1.1 Request for Proposal (RFP) Process 7

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1.1 Request for Proposal (RFP) Process 7

  1. 1. City of Stockton Electronic 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 OF 2:00 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
  2. 2. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL Table of Contents NOTICE INVITING PROPOSALS..............................................................................5 Proponent’s Checklist..................................................................................................6 Section 1 General Information.................................................................................................6 1.1 Request for Proposal (RFP) Process...........................................................................7 1.2 Invitation to Submit a Proposal....................................................................................7 1.3 Local Business Preference..........................................................................................7 1.4 Consequence of Submission of Proposal....................................................................8 1.5 Acceptance or Rejection of Proposal...........................................................................8 1.6 Right to Change or Amend Request............................................................................8 1.7 Cancellation.................................................................................................................9 1.8 Examination of Proposal Materials..............................................................................9 1.9 Addenda and Interpretation.........................................................................................9 1.10 Disqualification.............................................................................................................9 1.11 Informal Proposal Rejected.......................................................................................10 1.12 Conditions to be accepted if any Work is Subcontracted...........................................10 1.13 Licensing Requirements............................................................................................10 1.14 Insurance Requirements............................................................................................10 1.15 Hold Harmless Defense Clause.................................................................................11 1.16 Applicable Law...........................................................................................................11 1.17 Method of Payment....................................................................................................11 1.18 Notice to Out-of-State Vendor....................................................................................11 1.19 Term..........................................................................................................................12 1.20 Competitive Pricing....................................................................................................12 1.21 Funding......................................................................................................................12 1.22 Unconditional Termination for Convenience..............................................................12 1.23 Auditing of Charges and Services..............................................................................12 1.24 Changes....................................................................................................................13 1.25 Award........................................................................................................................13 1.26 Product Ownership....................................................................................................13 1.27 Confidentiality............................................................................................................13 1.28 Other Governmental Agencies...................................................................................13 1.29 Mandatory Pre-Bid Conference.................................................................................14 1.30 Prevailing Wages.......................................................................................................14 1.31 Proponent’s Safety Responsibility.............................................................................14 Section 2 Background Information........................................................................................15 2.1 City of Stockton..........................................................................................................15 2.2 City of Stockton EDMS Program Background............................................................15 2.3 Goals and Objectives of the Enterprise EDMS Program ..........................................15 2.3.1 Enterprise EDMS Goal..............................................................................................15 2.3.2 City Objectives...........................................................................................................15 2.4 Citywide EDMS Deployment Strategy.......................................................................16 Figure 1: City of Stockton Deployment Approach.....................................................17 2.4.1 Enterprise EDMS / Automated Workflow Solution Deployment.................................17 City of Stockton EDMS RFP FINAL 2
  3. 3. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL Figure 2: Enterprise EDMS Implementation.............................................................18 2.5 Guidelines..................................................................................................................18 Section 3 Business, Functional and Technical Requirements............................................20 3.1 Business and Functional Requirements....................................................................20 3.1.1 Community Development Permit Process................................................... .20 3.1.2 City Manager............................................................................................... .21 3.1.3 City Clerk......................................................................................................22 3.1.4 Administrative Services ................................................................................23 3.1.5 Community Development, Building Permits................................................ .25 3.1.6 City Attorney................................................................................................ .26 3.2 Systems Requirements..............................................................................................27 3.2.1 Mandatory Systems Requirements Form..................................................................27 3.2.2 Hardware...................................................................................................................29 Figure 3: Scan Station Hardware / Software.............................................................30 3.2.3 Software....................................................................................................................30 Figure 4: EDMS Concurrent User Assumptions........................................................30 3.2.3.1 EDMS Functionality Matrix .......................................................................................31 Figure 5: EDMS Features & Functions Matrix...........................................................33 Document Capture.....................................................................................33 Scanning....................................................................................................34 Document Management............................................................................41 Business Process Management................................................................48 Collaborative Process Management..........................................................51 E-Government Services.............................................................................52 Operational and Design Requirements......................................................55 3.3 Professional Services ...............................................................................................64 3.3.1 Implementation .........................................................................................................64 3.3.2 Integration..................................................................................................................64 Figure 6: Enterprise Application Integration Requirements........................................65 3.3.3 Backfile Conversion...................................................................................................66 Figure 7: Backfile Conversion by Departments..........................................................66 Section 4 Scope of Work ......................................................................................................67 4.1 Part A. Systems Integration Services.......................................................................67 1. Project Management...........................................................................................67 2. Requirements Validation.....................................................................................68 3. Design & Configure EDMS & Scan-stations........................................................68 4. Implement EDMS Solutions................................................................................68 5. Implement Automated Workflow Solutions..........................................................68 6. System Production Testing.................................................................................68 7. Systems & End User Documentation & Training.................................................68 8 EDMS Delivery, System Acceptance Testing and Cut-Over...............................69 9 Systems Maintenance & Ongoing Technical Support.........................................69 4.2 Part B. EDMS Software............................................................................................69 4.3 Part C. Backfile Conversion Services......................................................................70 4.3.1 Backfile Conversion...................................................................................................70 City of Stockton EDMS RFP FINAL 3
  4. 4. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL ....................................................................................................................................... ....................................................................................................................................... ...................................................................................................................................... ....................................................................................................................................... Section 5 Required Proposal Submission Contents............................................................74 5.1 Letter of Transmittal...................................................................................................74 5.2 Table of Contents......................................................................................................74 5.3 Mandatory Systems Requirements Form..................................................................74 5.4 Executive Summary...................................................................................................74 5.5 Section 1: Company Background............................................................................74 5.6 Section 2: Firm’s Systems Integration Qualifications...............................................74 5.7 Section 3: Similar EDMS Projects...........................................................................75 5.8 Section 4: Client References...................................................................................75 5.9 Section 5: Approach to the Project..........................................................................75 5.9.1 Project Organization..................................................................................................75 5.9.2 Technical Approach...................................................................................................75 5.9.3 Project Management Approach.................................................................................78 5.10 Section 6: Scope of Work & Deliverables................................................................78 Part A: EDMS Implementation Professional Services...........................78 Part B: EDMS Software Solution...........................................................78 Part C: Backfile Conversion Services....................................................79 5.11 Section 7: Project Schedule....................................................................................79 5.12 Section 8: Cost Proposal.........................................................................................79 5.13 Section 9: Consultant Services Agreement.............................................................80 5.14 Section 10: Conflict of Interest..................................................................................80 Section 6 Evaluation Procedure and Criteria .......................................................................81 6.1 GENERAL TERMS AND CONDITIONS....................................................................81 6.1.1 Firm is not an Employee of City.................................................................................81 6.1.2 Product Ownership....................................................................................................81 6.1.3 Licensing Requirements............................................................................................81 6.1.4 Development Costs...................................................................................................82 Attachments: Attachment 1 CDD Development Permit Process Attachment 2 City Clerk Receiving - Disposition Process Attachment 3 Admin Services Accounts Payable Process Attachment 4 CDD Building Division Building Permit Process Attachment 5 Stockton EDMS Reference Form Attachment 6 Stockton EDMS Cost Summary Attachment 7 Stockton EDMS Non-Collusion Affidavit Attachment 8 Stockton IT Environment Attachment 9 Consultant Services Agreement Attachment 10 Additional Insurance Sample Attachment 11 Sample Insurance Form Attachment 12 Proponent’s Agreement City of Stockton EDMS RFP FINAL 4
  5. 5. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL City of Stockton EDMS RFP FINAL 5
  6. 6. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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 tony.degruy@ci.stocktonl.ca.us, 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/Clarification Tony A. DeGruy, IT Program Manager Dave Milton, Sr. Buyer (209) 937-8554 (209) 937-8608 e-mail: tony.degruy@ci.stockton.ca.us e-mail: dave.milton@ci.stockton.ca.us 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 MEISSNER CITY CLERK OF THE CLERK City of Stockton EDMS RFP FINAL 6
  7. 7. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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) 937-8554 Dave Milton at (209) 937-8608 e-mail: tony.degruy@ci.stockton.ca.us e-mail: dave.milton@ci.stockton.ca.us *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. City of Stockton EDMS RFP FINAL 7
  8. 8. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR 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 CLERK CITY OF STOCKTON 425 NORTH EL DORADO STREET STOCKTON, 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 8
  9. 9. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 9
  10. 10. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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 tony.degruy@ci.stockton.ca.us 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: 061020 Stockton EDMS RFP FINAL.doc 10
  11. 11. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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 061020 Stockton EDMS RFP FINAL.doc 11
  12. 12. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 12
  13. 13. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 13
  14. 14. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 14
  15. 15. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 15
  16. 16. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 16
  17. 17. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL • 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 061020 Stockton EDMS RFP FINAL.doc 17
  18. 18. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL • 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 Phase 1 Phase 2 Phase 3 Phase 4 Group 1 EDMS Group 2 EDMS Group 3 EDMS Group 1 AW Group 2 AW Group 3 AW 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: 061020 Stockton EDMS RFP FINAL.doc 18
  19. 19. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. Auditor 11. 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 061020 Stockton EDMS RFP FINAL.doc 19
  20. 20. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 20
  21. 21. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 21
  22. 22. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL • 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 Background Information 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. 061020 Stockton EDMS RFP FINAL.doc 22
  23. 23. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL • 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 Background Information 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: 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 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. 2. Imaging requirements: • Implement imaging solution to support scanning and linking of hardcopy documents to 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: 061020 Stockton EDMS RFP FINAL.doc 23
  24. 24. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL • 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 to GroupWise emails as attachments.) 3.1.4 Administrative Services Background Information 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 061020 Stockton EDMS RFP FINAL.doc 24
  25. 25. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL • 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: 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 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. 2. Imaging requirements: • Implement imaging solution to support scanning and linking of hardcopy documents to 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. • Reduce record handling processes that are conducted manually leaving the City vulnerable to inaccuracies and inefficiencies. • 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. 061020 Stockton EDMS RFP FINAL.doc 25
  26. 26. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL • 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 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 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: 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 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. 2. Imaging requirements: 061020 Stockton EDMS RFP FINAL.doc 26
  27. 27. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL • 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. 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 records inventory. • Use of automated tools that adequately address the full spectrum of records management 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 to GroupWise emails as attachments.) 3.1.6 City Attorney Background Information 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; 061020 Stockton EDMS RFP FINAL.doc 27
  28. 28. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL  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. 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. 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 records inventory. • Use of automated tools that adequately address the full spectrum of records management 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 061020 Stockton EDMS RFP FINAL.doc 28
  29. 29. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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) Location Go-Live Customer Contact Contact Phone Account Name (City, State) Date Name 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) Location Customer Contact Account Name (City, State) Contact Name Phone Number Population Budget Number of Go-Live 061020 Stockton EDMS RFP FINAL.doc 29
  30. 30. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL Employees Date Number of Users Number of Number of Department Documents Departments 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 061020 Stockton EDMS RFP FINAL.doc 30
  31. 31. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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 Large Imaging Scans/ Scanner Scanner SW 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 Concurrent Total Staff EDMS Users Users Phase 1 73 1. Public Works 061020 Stockton EDMS RFP FINAL.doc 31
  32. 32. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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 Management 3. Business Process Management 061020 Stockton EDMS RFP FINAL.doc 32
  33. 33. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 4. Collaborative Process Management 5. e-Government Services 6. Operational and Design Requirements Priority Type Column Each 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 Column In 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 Column A 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. 061020 Stockton EDMS RFP FINAL.doc 33
  34. 34. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL Figure 5: EDMS Features & Functions Matrix Priority EDMS Feature/Function Provided Explanation (Can be Type Requirement 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 061020 Stockton EDMS RFP FINAL.doc 34
  35. 35. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. Priority EDMS Feature/Function Provided Explanation (Can be Type Requirement expanded or Referenced) 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 061020 Stockton EDMS RFP FINAL.doc 35
  36. 36. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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 061020 Stockton EDMS RFP FINAL.doc 36
  37. 37. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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 061020 Stockton EDMS RFP FINAL.doc 37
  38. 38. City of Stockton Electronic Document Management System & Systems Integration Services REQUEST FOR PROPOSAL 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. 061020 Stockton EDMS RFP FINAL.doc 38

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