requirements: Integrate with HTE Interface with ESRI / GIS City Link (City Intranet) and the City’s Website GroupWise email (Interface will only allow that documents stored in the EDMS be attached

to GroupWise emails as attachments.)

3.1.2 City Manager


The City Manager’s responsibilities include: Providing information to assist the Council in setting up policy; Implementing City Council policy; Supervising the operation of City Departments; Reporting to the council on administrative activities.

The City Manager directly oversees the following Departments / Divisions: Economic, Housing & Redevelopment Department Fire Department Police Department

City Manager’s EDMS Objectives

The City Manager’s objectives include:

1. EDMS requirements: Store existing scanned documents in a robust enterprise EDMS with expanded accessibility

to electronic content via the City’s Intranet / Internet. Store and access documents and provide easy access electronic content stored in the

EDMS, e.g. Justification Letters, Newsletters, Maps, Contracts, Agreements, etc.

2. Imaging requirements: Implement imaging solution to support scanning of hardcopy documents. Implement a small document scanning device integrated with the EDMS. Implement standard indexing conventions for documents produced, received and processed




in the City Manager’s Office.

3. Automated Workflow requirements:None identified for the Department.

4. EDMS Integration requirements: GroupWise email (Interface will only allow that documents stored in the EDMS be attached

to GroupWise emails as attachments.) Agenda Plus System (by Alpha Corp) City Link (City Intranet) and the City’s Website ESRI / GIS

3.1.3 City Clerk


The City Clerk is the official record keeper of the City’s original legislative records including: agendas, minutes, agreements, contracts, etc. Tens of thousands of documents containing multiple pages are received and processed annually. Some files and records are maintained in original paper form; older and/or inactive records are kept in off-site storage. Selected paper records are currently scanned and maintained electronically. These documents will be stored in the proposed enterprise EDMS. The City Clerk is currently implementing an Automated Agenda application, AgendaPlus System (by AlphaCorp). The City seeks an EDMS that can interface with this system.

City Clerk’s EDMS Objectives

The City Clerk’s objectives include:


accessibility to electronic content via the City’s Intranet / Internet, as appropriate. Address physical file tracking, records retention, destruction documentation, information

queries, data validation, electronic document management, document version control, information sharing, webpage archiving and imaging and workflow system interfaces.

Preserve the City's vital records. Improve access to and delivery of information to citizens and staff via the Web. Maintain a system that is easy to use.


e-applications that are part of this process. Implement a small document scanning device, integrated with the EDMS. Implement standard number and naming conventions.

3. Records Management requirements: Develop a standard uniform filing plan used throughout the City, to manage the

management, archiving and destruction of documents and records.




Electronically manage and organize records through a single records management interface and enforce a standard system for managing the entire document lifecycle regardless of media type.

Reduce record handling processes that are conducted manually leaving the City vulnerable to inaccuracies and inefficiencies.

Effective and efficient management of the citywide records inventory. Use of automated tools that adequately address the full spectrum of records management

functionality.

4. Automated Workflow Pilot: Document Receiving, Retrieving, Disposition Use of automated tools that adequately address the full document life cycle, e.g., receive,

date stamp, determine distribution, scan / index, assign retention, and disposition (e.g., issue automatic email and work list notification to various recipients).

Provide an imaging system, made up of a high-speed scanner and state-of-the-practice imaging software, to capture hardcopy documents in this business process.

Provide ability to receive Faxed, emailed or scanned documents into the business process and released into the EDMS.

Provide scanned documents into the business process and released into the EDMS. Participants in this Automated Business Process include the following: City Clerk, City

Council, City Manager, City Attorney, and City Departments. See Attachment 2 for an illustration of the proposed business process.

5. EDMS Integration requirements: Agenda Plus System (by Alpha Corp) City Link (City Intranet) and the City’s Website GroupWise email (Interface will only allow that documents stored in the EDMS be attached


3.1.4 Administrative Services


The Administrative Services Department is responsible for providing a variety of services to other City departments and to the public, including: Directing City financial planning efforts Monitoring revenues; billing, collecting, investing and disbursing all funds Reporting on accounting and financial activities Utility Billing Utility Users Tax Reprographics (print shop) Information Technology (IT) Coordinating the City's purchasing activities Administering long-term debt Animal Licenses Risk Management Occupational Licenses




Administrative Services is currently carrying out the backfile conversion of documents which will be stored in the proposed enterprise EDMS.

Administrative Services EDMS Objectives

The Administrative Service’s objectives include:


accessibility to electronic content via the City’s Intranet / Internet, as appropriate. Address electronic document management, document version control, information sharing,

webpage archiving, imaging and workflow system interfaces. Preserve various Administrative Services vital records and documents, e.g., financial, utility,

billing, tax, purchasing, business and animal licenses, and risk management. Improve access to, and delivery of, information to citizens and staff via the Web. Implement an EDMS system that is easy for staff to use.


e-applications that are part of this process. Implement a small document scanning device integrated with the EDMS. Implement standard number and naming conventions.

3. Records Management requirements: Develop a standard uniform filing plan used throughout the City to manage the archiving and

destruction of documents and records. Electronically manage and organize records through a single records management interface

and enforce a standard system for managing the entire document lifecycle regardless of media type.


Effective and efficient management of records inventory. Use of automated tools that adequately address the full spectrum of records management

functionality.

4. Automated Workflow Pilot: Accounts Payable Process Provide an imaging system, made up of a high-speed scanner and state-of-the-practice

imaging software, to scan backup documents, i.e. hardcopy vendor invoice and packing slips.

Use Automated Workflow to provide electronic notification to AP that PO has been received. Link scanned backup information to records in HTE. Explore using the Automated Workflow shared work list with one of the fields in the work list

being Invoice Amount. Explore feasibility of writing a custom report to summarize amounts by check run. Integrate HTE spooled checks to automatically release them into the EDMS. Participants include: all City Departments, Purchasing / Accounts Payable. See Attachment 3 for an illustration of the proposed business process.




5. EDMS Integration requirements: Integrate with HTE / AS400 City Link (City Intranet) and the City’s Website GroupWise email (Interface will only allow that documents stored in the EDMS be attached

to GroupWise emails as attachments.) Real Vision Imaging (RVI)

3.1.5 Community Development, Building Permits


The Community Development Department is responsible for establishing policies and goals for long-range plans to provide for the orderly growth of the community, management of the Permit Center, promotion and preservation of architecturally and historically significant resource, and providing staff support services to the Cultural Heritage Board. The Community Development staff directs and coordinates the activities of the Building and Planning Divisions to ensure that applicable codes and laws are implemented and the directives of the City Council and City Manager are carried out.

Community Development has an On-Base system installed, used as a standalone imaging system. Community Development started day-forward scanning in 2005, sending documents to a vendor for conversion. The backfile conversion work continues as of this writing. All of these documents will be stored in the proposed enterprise EDMS.

Community Development EDMS Objectives

Community Development’s objectives include:


accessibility to electronic content via the City’s Intranet / Internet, as appropriate. Address electronic document management, document version control, information sharing,

webpage archiving, imaging and workflow system interfaces. Preserve Community Development vital records and documents, e.g., Application Plans,

specifications, paperwork associated with plans and Permits. Improve access to, and delivery of, information to citizens and staff via the Web. Implement an EDMS system that is easy for staff to use.







management, archiving and destruction of documents and records. Electronically manage and organize records through a single records management interface




functionality.

4. Automated Workflow: None identified for the Department at this time.

5. EDMS Integration requirements: HTE / AS400: Provide integration between HTE and EDMS to provide access to all

documents, and previously amended permits, in the EDMS City Link (City Intranet) and the City’s Website GroupWise email (Interface will only allow that documents stored in the EDMS be attached


3.1.6 City Attorney


The City Attorney's Office is committed to providing professional, quality legal services that ultimately protect the interests of the City of Stockton, its departments, the City Council, and the citizens of the community. It provides a full range of dedicated, in-house legal services intended to ensure the legality of legislation, contracts, and programs, as well as ethically and competently defending legal actions filed against the City and its employees. Functions of the City Attorney's Office: Provides legal advice to City Council members, officials, boards, commissions, and City

departments regarding legal and regulatory matters of concern to the City and its operations; Works with other City departments and divisions on legal matters to defend the City from legal

action(s) brought against it, initiates lawsuits, code enforcement compliance, collection of monies owed to the City, and eminent domain proceedings;

Drafts and reviews ordinances, resolutions, contracts, bonds, deeds, and other legal documents as requested by the City Council or other officials;

Administers self-insurance tort liability program, including claims investigation and resolution; Prosecutes violations of the Stockton Municipal Code; and Responds to critical incidents and handles all claims submitted to the City under the

Government Tort Claims Act.City Attorney’s EDMS Objectives

The City Attorney’s objectives include:

1. EDMS requirements:




Store electronic and scanned documents in a robust, enterprise EDMS with expanded accessibility to electronic content via the City’s Intranet / Internet, as appropriate.

Address electronic document management, document version control, information sharing, webpage archiving, imaging and workflow system interfaces.

Preserve vital legal records and documents. Improve access to, and delivery of, information to staff via the Web. Implement an EDMS system that is easy for staff to use.




management, archiving and destruction of documents and records. Electronically manage and organize records through a single records management interface




functionality.

4. Automated Workflow: None identified for the Department.

5. EDMS Integration requirements: City Link (City Intranet) and the City’s Website GroupWise email (Interface will only allow that documents stored in the EDMS be attached

to GroupWise emails as attachments.) 3.2 SYSTEMS REQUIREMENTS

3.2.1 Mandatory Systems Requirements Form

Proposers must complete this form prior to completing the RFP. Failure to do so may result in a Proposal being rejected. You will not be considered if you do not meet the following minimum requirements.BY COMPLETING AND INCLUDING THIS ATTACHMENT, THE VENDOR IDENTIFIED IN THIS PROPOSAL CERTIFIES THAT THE FOLLOWING CUSTOMERS MEET THE CHARACTERISTICS IDENTIFIED UNDER EACH RESPECTIVE MINIMUM REQUIREMENT NOTE BELOW:




A. Minimum Requirement #1:

At least five public sector governments or agencies in the USA with at least one public sector governments or agencies in California meeting the following characteristics:

All five customers should be using all of the proposed software At least two of these five accounts should be recent implementations or upgrades

(Implementation go-live for referenced accounts should have occurred on 1/1/2003 or later)

Account NameLocation

(City, State)Go-Live

DateCustomer Contact

NameContact Phone

Number

1

2

3

4

5

B. Minimum Requirement #2:

At least one Public Agency in the USA running the proposed software that has all of the following characteristics: Population - 250,000 or more Operating Budget - $200M annual or greater EDMS Users – 1,000 or more Number of Documents – 10 million or more Number of Separate Departments – 5 or more Customer should be a recent implementation or upgrade (Implementation go-live for referenced

accounts should have occurred on 1/1/2003 or later)

Account NameLocation (City, State)

Customer Contact Name

Contact Phone Number

Population BudgetNumber of Employees

Go-Live Date

Number of Users Number of Documents

Number of Departments

Department Names




C. Minimum Requirement #3:

List three, with at least one Public Agency located in California that is running the proposed software that has all of the following characteristics:

The proposed e-Signature module implemented Large scale document management Customer should be a recent implementation or upgrade (Implementation go-live for referenced

accounts should have occurred on 1/1/2003 or later)

Account Name Location (City, State) Customer Contact Name Contact Phone Number

3.2.2 Hardware

EDMS Servers:The vendor shall identify the architecture, quantity, and configuration of servers required to adequately support all EDMS software for the City’s Enterprise EDMS implementation. The Proposer has the option of proposing an onsite system, an offsite hosted or Software as a Service (SaaS), or hybrid solution. As part of the systems architecture, Proposer shall describe the backup and retention solution / options. The Proposer will provide a complete specification of appropriately configured servers to support the City’s EDMS program for at least the next four years. If the proposed solution is an onsite system, the Proposer shall also provide a gross space requirement calculation to house all required servers, keeping in mind the City’s current infrastructure and IT environment. (Note: the City has a very severe space limitation.) The City retains the right to purchase the proposed systems directly through existing hardware agreements. Scan Stations:The vendor shall identify the Personal Computer configuration required to support the use of high-speed scanners and imaging software, Kofax Ascent Capture or equal. In addition to this integration to existing networked Sharp Digital Imaging units must be included. The City retains the right to purchase the proposed Scan Station PCs directly through existing hardware agreements. The number of scans per month below is an approximation for cost purposes; they may be adjusted after award of contract.

Figure 3: Scan Station Hardware / Software

Group Dept. PC Small Scanner

LargeScanner

Imaging SW

Scans/Mo.

1 1. Public Works 1 1 1 Yes 3,500




2. City Manager 1 1 - Yes 1,500

3. City Clerk 1 1 - Yes 22,000

4. Administrative Services 1 1 1 Yes 30,000

5. Community Development 1 1 1 Yes 2,500

6. City Attorney 1 1 - Yes 1,000

2 7. Human Resources 1 1 - Yes 3,500

8. Neighborhood Services 1 1 1 Yes 15,000

9. Municipal Utility District 1 1 1 Yes 21,000

10. Auditor 1 1 - Yes 300

11. Economic Dev. Housing 1 1 - Yes 1,000

3 12. Fire 1 1 - Yes 1,000

13. Parks & Recreation 1 1 - Yes 7,000

14. Police Department - - - No 150

15. Library 1 1 - Yes 1,000

3.2.3 Software

The following figure provides the number of end users that will require access to the EDMS by Phase, Department and Division. While the initial users are listed at 142, bidders are instructed to present costs for this number of users and extrapolate the total to provide costs for 500 users.

Figure 4: EDMS Concurrent User Assumptions

Phase Department Total Staff

Concurrent EDMS Users

Total Users

Phase 1 73

1. Public Works

1.1 Public Works 62 12

1.2 Central Building Maintenance 31 3

1.3 Corp Yard 82 8

1.4 Garage 37 4

2. City Manager 38 8

3. City Clerk 9 4

4. Admin. Services

4.1 Admin Services Admin 10 8




4.2 Accounting 15 3

4.3 Information Technology 50 6

4.4 Purchasing 13 3

4.5 Revenue Services 29 5

5 Community Development 58 9

Phase 2 24

7. Human Resources 14 6

8. Neighborhood Services 48 6

9. MUD 18 4

10. Auditor 6 3

11. Housing & Redevelopment 30 5

Phase 3 45

12. Fire 308 14

11. Parks & Rec. 507 10

13. Police Department 323 14

14. Library 179 7

Totals 1,867 142

3.2.3.1 EDMS Functionality Matrix

Instruction to Complete EDMS Requirements Matrix The requirements specified in the "Requirements Matrix" of this document are categorized by desired functionality for the City of Stockton. The identified functions are a combination of current manual and automated processes, as well as desired features. These are divided into the following sections: 1. Document Capture and Scanning 2. Document Management3. Business Process Management 4. Collaborative Process Management 5. e-Government Services 6. Operational and Design Requirements

Priority Type ColumnEach feature, function or operating requirement has been assigned a Priority Type:

Code Definition

C Indicates a core feature or function that is essential for the business practices of the City of Stockton P Indicates a priority feature or function that is necessary for enhancing the City’s business practices.




D Indicates a desired feature or function for the City's business practices.

The Contractor must complete the entire Requirements Matrix. It is not the expectation of the City that the Contractor's proposed EDMS solution will be able to provide all the functionality specified in the Matrix. However, the items with Priority C designation are critical for the performance of the City's EDMS business functions.

Provided Code ColumnIn responding to the Requirements Matrix regarding functions, features, and operating capabilities, the codes indicated below must be used in the “Provided” Column.

Code Definition

O Requirement will be met with out-of-the-box (standard) software that is installed and operational at other sites and can be demonstrated to the City at the time the proposal is submitted.

U Requirement will be met by package software that is currently under development, is in Beta test, or is not yet released. Indicate the approximate date when it will be released in the “Explanation” column.

S Requirement will be met by a different software product or tool (e.g., an application, a report writer, queries language, etc.). The software manufacturer must be identified in the “Explanation” column.

M Requirement can be met by major modifications to existing software or by custom software development.

X Function or feature is not provided as part of this proposal. J Provided post configuration (No change to Source Code).

We request that you respond to each application requirement with the Provided Codes identified above. An omitted response or deviation from the Provided Codes will be assumed to be an X. All costs associated with each Priority Type and Provided Code must be identified in the Cost Proposal.

Explanation ColumnA brief explanation of how the requirement will be met can be included in this column. If information is contained in the Contractor’s proposal, only the proposal page number need be given.




Figure 5: EDMS Features & Functions Matrix

PriorityType

EDMS Feature/FunctionRequirement

Provided Explanation (Can be expanded or Referenced)

DOCUMENT CAPTURE O, U, S, M, X, C

1 Document Capture

2 C Provides integrated and synchronized document capture:

3 C Object compression and storage process.

4 P Object labeling and indexing.

5 C Object categorization for automated content tagging.

6 C Object annotation (e.g., date stamping, workgroup identification, etc.).

7 C Object categorization for records retention management.

8 Employs non-proprietary formats and viewers for the following document types:

9 C Paper

10 C Blueprints

11 C Large scale architectural and engineering drawings

12 C Maps

13 C Photographs

14 P Financial System (H.T.E.) Reports

15 C Common PC application files

16 C CAD files

17 C Emails and attachments

18 C Faxes

19 P Filled templates and forms

20 P Web content

21 P SML streams

22 P Video clips

23 C Digital photographs

24 P IVRS records

25 P Voice Mail recordings

26 C Audio files and tapes

27 C Uses non-proprietary file formats for both work-in-progress and long-term archival storage




28 C Provides a variety of data capture methods.

29 C Provides automated and easy to use tools for document profiling at the site where the document is created or received.

30 C Retains original formatting of captured documents.

31 C Retains colors used in specific document types.

32 C Replicates documents in a manner that is as faithful as possible to the appearance of the original, while minimizing storage requirements.

33 C Renders documents in multiple formats.

34 C Supports a minimum resolution of 200 dpi.

35 P Supports a maximum resolution of 1400 dpi.

36 P Supports folders that contain various document formats.

37 P Document images are compatible with other systems existing now and in the future.

PriorityType



SCANNING O, U, S, M, X, C

38 Scanning

39 C Supports a wide range of medium-speed scanners for low and medium volume imaging.

40 C Scans a variety of documents that have been created on paper, linen and card stock.

41 C Paper Size: accommodate different types and sizes of paper in the scanning process, ranging from: 3.5" x 3.5", letter, legal, or an irregular size. 11”x17” and large scale engineering drawings and documents.

42 P Scans and creates images of documents on jacketed and roll microfilm.

43 C Automatic conversion of scanned documents to standardized formats including: TIFF, JPEG and Full Text Searchable PDF.

44 C Virtual Cleanup: provide the scan operator the ability to touch-up and/or improve the quality of the scanned documents in “real time” (while scanning) prior to being




released to the EDMS libraries, eliminating the need for the operator to re-scan documents.

45 C Automatic Forms Processing capabilities: structured documents (documents that use standard forms) can be processed using electronic forms or forms processing to reduce manual data entry and improve data accuracy.

46 C Use of indexing scripts and zones that allow the incorporation of customized forms processing and data validation into the capture and indexing process.

47 C Support barcode, Optical Character Recognition (OCR), forms recognition, and Optical Mark Recognition, which detects the presence or absence of marks in defined areas.

48 C Supports automatic imaging of single-sided, two-sided, and multiple page documents.

49 C Supports scanning by single sheet feeding and by automatic document feeder.

50 C Supports distributed scan stations

51 P Supports remote distributed scan stations.

52 C Supports concurrent use of data capture software on separate PCs.

53 C Allows documents to be scanned at a range of resolutions.

54 C Provides grayscale scanning.

55 Batch Management

56 C Allows users to set up document batch classes and identify specific types of documents and forms.

57 Provides batch setup process that allows an operator to:

58 C Establish a batch using a system defaulted batch identification code.

59 C Select a document type from a list of document types or classes.

60 P Establish a batch of mixed document types and classifications.

61 C Enter a comment or description about the batch.

62 C Define a priority for the batch.

63 P Provides an automatic identification feature that recognizes each document and form type as it is scanned.

64 P Capable of simultaneous output of color and bitonal images.

65 P Provides electronically selectable color drop out.

66 C Establishes different processing steps depending on the type of document and form.




67 Includes the following options:

68 C type of recognition technology

69 C rendering format(s)

70 C metadata schema

71 C validation steps

72 C quality control steps

73 C release processing

74 C Sorts completed images into the proper queue for further processing.

75 C Provides completion status reports.

76 C Allows users to monitor the time required to complete the Scanning-Quality Control-Metadata cycle for a specific batch, for all batches scanned on a specific day, or for batches that completed a particular queue on a specific day.

77 Scanner Operation, Controls and Features

78 P The scanning interface is simple and intuitive.

79 P Offers document types with pre-defined settings for:

80 Scanning

81 metadata schema

82 processing workflows

83 P Allows each City department to define its own index fields, field values and edits/requirements.

84 C Allows operators to designate fields required for manual and default data entry before the scan process begins.

85 Allows an operator to fully control the scanner via a scanner control screen, including:

86 C Selecting either simplex or duplex scanning.

87 C Scanning a test page (and the software immediately displays the page).

88 C Starting the scan process (entire batch).

89 C Stopping the scanner.

90 C Adjusting the scan density.

91 C Restarting the scan process.

92 C Move from field to field (dialog box navigation) by mouse click and/or tab key entry.

93 C Performs page count validations. Alerts the operator when there is a difference and allows the scanned total to be accepted or rejected.




94 C Stacks original documents in the same order as they were input in the scanner.

95 C Allows insertion of a page, reordering of pages and deletion of one or more pages without having to delete and rescan the entire batch.

96 C Provides a warning to the operator that a page (or pages) is about to be deleted.

97 C Allows the operator to continue or cancel by deleting the selected documents or the entire batch.

98 C Allows an authorized user to select and view any page scanned in the current batch until the operator releases the batch to the Metadata queue.

99 C Allows a previously scanned batch to be retrieved prior to completion of the Metadata step.

100 Quality Control

101 C Supports viewing and editing of scanned batches for image cleanup and enhancement at both Scanning and distributed Quality Control stations.

102 Supports the following Quality Control functions:

103 C Entry of comments or notes about pages that must be re-scanned.

104 C Rejection and return of a batch to a selected Scan operator.

105 C Approval of a batch to move to the Indexing queue.

106 D Allows the import of CCITT Group 3 or Group 4 format batches from other scanner software applications.

107 C Integration of the Quality Control and Metadata processes by allowing the user to access the Metadata dialog box to enter values and transfer the batch directly to the Release queue.

108 Provides the ability to view pages that were scanned into a batch through the following features:

109 C Using thumbnail images to determine which pages, if any, should be cleaned up.

110 C Rotating images in 90-degree increments in either direction.

111 C Using “rubber-band” mouse controls to allow the user to zoom in on a specific part of a page.

112 P Zooming in on the center of the document from 0% to 400% of the document’s original size.

113 C Single click zooming out to fit the page height.

114 C Single click zooming out to fit the page width.

115 C Panning by using scroll bars available in the viewer.




116 C Provides automatic settings for image enhancement.

117 Offers a catalog of editing tools with the following features:

118 C Despeckle

119 C Deskew

120 C Deshadow

121 C Dithering

122 C Scale-to-gray

123 C Delete blank pages (of a batch scanned in duplex mode)

124 C Allows “drop out” of passive form data from the “active” machine printed data.

125 Metadata

126 P Metadata is assigned based on each department’s business rules and security requirements.

127 C Easily adapts and expands to handle as content becomes more complex.

128 C Provides conventional metadata and taxonomy tags.

129 Document coding includes:

130 C The document’s retention schedule.

131 C Rules for managing the document’s life-cycle.

132 C The date/time stamp when the metadata was assigned or modified.

133 C Geospatial references when appropriate.

134 P The coding makes it easy to determine which metadata should transfer with a file (e.g., CAD files to the EDMS archive repository).

135 C Provides the ability to delete and modify the taxonomy structure and metadata tags once they have been assigned to a document.

136 Recognition Technology

137 Provides multiple recognition technologies, including:

138 C Fully scriptable Optical Character Recognition, Zone OCR, and Point-and-Shoot OCR.

139 P Fully scriptable Intelligent Character Recognition for unconstrained hand print and natural cursive handwriting.

140 C Bar Code Recognition.

141 C Full-text indexing.

142 P Optical Mark Recognition




143 P Check Digits

144 C Data validations.

145 C Manual key in of unrecognizable data.

146 D Provides automated coding, with human intervention built in, for digital documents.

147 To minimize errors, the EDMS provides:

148 P Check digits

149 P Embedded database and table lookups

150 C The ability to set a minimum confidence percentage depending on the recognition technology being used to extract the metadata.

151 C Manual keying of information is separated from exception handling.

152 C The operator is able to immediately see the correct part of the image coupled with the field to be corrected or filled.

153 C Once rejections pass a threshold, the whole field can be manually typed, rather than correcting letter by letter.

154 P Recognizes and assigns metadata to documents based on content by using word associations and spatial relationships, instead of solely relying on word identification.

155 C Provides embedded database and table lookups.

156 C Allows a minimum confidence percentage to be set, depending on the recognition technology being used.

157 C Allows the whole field to be manually typed, rather than correcting letter by letter once the rejection threshold is reached.

158 Bar Codes

159 Generates and reads bar codes that can be used:

160 C On individual documents, or

161 C As bar code sheets for batch processing.

162 P Capable of reading the bar code anywhere within the margins of a page

163 C Provides ability to determine the alphanumeric document type code, and is capable of storing the document type code in a database field.

164 C Bar code software provides both linear and 2D symbols.

165 Administration

166 C Capable of assigning metadata and classifications either during or immediately after the initial scan.




167 C Provides easy, visual reference during high-speed batch coding of images.

168 C Allows an entire batch to be coded as a single document.

169 C Allows a batch to be parsed into several documents of one or more pages, each of which may have different metadata values.

170 C Allows an operator to view the appropriate fields for the selected document(s), and to access a pull down list or create smart list entries tied to the table of metadata values.

171 C Allows quality control of metadata to be performed before writing the scanned images to permanent storage.

172 P Allows Quality Control of metadata to be done off-line.

173 C Provides ability to return a batch (in its entirety) to the scanning operator for repair of one or more pages in the batch.

174 C Provides distributed validation features.

175 C Once a document is released to the repository, database or file system, the EDMS allows new categories and/or tags to be added to the document.

176 C Supports the suspension of work on one batch to allow the operator to access a higher priority batch, complete processing of that batch, and then re-open the suspended batch.

177 C Allows the entry of comments about a batch.

178 C Upon completion, automatically routes the batch to the Release Queue.

179 C Provides an up-to-the-minute view of system queues, including those linked to distributed scanning stations.

180 C Easily generates reports from a customizable list of performance indicators.

181 Captures relevant statistics, including:

182 C actual processing time for each stage

183 C recognition rates

184 C keystrokes per hour

185 C keying errors

186 C activity accomplished at each distributed work station

187 Release

188 C Allows authorized users to review any comments entered by operators involved in the Scan, Quality Control and Metadata processes before the documents are rendered and released to permanent storage.




189 C Automatically exports documents once approval for release has been given.

190 C Exports mixed content batches to the appropriate back-end repositories based on metadata and validation criteria.

191 P Supports automatic duplication of batches which contain specific document types that have been profiled for release to multiple targets.

PriorityType



DOCUMENT MANAGEMENT O, U, S, M, X, C

192 Document Retrieval

193 Conducts searches and retrieves tagged and non-tagged documents from:

194 C multiple repositories

195 C shared directories

196 C public folders

197 C e-mail folders (Access GroupWise)

198 P line-of-business applications

199 C Web folders

200 P external Web sites

201 Access GroupWise

202 C The EDMS search capability does not allow unauthorized users to have access to restricted content and documents.

203 C Allows users to determine the method for displaying search results and to select the descriptive information to be included.

204 Provides a complete array of search tools, including:

205 C Fielded/ Metadata searches

206 C Key words

207 C Various categories, including work unit, creator, type and/or classification of document, and scan creation date, in addition to retention and destruction dates.

208 P Phrase searching




209 D Concept searching

210 C Exact match

211 C Fuzzy match

212 C Wildcards

213 C Boolean operators

214 P Proximity operators

215 P Numeric operators

216 P Range operators

217 D Natural language

218 D Query by example

219 C Limit search to specific directories/files

220 P Query advisors

221 C Allows archived paper documents that are stored off-site to be located and listed in search results.

222 C Provides a tracking mechanism when hard copy documents are retrieved and returned to off-site storage.

223 P Lists and retrieves documents that are linked to documents that have been found through a search.

224 C Allows users to decide how to display the search results and to choose what descriptive information to include.

225 C Number of documents found

226 P Relevance ranking

227 C Search terms used

228 P Database fields as specified by the database administrator and/or user

229 C Title of document

230 C Creator

231 P Description or summary

232 C Size of the file

233 C Date document was created or indexed

234 P Date/time last revised

235 C Database or repository from which the document was retrieved

236 P URL

237 P Selected metadata

238 P Hit highlighting

239 P Allows users to navigate between search terms or hits within




the retrieved documents.

240 Enterprise Reporting

241 P Supports the capture of reports produced by systems currently deployed within the City's environment.

242 P Supports the bursting of pages and cross-referencing of those pages into specific folders.

243 P Ability to transfer existing system data files into the EDMS data repository.

244 P Automatically extracts metadata from these records.

245 P Supports the ability to search for specific values within the pages of a particular report when accessing information through the report storage viewer.

246 P Creates “exact replica” images.

247 P Provides user-defined templates to parse and deliver the data as finished documents

248 D Includes custom graphical elements that are suitable for internal or external reporting.

249 P Allows users to define specific views of reports, based on criteria established in the set up of the COLD sub-system and report-specific indices.

250 P Allows automatic application hyperlinks within a specific report.

251 D Provides ability to link specific information in other reports and documents by using common indices or “threads.”

252 Viewing, Annotating and Editing

253 C Quickly uploads and downloads large files.

254 C Handles multiple document types and automatically launches associated applications or viewers.

255 C Document viewer(s) support sophisticated viewing functions for all file formats, regardless of file size, dimension, density, color model and resolution.

256 Viewing features include:

257 C Thumbnail images to determine which pages should be viewed and edited.

258 C Image scaling.

259 C Color smoothing.

260 C Scale-to-gray.

261 C Rotating images in 90-degree increments in either direction.

262 C Using “rubber-band” mouse controls to allow the user to




zoom in on a specific part of a page.

263 P Zooming in on the center of the document from 0% to 400% of the document’s original size.

264 C Single click zoom out to fit the page height.

265 C Single click zoom out to fit the page width.

266 C Panning using scroll bars available in the viewer.

267 C Magnification for enlarging a specific section of document (electronic magnifying glass).

268 P Automatically launches a document’s native application or special viewing software, depending on whether the user wants to view or revise/edit a document.

269 C Supports the simultaneous viewing of multiple documents in different formats.

270 C Allow users to “drill down” through associated documents.

271 C Allow users to go directly to listed documents without having to “drill through” intervening documents or screens.

272 C Allows documents to be viewed when the user is in another application, such as the City’s H.T.E. or GIS applications.

273 P Provides a full array of library services for revising/editing documents.

274 P Enables users to check out/check in non-archived documents.

275 P Presents a list of changes and comments and then takes the user to the specific areas as the changes are selected.

276 C Supports electronic stamp pads with user configurable stamp messages.

277 C Stores commonly used text or graphic objects which can be pasted as annotations or copied to the clipboard.

278 Provides annotation tools which include:

279 C freehand drawing

280 C lines and arrows

281 C red-lining

282 C highlighting

283 C cut

284 C paste

285 C copy merge

286 C paragraph text

287 C direct text set on any axis

288 P “post-it notes”




289 C redaction with a color selected by the user

290 C Allows the user to view a document with or without associated annotations.

291 C Allows the user to see who applied a specific annotation to a document and when the annotation was applied.

292 Output Management

293 Retrieves documents and content from repositories and then formats and automatically delivers the output as:

294 C Web documents

295 C E-mails or e-mail attachments

296 D wireless messages

297 C Faxes

298 C printed or plotted documents

299 C Allows the user to designate the preferred delivery method and file format.

300 P Provides the option of sending a reference file to the document or of sending a copy of the document.

301 C When the document is returned, allows the receiver to "check in" the document as a revision or new version.

302 Provides tools for accurately rendering documents for multi-channel output, including:

303 C Website

304 C E-mails or e-mail attachments

305 C Faxes

306 P wireless devices

307 C storage media

308 C printer or plotter

309 P Press

310 C Employs native imaging file formats--such as G3, G4 and JPEG--for transmitting document images.

311 C Does not alter source documents when delivering renditions through multiple channels.

312 D Distributes content and metadata to other applications and databases.

313 C Prints documents containing images at actual size or scales them to fit the paper size portions of the images.

314 C Supports printing of the active page, pages or documents currently in the viewer.

315 C Prints images with or without all or selected annotations.




316 C Supports most common printer and fax drivers.

317 Allows users to quickly copy files in bulk to external storage media, including:

318 C CD-ROM

319 C DVD

320 C USB Key

321 D Microfilm

322 C Allows royalty-free CD/DVD duplication and provides free imaging viewers on the CD/DVD.

323 P Supports the use of briefcases and portable volumes.

324 C Supports web publishing with “view only” permissions.

325 Retention Requirements

326 C Retention requirements govern each document type stored in EDMS repositories.

327 Easily and quickly classifies all documents according to:

328 C enterprise-wide retention rules

329 C Rules in accordance with City's Retention Schedule and governing agency guidelines.

330 C Provides easy access to retention guidelines when a document is created or added to the EDMS repository.

331 C Retention formats correspond to each document's life cycle stage

332 C Allows storage of the same document in multiple formats while retaining the original source document.

333 C Assigns different retention time periods based upon a document’s function.

334 P Supports archival and purge protocols as defined by each department.

335 Destruction protocols include:

336 C Routine identification and selection of records eligible for destruction.

337 C Assigned custodian approves actual records destruction

338 C Destruction of original records.

339 C Removal of all copies of the records that are stored in other locations

340 C Deletion of all metadata references to the records.

341 C Certification of destruction

342 C Automatically generates cut-off schedules and initiates vital records review and disposition approval routines based on




record classification.

343 C Provides ability to implement these routines on a pre-scheduled or manual basis.

344 Storage

345 Stores records:

346 C With 24/7 availability

347 C In formats that allow no modifications.

348 C In formats that are non-proprietary.

349 C In formats that can be accessible indefinitely.

350 C On unerasable, tamper proof media (permanent documents).

351 C In a manner that will allow migration to new devices as they become available.

352 P Able to use most storage devices that are currently available.

353 C Manages the use of different media for appropriate document storage.

354 C Supports the use of multiple storage locations.

355 C Migrates documents between storage repositories according to a document's life cycle.

356 P Establishes cache allocations for managing documents in various stages of use.

357 P Provides reasonable controls to ensure the complete and accurate transfer of records between storage media.

358 P Manages the storage of documents that have been encoded for content management, including migrating such documents for archival storage.

359 C Fine tunes storage location at the same time it is managing documents.

360 P Provides ability to store data and images across multiple volumes, with each volume residing in a different directory or on different storage media.

361 P Allows other applications to have access to relevant documents and content, independent of the type of storage media this information resides on.

362 P Supports on-line, near-on-line, and off-line document archiving to multiple storage mediums, including analog formats

363 Supports the transfer or replication of files to an inactive repository based on:

364 C access rates,




365 P file classification codes

366 C manual selection of document files.

367 P Provides seamless access to inactive documents.

368 C Uses minimal human intervention to access infrequently requested records.

369 P The storage manager triggers the intervention that is required to load media

370 C Provides tools that prevent and detect the deterioration of records.

371 C Conducts regular tests of the readability of media on which records are stored.

372 P Allows automatic backup of all repositories at a secure and remote location.

PriorityType



BUSINESS PROCESS MANAGEMENT O, U, S, M, X, C

373 Process Management

374 P Supports ad-hoc, loosely structured business processes.

375 P Supports structured business processes with fixed timelines, disposition approvals and status reporting.

376 D Supports the automated distribution of electronic data and documents to individuals on both sides of the firewall.

377 P Easily handles exceptions.

378 Provides the following capabilities:

379 P Automatic sequencing and routing.

380 D Automated workload balancing

381 P Deadline tracking and escalation.

382 P Approvals with automatic forwarding.

383 P Standard approval timeframes, along with reminders about milestones.

384 D Supports roles and resource mapping.

385 D Automatically forwards documents to the successive stage once an action step has been completed.




386 The following features are provided:

387 P proof-of-delivery reporting,

388 P alternative routing logic,

389 P automatic criteria calculation, and

390 P simultaneous notification.

391 D Source documents are not altered when they are re-routed through an alternative channel.

392 D Allows users to designate proxies for specified purposes.

393 P Provides easy access to information about the status of workflow actions.

394 P Leverages the City’s common application environment for work flow activities.

395 P Provides consolidated inbox and integration with the City’s existing e-mail system, including e-mail notification on routed objects.

396 P Provides on-the-fly routing of documents and information.

397 D Creates task checklists as either references or as mandatory user processing tools.

398 D The lists are available for distribution to City and project staff as well as to customers through the City's website.

399 C Provides mark-up functionality and version controls for work-in progress documents

400 D When work-in-progress documents are stored on a PC, updates the documents with any changes and notifies the document's owner that changes were made.

401 P Automatically generates documents in conjunction with process milestones.

402 D Provides robust rollback and recovery capabilities.

403 D Automatically creates multiple copies of a document, in different formats, depending on how the document is classified or its stage in a workflow process.

404 D Automatically and transparently triggers records declaration, creates required folders and assigns retention rules based on process workflows.

405 D Provides rendition creation management, including automatic rendering at specified milestones.

406 Administration

407 P Easily accommodates department specific business rules to define work flow processes

408 P Allows a department to assign tasks to a single person or to




a work group, in a particular order.

409 Provides workflow administrators with:

410 C Drag and drop capability for setting up and/or modifying work flow processes.

411 D An easily understood folder structure to accommodate department-specific, work unit-specific, and enterprise work flow processes.

412 P ‘Point and click’ configuration tools which enable customization of both the routing and the user interface.

413 P Ability to create customized configurations with minimal coding or scripting

414 D Ability to create, version and launch workflow processes over the Web.

415 P Ability to develop reusable image and workflow objects and to store them in a central library.

416 P Ability to create and store the processing definitions--including a listing of processes, triggers, thresholds, rules and tasks--required to complete a business activity.

417 P Ability to easily model, simulate and test business processes before deploying them.

418 P Provides split and rendezvous functions.

419 P Provides minor, major and branch version controls.

420 P Supports workflows nested within workflows.

421 P Creates pre-defined and re-usable workflows.

422 P Accommodates exceptions to the configured workflow process by allowing designated users to add or exempt stages on an ad-hoc and real time basis.

423 D Provides queuing features that enable complex processes to be handled efficiently.

424 P Allows work queues to be accessed by multiple users in different locations.

425 P Allows documents to be manually moved from one queue to another.

426 P Provides different methods for prioritizing work items in each queue, including prioritization based on First In/First Out (FIFO) or work-in-progress status

427 P Provides ability to sort FIFO by values other than chronological order




PriorityType



COLLABORATIVE PROCESS MANAGEMENT O, U, S, M, X, C

428 Interfaces with Existing and Future Systems

429 P Able to interact with and invoke existing and future systems, databases and directories without significant effort spent integrating the software.

430 P Provides an open architecture structure with a standardized approach for interfaces between different types of systems and applications.

431 P Provides standardized approach for regularly exchanging information and documents.

432 D Provides transformation tools that enable administrators to easily map data flow between the EDMS and other applications and databases.

433 Establishes processes that automatically search for and record information contained in other applications or databases, when they exist:

434 P within the City's firewall.

435 P outside the firewall.

436 D Enables business process activities to be monitored through the City’s GIS.

437 D Provides tools and/or methodologies that will allow future EDMS releases to accommodate existing interfaces without re-programming.

438 Integration With Other City Agencies

439 P Includes multiple City agencies in its business integration processes.

440 D Authorized users are able to establish virtual project sites and easily assign access rights for each project.

441 Provides Web-based collaboration tools, such as:

442 D instant messaging between designated users

443 D message boards.

444 D Use URL pointers to access designated documents.

445 D Threaded discussion forums spanning a designated time period, within which authorized users are able to attach or point to relevant documents.




446 D The ability to subscribe to specific document categories wherein subscribers are notified via e-mail when a document is changed.

447 D Subscriptions

448 D The ability to access and combine unstructured and structured information.

449 Outside Agencies and Business Partners

450 D Includes multiple business and service partners in its business integration processes.

451 D Establishes user profiles that allow external users to participate in designated business processes.

452 P Provides secure link management services for accessing external sources of information.

453 P Provides "smart links" with external databases.

454 P Automatically update these links when records are moved to a different location or are reformatted.

455 D Incorporates recognized standards for external interfaces (e.g., ANSI X.12 and federally specified data interchange formats).

PriorityType



E-GOVERNMENT SERVICES O, U, S, M, X, C

456 Information

457 P Publishes existing documents to the City’s Web site in formats that minimize downloading time and can be universally read.

458 P Posts documents that the City makes available in conjunction with other public agencies.

459 C Presents published documents in non-revisable formats.

460 C Able to ensure that selected documents can not be duplicated or printed (read only).

461 C Provides restricted access to designated pages or fields in a document.

462 P Provides summary information through a search function.

463 P Search requests are able to obtain documents from other




databases and repositories.

464 P Provides subscription services based on:

465 D user profiles

466 P Preferences

467 D knowledge maps

468 D Agents

469 P job responsibilities

470 D Allows potential subscribers to "opt in" for this service, rather than have to "opt out."

471 C Seamlessly integrated and robust e-Signature authentication solution with: E-forms, customer created workflows and all other proposed software modules

472 C Ensure the authenticity, integrity, and non-repudiation of electronic documents.

473 C Meet California’s requirements for authenticated signatures as contained in CA Government Code Section 16.5 supporting Digital Signatures.

474 C Support e-Signature approvals, either from a Web browser or from within the EDMS.

475 P Creates, publishes, routes and processes dynamic forms submitted:

476 C through the City’s website

477 C by designated fax

478 P Forms are in standard formats that enable the submitted data to trigger actions in other applications.

479 C Provides an array of Web form and data validation tools, including:

480 C database lookups

481 C Calculations

482 C automatic fill-ins

483 C automatic data formatting

484 C automatic error checking

485 P Allows associated documents to be attached to a form and provides a viewer so that the attachments can be accessed by authorized users.

486 P Archives the form and attachments so that there is a legal, non-modifiable record of the submission.

487 D Stores and retrieves partially completed forms.

488 D Citizens are able to print out their completed form with total




accuracy, when submitted through the City's website.

489 P Provides a confirmation number at time of submission.

490 P Provides additional information depending upon the application with which the form interfaced.

491 P Safeguards complainants identify and contact information.

492 P Provides citizens with the option of receiving updates on the status of the request or complaint.

493 Users are able to designate the preferred method for receiving follow-up via:

494 C e-mail

495 D Fax

496 D Mail

497 P Telephone

498 Transactions

499 Supports secure transactions involving electronic payments:

500 P via the Internet

501 P by fax

502 D through an IVRS

503 D through accounts established by business partners

504 P Transactions include submission of a dynamic form accompanied by payment information.

505 P Issues confirmation of receipt at the time of the payment transaction

506 P Payment submission triggers a workflow that validates, processes, approves, and records the payment transaction.

507 P Transmits record of payment to the appropriate application or database.

508 Signature Authentication

509 Provides authentication technology which ensures that transactions can be legally and securely conducted:

510 P over the Internet

511 D via wireless card swipe device

512 P via facsimile

513 Provides industry-standard signature tools for the following types of activities:

514 P Recording hand written electronic signatures in conjunction with documents submitted to the City.

515 P Recording approvals on documents issued through any City




system.

516 D Recording digital signatures on electronic documents when inspectors are in the field.

517 D Recording signatures for payment transactions.

518 P Authenticating and verifying changes to documents transmitted via the Internet.

519 D Authenticating business partners.

520 D Creating and verifying authorization signatures encrypted with a form.

521 P Ensuring that only authorized users are able to access restricted transactions.

522 Multi-lingual Documents

523 D Publishes, transmits, views and prints documents whose contents can be dynamically changed to incorporate different languages

524 D As multi-lingual documents are added to the repository, extracts metadata so that searches can be conducted in each language

525 C Integrates seamlessly with the City's pending CRM solution allowing for the captures and routing of complaints and requests for information and services through our request management system.

PriorityType



OPERATIONAL AND DESIGN REQUIREMENTS O, U, S, M, X, C

526 Functionally Modular (if offered)

527 C Allows each module to operate independently, but when combined, all modules operate as one integrated system.

528 C Allows each module to be updated simultaneously from the open module.

529 C Performs queries in one module and is able to collect data from all modules.

530 C Provides the option for City agencies to select and pay for only those modules that are required to meet their particular needs

531 Scalable Architecture




532 C Provides an open solution that works within the City’s mixed operating environments.

533 P Accommodates unpredictable fluctuations in customer demand and user workload.

534 C Operating hardware and software can be added, upgraded or removed as computing capacity needs change, without reconfiguring the system or its modules.

535 Multi-Channel Access

536 C Available for access by authorized personnel from any location on a 24/7 basis.

537 P Interfaces with interactive voice response systems.

538 Supports most portable devices, including:

539 C full-scale laptop computers

540 C handheld computers,

541 P smart cell phones

542 C wireless PDAs

543 Provides security for, and encryption of, all data during electronic transmission

544 C via the Internet

545 P on an Extranet

546 P via wireless devices.

547 Concurrent Users

548 Allows concurrent users to access the EDMS through:

549 C Desktop PCs

550 P LAN

551 D WAN

552 P Internet telecommuting

553 P Web browser

554 D Wireless browser

555 Ease of Use

556 C Provides a consistent graphical user interface.

557 C Allows users to personalize menu options and screens.

558 Provides the following features:

559 C Ability to program “function” keys to expedite data entry, navigation, inquiries, etc.

560 P Ability to establish radio buttons

561 P Pop-up windows on data capture screens that display




possible field values/options.

562 P Pop-up windows to signify holds & flags for certain activities.

563 P Automatic population of fields when data is available from a previous screen.

564 D Ability to “find” and “replace.”

565 Edit and Process Controls

566 C Provides extensive on-line edits and process control features, including:

567 C Comprehensive edit, validation, and balancing controls that prevent incomplete or incorrect data capture from being processed

568 C Configures edit specifications, including the correct sequence for data entry on individual screens.

569 C Provides edit notification methods, including online error messages, field highlighting, and/or field animation.

570 C Provides controls to ensure that duplicate document numbers are not allowed.

571 C Updates tables/files upon completion of a logical unit of work, using the City’s business rules.

572 C Notifies users upon sign-on/off that data input and/or functions remain to be completed.

573 P Allows users to sign off when data entry is incomplete without losing what has been entered

574 P Allows a systems administrator to make a single entry into the database and effect changes in associated records and/or data files.

575 Documentation

576 Provides the following types of documentation:

577 C User reference manuals

578 C Routine system maintenance, backup and restoration

579 C Operator run book

580 P Document development

581 C Database management, expansion and reorganization

582 C Instructions for utilizing system flexibility and extension capabilities (e.g., adding data fields to the database and to screens and other output medium)

583 P Database models

584 C Data dictionary

585 D "Rosetta Stone"




586 P Provides separate manuals for installation, training and end users.

587 D Allows all user manuals to be viewed on line.

588 P Provides documentation templates so that each participating department is able to create a “procedures guide” for performing functions designated for the department.

589 D Templates include detailed instructions/procedures with bracketed areas where each department can insert the name of the department, department, work group, etc. that would be performing each activity or task.

590 Provides customizable online documentation, including:

591 C context-specific help

592 C field specific help

593 P search capability

594 P prescriptive error messages

595 P business process explanations and process maps

596 C step-by-step instructions/procedures for performing specific functions

597 D Provides on-line tutorials for all application modules and system functions.

598 Reports and Queries

599 C Supports a variety of methods for obtaining information, including online queries and the production of both standard and ad hoc reports.

600 C Generates performance measures for entire system.

601 C Allows each department unit to easily establish custom performance measures.

602 P Generates performance statistics employing summaries, comparisons and calculations.

603 P Provides a user friendly ad hoc report creator.

604 C Retains ad hoc report specifications.

605 C Converts ad hoc reports to standard reports.

606 D Generates ad hoc reports using any field, or combination of fields, for which data has been collected

607 C Produces detail as well as summary reports.

608 C Allows ranges to be used for compiling reports.

609 P Allows a user to cut and paste from one report to another that have been generated from any EDMS module.

610 P Allows data from a report to be cut and pasted to a document produced in another application.




611 D Links report data to a document in order to update the document when a subsequent report is generated.

612 C Maintains a library of standard reports which are accessed by user profile.

613 C Creates nested folders for standard reports that can be run by authorized users on demand.

614 C Generates reports on demand.

615 Provides the ability to:

616 C review reports on line

617 C print at the user's discretion

618 P deliver reports to specified users on a pre-determined schedule.

619 Formats reports to print to:

620 C local PC attached printers

621 C LAN printers

622 P Internet

623 C Access to reporting functions is based on a user's security profile.

624 Response Time

625 C Ensures rapid transmissions via wireless devices.

626 Audit Trails

627 Provides a detailed audit trail for all transactions and changes, including the following information:

628 C User ID

629 C Date

630 C Time

631 C File or document name

632 C Action

633 P "Before" and "After" dates

634 P Notes regarding changes

635 P Annotations

636 P Edits, including redlining.

637 D Document Versions

638 C Retains the history of updates to master or detail files.

639 C Provides a viewer for sorting and filtering audit logs.

640 C Easily generates standard, historic and ad hoc statistical reports from audit logs for selected activities and modules.




641 C Retains the history of updates to master or detail files.

642 C Easily generates historical reports about selected updates to master or detail files.

643 Transaction Recovery

644 C Schedules automatic on-line and off-line backups.

645 C Allows staff to make entries and capture transactions off-line when the system is down.

646 Security

647 Multi-Level Security Controls

648 C Restricts access by application, database, and repository.

649 Capability for the following levels:

650 C organizational units

651 C Module

652 C Functions

653 C Fields

654 C Screens

655 C Tables

656 C electronic approvals

657 C business events

658 P business processes

659 Restricts access for the following functions:

660 C View

661 C Browse

662 C Copy

663 C Print

664 D Annotate

665 C Modify

666 D version creation

667 D rename a document

668 C Create a new record

669 C cancel a record or document

670 C import or export

671 C generate queries and reports

672 C Selectively “locks” records so that multiple users cannot perform updates at the same time.

673 C Ability to restrict access to data fields and windows to users




with proper security.

673 C Ability to limit the types of transactions that a user can process.

674 C Ability to turn access on and off by user with proper security.

675 C generate queries and reports

676 Space left blank on purpose.

677 C Ability to restrict access to data fields and windows to users with proper security.

678 C Ability to support a minimum of 128 bit data encryption, for data being sent out from or received by the City via the Intranet or Internet.

679 C Ability to support security by groups, roles or classes (user profiles).

680 C Ability to report on unused or inactive user ids.



683 C Ability to support automatic logoff (timeout) when system is left unused for a user-defined period of time.

684 C Ability of the application system to support Enterprise Master Directories (LDAP) and facilitate "single-sign on".

685 C Ability of the product to accept encrypted end user login information (i.e., username and password).

686 C Ability to support automatic logoff (timeout) when system is left unused for a user-defined period of time.

687 C Space left blank on purpose.

688 C Ability of the product to encrypt sensitive private information, such as HR Documents and authentication information, while stored in a database, and while transmitting this data across the network (e.g., using SSL, HTTPS).

689 C The ability to provide a function for non-repudiation of digital signatures and/or electronic messages. For example, digital certificates.

690 Access Rights

691 C Establishes standard “user profiles” for each department’s authorized users.

692 C Restricts access by an individual user ID or by an identified group of user IDs.

693 P Allows each department to control users’ access and editing rights, responsibilities and security clearance levels for the data and documents maintained by that department.

694 D For data repositories managed by specific agencies,




authorized users are able to monitor which information was seen by whom, when, from where, how often and for how long throughout a document’s lifecycle.

695 P Restricts access to archived documents contained in the PCETS, EDMS and other interfaced repositories.

696 P Restricts access to selected pages within a document and to non-archived documents depending on their completion status.

697 P Allows specific users to designate a proxy.

698 P Distributes automatic updates, status alerts and notices based on user and group identification.

699 Restricts access to self-service web applets through:

700 D User ID or

701 D Employee number and PIN.

702 Single Log-on

703 P Provides a single logon process using an industry standard, directory service system.

704 C Allows time-out limits to be imposed.

705 P Different time-out periods can be imposed for each module.

706 C A time-out requires the user to re-enter his/her password before continuing

707 User ID/Password Security

708 C Supports Strong passwords with a minimum length of eight (8) alphanumeric characters.

709 C Encrypts passwords.

710 P Establishes default time periods after which a password will expire if not changed.

711 P Provides ability to set password expiration warning time periods.

712 C Supports Strong passwords with a minimum length of eight (8) alphanumeric characters.

713 C Allows the creation of user IDs and passwords with fixed expiration dates.

714 C Suspends all user access rights when a user ID is terminated.

715 P Maintains security parameter settings in an inactive status in case said security profiles were to be re-activated in the future.

716 C Limits log-on of user IDs to one workstation at a time.

717 C Alert user that the user ID is already in use if an attempt is




made to log on again.

718 C Provides option to allow specified users to log on to multiple work stations.

719 System Administration

720 C Provides user level system administration, including the following functions:

721 C Ability to view the various access rights assigned to a specific user.

722 C Ability to view the names of all users assigned to a specific access level.

723 C Ability to reset passwords.

724 C Ability to enforce the changing of all passwords upon demand.

725 C Unauthorized Log-on

726 C Records multiple attempts to obtain access to the application and its data repository (ies).

727 C Automatically disables User ID after a minimum of three (3) unsuccessful attempts to enter a password.

728 C Automatically unlocks user ID after some determined amount of time from the user being locked out.

729 C Captures information about source of unsuccessful log-on attempts, including the following:

730 C Date

731 C Time

732 P Access channel used

733 P Work station ID

734 C User Ids used

735 P Passwords used per User ID

736 P Provides an option to immediately alert the system administrator about unsuccessful log-on attempts.

737 Access by Persons with Disabilities

738 Complies with the Americans with Disabilities Act (ADA) requirements when accessed via:

739 P Desktop

740 P Internet

741 P City's website

742 D Wireless device

743 Software Upgrades / Enhancements

744 Contractor-provided modifications and upgrades preserve:




745 C Existing EDMS functions.

746 P Re-configured screens and menus.

747 C Previous enterprise-wide program changes and customizations.

748 C Re-configured EDMS components.

749 C Existing EDMS functions.

750 P Personalized features created by individual users (e.g., screens and menus).

751 P Supports automatic distribution and download of modifications and upgrades to remote computers, including personal/desktop computers

752 P Personalized features created by individual users (e.g., screens and menus).

753 Off-the-Shelf Software and Hardware Products

754 P Ability to easily interface with common, off-the-shelf software (e.g., Microsoft Office) and hardware products.

3.3 PROFESSIONAL SERVICES

The Scope of Work shall include all professional services required to delver a complete and fully functional enterprise Electronic Document Management System with the required functionality to effectively support the City’s business and service delivery requirements. Professional Services will include implementation, integration and conversion services as identified below.

3.3.1 Implementation

The implementation requirements include expert professional, technical EDMS / Automated Workflow implementation and integration service capabilities. The scope of implementation services will include the following: Installation and configuration of necessary hardware and software, a hosted solution is

preferred, EDMS deployment in Phases 1, 2 and 3, Automated Workflow solutions for the Phase 1 Departments as identified in Figure 1.

3.3.2 Integration

The implementation of the enterprise EDMS will require that it interface with existing systems used at the City. The following figure provides a matrix of Departments and existing systems that the proposed in-house, hosted, SaaS or hybrid EDMS will need to interface with.

Notes on Figure 6

1. HTE: The following is a list of HTE modules currently used at the City:Purchasing/Inventory Building Permits




Cash Receipts Code Enforcement Accounts Receivable Planning/Zoning Payroll/Personnel Work Orders/Facility Mgmt Fixed Assets Fleet Management Global Financials Business Licenses GMBA (Accounting) Land/Parcel Management Extended Reporting Document Management Services Customer Information Systems

2. CityNet is the City’s network.3. The City Attorney also uses: Legal Solutions,

Figure 6: Enterprise Application Integration Requirements

3.3.3 Backfile Conversion

The following figure provides backfile conversion requirements by department. The quantities shown below are hard copy documents to be used for estimating purposes. The actual quantities may differ, and will be determined and negotiated upon award of contract.




Additionally, the City will store existing electronically created documents in the EDMS; current data storage indices will be provided as a clarifying response and posted to the City’s website. Therefore, Proposers should take these documents into account when sizing the proposed servers / storage devices.

Figure 7: Backfile Conversion by Departments

Back-file Conversion Estimate

Department Total Pages

60% of Pages

8.5x11 70%

Eng. Drwgs. (C & D) 5%

Microfilm

Public Works 2,530,211 1,518,127 1,062,689 75,906 379,532

City Manager 211,000 126,600 88,620 6,330 31,650

City Clerk 1,103,872 662,323 463,626 33,116 165,581

Admin. Services 3,905,400 2,343,240 1,640,268 - 585,810

Community Develop. 549,022 329,413 230,589 16,471 82,353

City Attorney 415,000 249,000 174,300 12,450 62,250

Human Resources 1,445,250 867,150 607,005 43,358 216,788

Neighborhood Services 628,000 376,800 263,760 18,840 94,200

Municipal Utility Dist. 193,000 115,800 81,060 5,790 28,950

Auditor 133,000 79,800 55,860 3,990 19,950

Office of Econ. Dev. 743,700 446,220 312,354 22,311 111,555

Fire 177,000 106,200 74,340 5,310 26,550

Parks & Recreation 181,103 108,662 76,063 10,866 27,165

Police Department 340,350 204,210 142,947 - 51,053

Library 263,370 158,022 110,615 - 39,506

TOTALS 12,819,278 7,691,567 5,384,097 254,738 1,922,892

4. SCOPE OF WORK

The City seeks the services of a highly qualified Software Vendor / Systems Integration firm with expert professional, technical EDMS / Automated Workflow implementation and integration service capabilities. The following section describes the Scope of Work for the system the City intends to




deploy. The Scope of Work section is broken out into three parts:

Part A. Systems Integration Services, which provides a general description of the desired professional services

Part B. EDMS Systems (Hardware and Software), which provides a description of the proposed solution

Part C. Backfile Conversion Services

4.1 PART A. SYSTEMS INTEGRATION SERVICES

The City is seeking Systems Integration services required to deploy the EDMS Pilot Projects, as described in Section 3. General Business and Functional Requirements of this RFP document. The following outline represents a general list of anticipated project activities for the deployment of the EDMS Pilot Projects. However, Proposers may propose tasks not specifically identified in the following list, depending on the Proposer’s project approach and application of best practices. Additionally, Proposers may propose a work plan that is carried out in a different sequence than that shown below. The City requests proposals for the following services:

1. Project ManagementThe Project shall be managed per a Project Plan developed and maintained by the Proposer. A detailed Project Plan shall be submitted with the Proposal in Microsoft Project format including timeline, tasks, key milestones and deliverables. The Proposer shall designate a Project Manager who will be the Systems Integrator’s primary contact for all Project activities. The City will also designate a City Project Manager who will be the City’s primary contact.

1.1 Progress and Status ReportsThroughout the project, the Proposer shall prepare bi-weekly written progress reports as well as Monthly Status Reports to the City Project Manager.

Bi-weekly Progress Report:The bi-weekly progress reports shall include a high level description of ongoing tasks and a list of actions items that need immediate attention by the City or Project Team (the City and the Proposer).

Monthly Status Report:The Monthly Status Report shall be the formal document that updates the Project Plan indicating the status of the project with regards to the following; Description of progress made during the reporting period, outstanding issues and

recommendations for resolution. Results obtained from previously identified issues. Deliverables completed and delivered during the reporting periods. Identify / summarize risks and impacts identified that may affect the Project, identify the

action and person(s) responsible for mitigating the risk and resolving the problem. Outstanding issues and recommendations that might impact technical, cost and scheduling

requirements, including tasks that have fallen behind schedule, the reason and corrective measures to get the project back on schedule.




2. Requirements ValidationReview the City’s EDMS Document Indexing Scheme and validate the User Groups, Document Classes / Types required for Document Management and automated business processes. The Proposer will produce an EDMS Indexing Schema for Departments in the Implementation Phases.

3. Design & Configure EDMS & Scan-stations Provide a detailed design of the EDMS, including Systems Architecture and Technical Specification for all servers, workstations and scanners. The System Architecture / Technical Specification will be used by the City to pursue one of the two following options:

A. Use that information as a specification for an EDMS / AW Hosted solution, where the systems will be located at an offsite location. This is the preferred solution.

B. Procure all hardware (servers, workstations and scanners) required for the EDMS Implementation. In this case, the Proposer will install and configure all EDMS Software.

4. Implement EDMS Solutions Provide services to develop the EDMS (Document Management, Records Management and Automated Workflow) solutions. Best practice methodologies shall be used to ensure the EDMS solutions meet the requirements of the Departments. The Proposer shall install, configure and deploy the EDMS delivering a completely functional enterprise Web-enabled EDMS solution.

5. Implement Automated Workflow Solutions Deploy the EDMS / Automated Workflow solutions for the Pilot Project Departments, including one or more of the following tools, Automated Workflows, e-Forms, e-Signatures, as appropriate for each Department Workflow. The Proposer shall design develop, test, install, configure and deploy the Automated Workflow solutions running in the same environment as the hosted EDMS (not interfaced, or third-party plug-in modules), delivering a completely functional enterprise Web-enabled EDMS solution.

6. System Production TestingProvide production testing of all EDMS Pilot Project solutions to ensure a fully functional system prior to cut-over / go-live. Production testing will include testing the EDM as different levels, e.g., all application software and hardware (at the user, department and enterprise levels), system level, security, performance stress testing, etc.

7. Systems & End User Documentation & TrainingProvide systems and Department Specific (role-based) end user documentation and training to ensure the effective and successful use of the EDMS solution, including: System Administration Use of Scanning Systems Use of EDMS solutions Use of Automated Workflow applications, including e-Forms and e-Signatures, where

appropriate




8. EDMS Delivery, System Acceptance Testing and Cut-OverWorking with City IT staff, the Proposer will provide the necessary technical staff to carry out the EDMS system acceptance testing and cut-over. At a minimum, EDMS delivery and acceptance testing will consist of the following:

Develop a testing strategy; Develop a testing plan for each department and the solutions implemented therein, including

the preparation of test cases / test scripts; System Testing:

a. Unit and module testing; b. Business testing: user acceptance testing; c. Integration testing: including testing of configuration, interfaces, data conversion, and

applicable customization;d Stress / load testing.

A complete enterprise system test will be carried out, and signed-off on by the City, prior to cutting over and going live.

9. Systems Maintenance & Ongoing Technical SupportProvide systems maintenance and ongoing technical support, including telephone, Web-based and/or onsite technical support, as appropriate.

4.2 PART B. EDMS SOFTWARE

The proposed EDMS software solution shall meet the following requirements identified in Section 3 of this document, as defined in each phase of the implementation plan. The EDMS solution will include the following software as appropriate to meet the City’s objectives:

Electronic Document Management Citywide Electronic Records Management Document Viewing, Editing and Annotating Citywide Internal Web Access Web-Enabled Services Public Web Access to City Documents Automated Workflow / Collaborative Process Management e-Forms e-Signatures Document Imaging Integration with Other City Systems4.3 PART C. BACKFILE CONVERSION SERVICES

The EDMS project carried out an inventory of hardcopy documents at the City, which was used for planning and budgeting the back-file conversion effort and costs. As of this writing, backfile conversion is ongoing. The scanned images from this current conversion effort will be loaded into the proposed EDMS.




4.3.1 Backfile Conversion

The following is a basic list of responsibilities the City expects the systems implementer/service provider to provide as part of the services. The proposed solution may supplement this list.

1. Prepare and execute a Quality PlanIn accordance with a written plan, quality control shall be performed on each scanned page to verify readability, de-skew, de-speckle, and preparation defects, and rescanning will be done as necessary to correct all issues.

2. Prepare and execute a Security PlanCity files may contain confidential information and sensitive data protected by law (e.g. HIPAA). A security plan shall be proposed that ensures the security of the files and the data contained therein throughout the project workflow.

3. Working with the City, the City will supply electronic index file schema information for all files to be scanned

4. Supply boxes and document separator sheets shall be provided.

5. Initial checking and pre-preparation of hardcopy files, insertion of document separator sheets, and boxing files for transport shall be performed.

6. End-to-end pilot testing of the complete back-file scanning process in cooperation with the City shall be coordinated including preparation and submission of a proposed solution Test Plan.

7. Documents shall be picked up and securely transported to the scanning site.

8. Documents shall be prepared for scanning including removal of fasteners, separation of folded forms, and paste-up of small documents.

9. Documents shall be scanned, indexed, examined for quality control and re-boxed.

10. Scanned document electronic files shall be delivered to the City.

11. Bulk loading of scanned document files into the City’s Document Management System shall be done.

12. Re-boxed documents shall be delivered to the City.

13. Document Retention.

A copy of all images and data shall be retained for six months or the later of contract termination or expiration. In the event of disaster or data loss at the City, on request, the Systems implementer shall transmit a copy of the missing images to the City.

14. Copies of City documents at the end of the six-month retention period shall be destroyed. A destruction certificate, listing all destroyed documents, shall be provided to the City.

15. Working with City staff, scanned document files will be spot checked and compared with re-boxed paper documents to verify that procedures have been followed properly.

Conversion Process




The Proposer shall submit a project workflow following the general guidelines shown below, with modifications based on the Proposer’s prior experience and best practices:

● The systems implementer and the City will collaborate to finalize project, security, and quality plans, and data file formats.

● Working with City staff, an electronic file containing index information for all files will be developed.

● Bar coded document separator sheets will be provided and inserted into the files. The number and use of the separator sheets will be determined based on the department and document types to be scanned.

● The City and the systems implementer will perform an end-to-end test of the document pre-preparation, boxing, transport, scanning, delivery, and file loading on a small sample of documents.

● Based on a successful test, execution of the back-file conversion project will be carried out per the schedule documented in the Project Plan.

Definition of BatchFor practical purposes a batch shall be considered a unit of work, typically a full box. Each batch will include multiple document files. A batch will enable the City to ensure accountability, performance measures, and referencing in maintaining the integrity of its property. All documents in each batch must be returned as a unit, with identification of the BatchID prominently marked.

Turnaround CriteriaThe City expects to have a turn around time of five (5) to ten (10) working days (unless otherwise specified and agreed to by the City) from the time the files are picked up by the Systems implementer until the time the boxed files are returned and the electronic files are delivered to the City. The City shall have the ability to request work prioritization based on operational needs. This may include the scanning of a specific batch or file. The Systems implementer shall also propose a procedure for returning a file to the City rapidly in the event of an emergency.

ReportingUpon each delivery of returned documents, the systems implementer shall provide a cumulative report indicating all box numbers returned, the date of return, and the boxes and documents contained on every batch. The systems implementer shall provide this report in an Excel spreadsheet and printed copy.

The Systems implementer shall include a sample report with the proposal along with a copy of any shipping or other inventory control documents to be used.

Quality ControlIn accordance with a written plan, the systems implementer shall perform quality control on each scanned page to verify readability, de-skew, de-speckle, and preparation defects, and will rescan as necessary to correct all issues. The systems implementer shall submit the quality control plan with its proposal. The plan shall specify the level of checking performed, the pass/fail criteria, and the defect correction process.




Quality AssuranceThe City will perform spot checks on each batch. In the event that there are illegible or damaged images (fuzzy, unclear, wrong orientation, miss scanned, miss indexed) the systems implementer shall incur the cost of reprocessing, and deliver the reprocessed documents within five working days of notification by email.

Format of Batch Identification (BatchID)The systems implementer shall identify each batch with a unique number. The numbering scheme shall provide proper identification of the batch during processing by the Systems implementer and upon return to the City.

Example of a completed BatchID: HR-VEND-yyyymmddbbb1. Department Id: HR (for Human Resources)2. Systems implementer Id: City’s Vendor Code for the scanning Systems implementer.3. Batch Serial Number: A unique number that identifies the batch. The number is composed of

the batch date and a 3 digit serial number.

LabelingThe systems implementer shall label each box on the top and on at least two adjacent sides with the BatchID, appended with a two-digit sequence number of the box within the batch (example: HR-VENDyyyymmddbbb-nn). If there is only one box in the batch, the number will be 01. The labeling shall be in characters at least one inch high.Electronic File DeliveryThe Systems implementer shall deliver the electronic files in one of two methods, as mutually agreed upon by the City and Systems implementer:

1. On CD ROM, with the contents of the CD ROM noted using the labeling standard identified in subsection 4.11 above.

2. By transmitting them from the systems implementer’s Internet connection to a City FTP (File Transfer Protocol) site, using PGP (Pretty Good Privacy) encryption with a 4096 bit key. The City will provide its public key to the Systems implementer and the Systems implementer will supply their public key to the City. The Systems implementer will provide the City with the IP address they will use to transmit the files. The Systems implementer will only be able to FTP the files to the City from the supplied IP address. Each batch shall be transmitted as a set of image files plus a batch file. The image files shall be in multi-page Tiff format. The batch file shall be a standard ASCII text file that contains the necessary index and metadata to be imported into the EDMS.

IndexingAll scanned documents shall be indexed in accordance with the Data Fields Table provided by the City, and/or agreed upon during an earlier phase of this project. Necessary index values will be bar-coded onto document separator sheets from which they can be read by the scanner.

Bulk Loading of Previously Scanned Documents




Documents scanned in the ongoing conversion effort will be bulk-loaded into the Proposed EDMS.




5. REQUIRED PROPOSAL SUBMISSION CONTENTS

Each Proposer is expected to fully respond to each of the following proposal sections and submit responses in the same order. Additional supporting documentation is to be included as appendices to the submission, and must be as concise as possible.

5.1 LETTER OF TRANSMITTAL

This letter will summarize, in a brief and concise manner, the Proposer’s understanding of the requested services and the commitment to perform the project in a timely manner. Include a statement noting that the Proposal is good for a period of 120 days, in addition to the official name of the firm submitting the proposal, mailing address, e-mail address, telephone number, fax number and contact name.

5.2 TABLE OF CONTENTS

Include a clear identification of the proposal by section and page number.

5.3 MANDATORY SYSTEMS REQUIREMENTS FORM

Include the Mandatory Systems Requirements Form (Section 3.2.1 of this RFP)

5.4 EXECUTIVE SUMMARY

The Proposer will provide an Executive Summary that presents in brief, concise terms a summary level description of the contents of the proposal. In addition, the Vendor must clearly and specifically detail all exceptions to the requirements of this RFP.

5.5 SECTION 1: COMPANY BACKGROUND

The Proposer will provide a profile of its organization. The Proposer may attach any additional literature and product brochures. At a minimum the Proposer will provide the following information: Company Background and the year the firm was established Business Organization, number of employees, and the number of employees focused on this

type of engagement Products and Services Provided by the Company Financial Stability of the Proposer’s Firm, provide a financial reference or annual report

5.6 SECTION 2: FIRM’S SYSTEMS INTEGRATION QUALIFICATIONS

The Proposer shall include qualifications and experience of the firm and the proposed implementation team. The Proposer shall provide a description of capabilities related to enterprise EDMS projects of a similar size, complexity and business. Provide resumes of the Project Manager and Technical project staff who will be assigned to this project. The Proposer may include any additional literature and product brochures in the Appendix.




5.7 SECTION 3: SIMILAR EDMS PROJECTS

The Proposer must provide a minimum of five similar projects performed for clients of a similar size, complexity and business. The Proposer will provide the following information: Client Name Project Manager Contact, email, telephone number Size of the Organization Brief Project Description: Project Scope of Work, Number of Departments, Number of Update

Users, Total Number of Users, EDMS Applications Deployed in the hosted environment, Type and Number of Business Workflows, Number of Document Converted and/or Stored

5.8 SECTION 4: CLIENT REFERENCES

The Proposer must provide a minimum of three government client references for similar work performed for government organizations of a similar size, complexity and business – using the same hosted products proposed for the City of Stockton. The Proposer will provide the following information about client references: client name, client project manager contact information.

5.9 SECTION 5: APPROACH TO THE PROJECT

This portion of the proposal will explain the approach to the project based on the scope of work, as understood by the Proposer, including innovative ideas/approaches; cost saving ideas/methods; and any other information the Proposer may deem advantageous to demonstrate understanding and approach to the work.

Proposal will include, at a minimum, the following information:

5.9.1 Project Organization:

Provide a description of the proposed project organization, roles and responsibilities (including Subconsultants if applicable). The Proposer will address the following: Project Staffing Plan Project Organization Chart Description of roles of Project Team Hours per Task for each Project Team member Description of the required participation of City Staff for each Phase and Task

5.9.2 Technical Approach

Proposed Software and Systems Environment:Provide an overview of the Software and Hardware Architecture proposed for the City. The Proposer must present a detail description of key features and capabilities of the following proposed software as they relate to the City:

Electronic Document Management Software Records Management Software




Document Viewing, Editing and Annotating Citywide Internal Web Access Web-Enabled Services / Publishing Public Web Access Automated Workflow Software e-Forms Software e-Signature Software Collaborative Process Management Small Scale Document Imaging Software Large Scale Document Imaging Software Metadata Based Content Management Integration with Other City Systems

In addition to the description, please provide in succinct narrative form (at least one paragraph per item) answers to the following questions:

Modular Integration. What proposed modules are fully integrated (part of the base software) into the main EDMS software? What are the proposed third-party software products? If there are proposed third-party software products, explain how they are integrated into the main EDMS software (e.g., Do the third-party software products share security definitions and similar menu structures?) What processes are handled in “realtime”? What processes require batch processes?

Technology Architecture. When identifying the proposed technical architecture requirements, please identify the optimal configuration, not merely the minimum configuration. Recognizing the City’s stated preferences, Proposers must include a response for each of the following issues:

Hardware Environment. Describe the optimal hardware environment (both clients and servers) required to utilize the proposed software. In the event there is more than one suitable hardware platform, list all options indicating the relative strengths and drawbacks (if any) of each. It is anticipated that up to four (4) separate environments will be required to complete this project successfully. These environments include the following: Production, Development, Training and Test. If more or different environments are required, they must be clearly defined. The proposed optimal design should include the following key information:

o Total number of servers and their key functions for each of the environments.o Correct sizing for each server in each environment, including but not limited to: number

and size of CPU’s, amount and type of memory, number and size of hard drives (or other storage requirements, i.e. SAN), configuration of hard drives (e.g., RAID 5, Mirror, etc.), Network Card speed and number, configuration of network cards (e.g., network teaming, heartbeat / keepalive).

o A clear mapping of each module or component to each server proposed in design. This should include every possible function that each server will perform. i.e. Server A = Web Server, SMTP / eMail, performance monitoring tools, etc. Server B = Application, Scheduler, interfaces to X, other modules or components. Server C = Database, DB tools, interfaces to X, etc.




o Any software that needs to be installed on any user workstation (client) to execute any function in the proposed software, access any data or any module

Network / Communications Environment. Describe the optimal network / communications environment required to utilize the proposed hosted software. This includes identifying the appropriate network / communications performance required in order to support the end users of the proposed software. In the event that there is more than one suitable network configuration, list all options, including the relative strengths and weaknesses (if any) of each.

Operating System. Identify the operating system required by the proposed software and database management system in the hardware environment recommended above. In the event there is more than one suitable operating system or an optimal system, list all options indicating the relative strengths and drawbacks (if any) of each.

Database Platform. The City prefers the use of the Oracle database platform. The Proposer should provide a qualitative discussion regarding the proposed software’s ability to perform backups irrespective of open records.

Reporting and Analysis Tools. What reporting tools are available? What On-Line Analytical Processing (OLAP) tools are available? Are there any interfaces to common desktop packages? Describe the performance management and executive dashboard tools included with the system? Do the same security definitions apply to the reporting tools as to the main EDMS software?

On-going Internal Functional and Technical Support. What is the recommended make-up of the internal (City) functional and technical support team post-implementation? What is the number of staff and skill set required to adequately maintain the system after the implementation partner has left? Please include recommendations for each key area of support, including: EDMS Software, Database, Infrastructure (servers), Help Desk, etc. Also, include recommendations for staffing for shift work (swing/graveyard including weekends) and support as needed.

Software Version. Identify the most current version of the software. The Proposer must provide during implementation the most current version of the software. All known posted and identified fixes to "bugs" within the system must also be applied at time of implementation.

Reliance on Best Business Practices / Degree of Process Reengineering Imposed or Required. Please describe in detail the best business practices that are built into your software. How do these practices pertain to City operations in particular?

Workflow Capabilities. How does workflow (electronic routing of documents) in your system operate? How are workflow rules established? Is the workflow functionality limited to some of the modules, or is it pervasive throughout all modules? It the workflow integrated with any proposed third party products? How does workflow interface with email programs, such as Novell GroupWise Enterprise Messaging System?

Administration/Development Toolsets. What toolsets are included with the software? What unique programming requirements are there? What tools are available to customize the software (e.g., add fields, create new tables, change menus, etc.)?




Security. What security tools are included with the software? How does your software restrict access to the following: administrative tool access, EDMS software access, menu access, record access, field access, and querying/reporting access? What is included in the user security profile? How is the security profile defined?

Upgrade tools. What is the upgrade frequency? How are patches and fixes deployed?

Integration. Referencing the list of existing City applications shown in Figure 6, provide the following:

A checklist indicating which applications shown in Figure 6 the proposed hosted EDMS can interface with, and the method of accomplishing that integration / interfacing.

A description of how the hosted solution will integrate with the City’s internal ERP system (HTE) and other enterprise / office automation applications; and the levels of performance the Proposal will guarantee, e.g. uptime and response times.

Proposed Third-Party Software / Hardware ProductsTo the extent that a third-party product is required to compensate for functionality that is absent in the proposed software, the Proposer should explicitly state the name of any third-party products and provide a description of the product(s). For each third-party product, proposals must include a statement including whether the Proposer’s contract will encompass the third-party product and/or whether the City will have to contract on its own for the product. Provide a description of how proposed third-party applications will be deployed, managed and supported in the hosted environment.

5.9.3 Project Management Approach

Include a description of the proposed project planning and management approach, including the use of best practices. Note assumptions related to the proposal, as appropriate, e.g., such as use of City office space, access to City staff, etc.

5.10 SECTION 6: SCOPE OF WORK & DELIVERABLES

Proposal shall provide a detailed work plan to be followed during the course of the project (including deliverables for each task / subtask) for Part A and B of the Scope of Work.

Part A: EDMS Implementation Professional Services: Address providing all implementation services required to deploy the Pilot Project Departments, subsequent City Departments, including the bulk loading of existing scanned image files / index data into the proposed EDMS.

Part B: EDMS Software Solution: Provide a complete detailed and itemized list of all the

EDMS software needed to meet the requirements of the Pilot Projects, and subsequent Departments, including ongoing technical support and maintenance.

Identify all product(s) being provided with a general (brief) description of the functions and features of the proposed system;

Describe a preliminary high level system architecture including all servers, the




software installed on each server, and software installed on desktops.

List all third party products (if applicable) required and relationship to the proposed solution, which are organized in the same order as in the Cost Proposal

Describe the security for information and systems infrastructure.

Include information on vendor provided training: Systems Administration, End User training for all solutions deployed in the Pilot Projects, and Application Development training for the proposed products.

Describe the release, upgrade and bug fix program, including frequency and notification process.

Describe the Maintenance and Technical Support options offered as part of the proposal.

List hardware specifications to run the system, including versions supported.

Part C: Backfile Conversion Services: Address providing all backfile conversion services required to convert the documents (hardcopy, microfilm and microfiche) including the migration of the existing scanned image files / index data to the proposed EDMS.

5.11 SECTION 7: PROJECT SCHEDULE

The City’s objective is to have each of the phases completed in approximately eight months. Proposal shall provide an overview of the proposed Phase 1 implementation schedule in a MS Project Schedule. The Project Schedule will indicate all Tasks, Subtasks, Key Milestones and Deliverables. The detailed Gantt chart should identify task durations; start and completion dates; and tasks where City staff is required to support the task. Project schedule assumptions made by Proposer should also be noted.

5.12 SECTION 8: COST PROPOSAL

The Proposer shall provide a detailed cost breakdown under separate seal, showing the total cost to the City for the performance of all services, expenses, materials and deliverables, in addition to all software costs, to be used for completion of this project. The Proposer shall provide pricing information for the project, including:

A breakdown of costs by project task, deliverables, or other appropriate measure. A list of hourly rates to be charged per each staff person that will be assigned to the project. An estimate of Direct Cost and/or Travel Expenses A Payment Schedule tied to Project Deliverables A description of cost assumptions used in the preparation of the Proposal.

In addition to the above information, Proposers shall fill out and submit Attachment 6: Stockton EDMS Costs. Failure to submit this information may result in your Proposal being rejected.

The City and the selected Proposer shall negotiate the final cost, based on the Scope of Work




finalized in contract negotiations.

5.13 SECTION 9: CONSULTANT SERVICES AGREEMENT

The consultant / vendor selected will be required to complete a City of Stockton Consultant and Professional Services Agreement. A copy of the agreement is included as Attachment 9. The Proposer shall explicitly indicate review of and agreement to the General Provisions of this agreement and identify any exceptions or "deal breakers.”

5.14 SECTION 10: CONFLICT OF INTEREST

It is preferable that the Proposer be an independent entity with no direct affiliation with any equipment or software manufacturer. If such a relationship exists, the Proposer must identify the organization(s) and the nature of the relationship and indicate Proposer could still be relied upon to work solely in the City’s best interest.




6. EVALUATION PROCEDURE AND CRITERIA

The City is interested in selecting a qualified firm with the ability to provide an Enterprise Document Management solution. A key component for the successful firm will be the ability to meet the City’s performance requirements while minimizing the cost.

Following review of the qualifications, the Panel may invite one or more proponents to make an oral presentation. During these presentations, the proponent will be allowed to present such information as may be appropriate in order that the Panel can effectively and objectively analyze all materials and documentation submitted.

Each firm must be represented by an individual who will be the prime contact person to the City and any other individuals whom the firm may select. The most qualified response(s) will then be further scrutinized through financial analysis and reference checks.

To that end, the panel will evaluate the responses based on, but not limited to, the following criteria.

Firm’s demonstrated operational capabilities stressing the ability to provide Enterprise Document Management solutions;

Firm’s innovative approach to the project; Firm’s references; Conformance with guidelines and format outlined in this Request for Qualifications; Firm’s verified history of customer satisfaction; Any other criteria as best suits the City of Stockton.

6.1 GENERAL TERMS AND CONDITIONS

6.1.1 Firm is not an Employee of City

It is understood that Firm will not act hereunder in any manner as an employee of City, but solely under this Agreement as an independent consultant, and City shall not under any circumstances be liable to Firm or any person or persons acting for or under it, or to any person injured, for any deaths, injuries, or property damage received or claimed, unless any such liability arises by virtue of negligence by City, its officers, agents, or employees, and Firm agrees to defend and hold City free and harmless from liability therefore which is not due to any fault of City, its officers, agents, or employees.

6.1.2 Product Ownership

Any documents or drawings resulting from the contract will be the property of the City of Stockton.

6.1.3 Licensing Requirements

Any professional or business licenses required will be the sole cost and responsibility of the Firm.




6.1.4 Development Costs

The cost of preparing and submitting a response is the sole responsibility of the Proposer.
