Department of Buildings and General Services
Agency of Administration
Purchasing & Contract Administration 10 Baldwin St.
Montpelier VT 05633
[phone] 802-828-2210
[Fax] 802-828-2222
www.bgs.state.vt.us
SEALED BID REQUEST FOR INFORMATION AHS-DVHA Business Office Enterprise Content Management System DATE: November 26, 2013 QUESTIONS DUE BY: December 13th, 2013 4:30 PM RFI RESPONSE DUE DATE: January 10th, 2014 TIME DUE: 3:00 p.m. LOCATION FOR RFI RETURN: 10 Baldwin St, Montpelier, VT 05633 PLEASE BE ADVISED THAT ALL NOTIFICATIONS, RELEASES AND AMENDMENTS ASSOCIATED WITH THIS RFI WILL BE POSTED AT http://bgs.vermont.gov/purchasing/. THE STATE WILL MAKE NO ATTEMPT TO CONTACT VENDORS WITH UPDATED INFORMATION. IT WILL BE THE RESPONSIBILITY OF EACH VENDOR TO PERIODICALLY CHECK THIS SITE FOR THE LATEST DETAILS.
PURCHASING AGENT: John McIntyre TELEPHONE: (802) 828-2210 E-MAIL:
[email protected] FAX: (802) 828-2222
Contents 1 PURPOSE ............................................................................................................................................................................ 3 1.1 LIABILITY ................................................................................................................................................................... 3 1.2 CONFIDENTIALITY ................................................................................................................................................... 3 2 BACKGROUND INFORMATION .................................................................................................................................... 3 3 RFI DESCRIPTION ............................................................................................................................................................ 4 4 CURRENT STATE ............................................................................................................................................................. 5 5 STATEMENT OF WORK................................................................................................................................................... 6 5.1 ANTICIPATED REQUIREMENTS ............................................................................................................................ 6 5.1.1 Business Requirements .......................................................................................................................................... 6 5.1.2 Functional Requirements ....................................................................................................................................... 7 5.1.3 On-Going Maintenance/Service Level Requirements............................................................................................ 8 5.1.4 Technical Requirements ......................................................................................................................................... 8 5.1.5 Project Management Requirements ....................................................................................................................... 8 5.1.6 Training Requirements ........................................................................................................................................... 8 5.1.7 Documentation Requirements ................................................................................................................................ 8 6 REQUESTED INFORMATION ......................................................................................................................................... 8 6.1 COVER PAGE.............................................................................................................................................................. 9 6.2 VENDOR QUESTIONNAIRE ..................................................................................................................................... 9 6.3 CONTACT INFORMATION ....................................................................................................................................... 9 6.4 RFI RESPONSE SUBMISSION .................................................................................................................................. 9 6.5 EXPLANATION OF EVENTS .................................................................................................................................... 9 7 VENDOR QUESTIONNAIRE .......................................................................................................................................... 10 8 APPENDIX A: COST ESTIMATE WORKSHEET ......................................................................................................... 11 8.1: COST ESTIMATE TABLES ................................................................................................................................... 11 8.2 ADDITIONAL MATERIALS .................................................................................................................................... 11
1 PURPOSE This Request for Information (RFI) is issued for the Agency of Human Services to gather input and obtain information and cost estimates in proceeding with proposals to implement an enterprise content management solution for the Department of Vermont Health Access - Business Office division and scalable to the other BO divisions within the agency. The Agency of Human Services intends to evaluate the submissions by respondents to explore how they would meet their needs and understand the cost associated with proposed solutions. The Agency of Human Services shall not be held liable for any costs incurred by the vendors in the preparation of their submission, or for any work performed prior to contract issuance.
1.1 LIABILITY THIS IS A REQUEST FOR INFORMATION (RFI) ONLY. This RFI is issued solely for information and planning purposes – it does not constitute a Request for Proposal (RFP) or a promise to issue an RFP in the future. This request for information does not commit the State to contract for any materials or service whatsoever. Further, the State is not at this time seeking proposals and will not accept unsolicited proposals. Respondees are advised that the State will not pay for any information or administrative costs incurred in response to this RFI; all costs associated with responding to this RFI will be solely at the interested party’s expense. Not responding to this RFI does not preclude participation in any future RFP, if any is issued. If an RFP is released, it will be posted on the BGS bid opportunities web site: http://www.bgs.state.vt.us/pca/bids/bids.php. It is the responsibility of the potential offerors to monitor this site for additional information
1.2 CONFIDENTIALITY The Agency of Human Services retains the right to promote transparency and to place this RFI into the public domain, and to make a copy of the RFI available as a provision of the Vermont access to public records laws. Please do not include any information in your RFI response that is confidential or proprietary, as the Agency of Human Services assumes no responsibility for excluding information in response to records requests. Any request for information made by a third party will be examined in light of the exemptions provided in the Vermont access to public records laws. The solicitation of this RFI does not commit the Agency of Human Services or the State of Vermont to award a contract. This RFI is for information gathering purposes only and no vendor will be selected, pre-qualified, or exempted based upon their RFI participation.
2 BACKGROUND INFORMATION The Agency of Human Services serves as the umbrella organization for all human service activities within state government. The agency has seven departments: Central Office, Department of Children and Families, Department of Health, Department of Corrections, Department of Disabilities, Aging and Independent living, Department of Mental Health, and Department of Vermont Health Access. Each department has a business office division responsible for accounting and financial functions, including vendor payments, expense reports, grants, contracts, purchasing, financial monitoring, budgeting and other relevant practices, procedures, and processes.
Figure 1: Agency Of Human Services Organizational Chart The need for an Enterprise Content Management was initiated from the Department of Vermont Health Access (DVHA). DVHA is the state department responsible for the management of Vermont's publicly funded Health Insurance Programs.
3 RFI DESCRIPTION The State of Vermont is seeking information to implement an Enterprise Content Management system for the Agency of Human Service - Department of Vermont Health Access Business Office (AHS-DVHA BO). The RFI has three key objectives: Provide prospective respondents with information regarding the business need, and, Solicit respondent information to assist the State in determining if identified requirements can be met by available software/hardware COTS (Commercial off the Shelf) alternatives. Demonstrate a Proof of Concept for an Enterprise Content Management system for the Department for Vermont Health Access - Business Office within the Agency Of Human Services. The State is seeking feedback on the information in this RFI and will consider any information, including partial responses, received in response to this RFI. If the State moves forward in the development of an RFP, the RFP process will be open to all respondents regardless of their decision to participate in this RFI. The State envisions that the solution will support the following high-level goals: Imaging of Business Office paper documents Manual and Automatic Indexing using OCR and IDR
Document workflow where needed: Review, Date Stamp, Approval and e-Signature Scalable solution to the other BO divisions within the agency Solution can potentially integrate with the ERP-Financial system
4 CURRENT STATE The Department of Vermont Health Access (DVHA) Business Office handles on a daily basis paper documents for processing: Account Payable Account Receivable Contract Grants Expense Receipts Memorandum of Understanding Checks And other internal forms The documents go through a defined process. In general a Business Office document is sent for review, approval, date stamp and signature before it gets filled into a filing cabinet. The data in the document are manually interred in the ERP-Financial system (VISION). The example below illustrates the Account Payable Workflow:
Figure 2 : Account Payable Workflow
A document might require several reviews and approval from different departments and agencies within the State of Vermont (SOV) before it gets back to the business office for processing. In this case, documents are sent by mail or scanned/emailed. A log is kept to track manually the document workflow. Once the processing of the document is done, it is filed along with the printout of email correspondences, printout of the ERPFinancial system screen shot that contains the data. Per year, the DVHA-BO filing cabinet contains on average 20,000 pages. Depending on the document type, the filing cabinets are sorted alphabetically by Vendor name or chronologically per program or department. The location for the filing cabinets for the present and past year is located at the business office in Williston, Vermont. Any content prior to the past year is boxed and placed in a storage area within the building for another couple of years, during this period of time the content might be used for audit purposes. The retention period is dependent on the document type. The business office might decide to send the documents directly to secure shredding or to the state archive for storage for the rest of the retention period. The process described above is shared by the other six departments within the Agency of Human Services: Central Office (CO) Department of Children and Families (DCF) Department of Corrections (DOC) Department of Disabilities, Aging and Independent Living (DAIL) Department of Health (VDH) Department of Mental Health (DMH) Other divisions within DVHA and DCF have implemented an ECM system (OnBase v.9, Oracle WebCenter Content v.11). In addition, AHS uses SharePoint 2007 for document management.
5 STATEMENT OF WORK 5.1 ANTICIPATED REQUIREMENTS The purpose of this RFI is to determine if there are solutions capable of meeting the State’s anticipated requirements and to determine alternatives for meeting those requirements that are consistent with the overall vision for the Agency of Human Services and the State. The State’s discovery efforts to date have resulted in a desire to obtain access to solutions with the following attributes:
5.1.1 Business Requirements Business Office identified the need to: Reduce the amount of paper handling and manual processing of business office documents Reduce document loss Reduce manual tracking of documents Have the document easily accessible upon request Reduce the time to retrieve documents Have a defined process implementation per document type Enforce retention policies for business office documents Training on tool selected for business and administration functions
5.1.2 Functional Requirements The requirements are based on the ECM components and technologies defined by AIIM (Association for Information and Image Management): capture (CAP), manage (MNG), store (STR), preserve (PRV), and deliver (DLV). CAP01
The solution shall provide out of the box configurable options related to scanning.
CAP02
The solution shall provide the ability to fill several index values on a document based on the document type.
CAP03
The solution shall provide the ability for automatic forms recognition, data capture, and Optical Character Recognition (where applicable)
CAP04
The solution shall support electronic processing of structured documents (standards forms documents) reducing manual data entry.
CAP05
The imaged document shall be as close as possible to the appearance of the original, while minimizing storage requirement.
CAP06
The solution shall handle different type of unconventional shades while keeping the characters clear for reading.
CAP07
The solution shall have the ability for page separation using separation sheet.
CAP08
The solution shall have the ability to import different type of electronic documents into the content repository.
CAP09
The solution shall have the ability to provide automatic conversion of scanned documents to standardized TIFF or PDF formats.
CAP10
The solution shall accommodate different types/sizes of paper in scanning process, varying from check size and miscellaneous receipts.
CAP11
The solution shall display all associated information about a document - displaying index values, notes, revisions, and document history.
CAP12
The solution shall support index value search.
STR01
The solution shall automatically store the images into the content database based on the agency defined/approved storage location and the agency defined/approved document security policies.
DM01
The solution shall provide the ability to track the modification of documents through revision history.
DM02
The solution shall provide the ability to apply stamps on a document. For example file stamp an electronic document with current date/time at a specific point in the process.
DM03
The solution shall provide Review and approval document workflow.
DM04
The solution shall provide electronic signature on document.
DM05
The solution shall allow electronic document upload to the system.
DM06
The solution shall allow document download from the system.
DM07
The solution shall provide email alerts when required.
PRV01
The solution shall provide record management to support the agency record retention policies.
DEL01
The solution shall offer export and/or data exchange with other systems (example: ERPFinancial system, API call, data extraction into XML format etc.)
5.1.3 On-Going Maintenance/Service Level Requirements Please provide an estimate of yearly maintenance and/or licensing fees in order for the State of Vermont to analyze the complete cost of the proposal.
5.1.4 Technical Requirements Client Requirement:
Image Requirement:
OS - Windows 7 Microsoft Office 2010 Browser - IE8+ Format: TIFF and/or PDF
5.1.5 Project Management Requirements The State of Vermont will require the following as part of the project management requirements: Project Plan to include deliverables for each phase/stage of implementation, detailed task-time relationships, task dependencies and task-level resource requirements Project Work Plan/Schedule, to include the implementation project plan with project background, objectives, deliverables and milestones, schedule (in MS Project), resource management plan, scope management plan, schedule management plan, risk management plan, and quality management plan. Communication Plan to include weekly project status reports, project planning and control documents. Decision Matrix Requirements Traceability Matrix Issue & Change Management Documentation
5.1.6 Training Requirements The State of Vermont will require the following as part of training requirements: “Train the Trainer” – in person and/or online Training Manuals (Admin and End User) Guidelines
5.1.7 Documentation Requirements The State of Vermont will require documentation based on their final selection of the tool.
6 REQUESTED INFORMATION Each submission prepared in response to this RFI must include the elements listed below, in the order indicated. The vendor, when presenting the response, must use the following outline:
Cover Page Vendor Information Cost Estimates Business and Technical Requirements
6.1 COVER PAGE The first page of the vendor’s RFI Response must be a cover page displaying at least the following: Response of RFI Title Vendor’s Name Contact Person Telephone Number Address Fax Number Email Address All subsequent pages of the RFI Response must be numbered.
6.2 VENDOR QUESTIONNAIRE Please provide your answers to the stated questions related to the project. Additional information may supplement your answers and must be attached to the RFI response.
6.3 CONTACT INFORMATION All communications concerning this Request for Information (RFI) are to be addressed in writing to the attention of: John McIntyre Purchasing Agent, State of Vermont, Purchasing and Contract Administration Division, 10 Baldwin St, Montpelier VT 05633. John McIntyre, Purchasing Agent is the sole contact for this RFI Response. Attempts by RFI Responders to contact any other party could result in the rejection of their RFI Response.
6.4 RFI RESPONSE SUBMISSION CLOSING DATE: The closing date for the receipt of RFI Responses is 3:00 PM January 10th, 2014. Responses must be delivered to: John McIntyre, State of Vermont, Purchasing and Contracting Department, 10 Baldwin St, Montpelier, VT 05633 prior to that time. RFI Responses or unsolicited amendments submitted after that time will not be accepted and will be returned to the vendor. The responses will be received by purchasing at 10 Baldwin St, Montpelier, VT 05633 and will be passed on to the Agency of Human Services for review. RFI responses must include one (1) electronic copy on Compact Disc (CD) and Three (3) Paper (hard copy) responses must also be submitted. Paper copies must be bound with a staple, binder or other appropriate means such that pages are not submitted loosely. Three (3) copies of the RFI must be delivered to the Purchase Agent. The electronic response made to the narrative portion of this RFI must be in Microsoft Word version 2007 compatible format. At least one copy of the Cost Table and Business and Technical Requirements must be made in Microsoft Excel Version 2007 or higher.
6.5 EXPLANATION OF EVENTS 1. Issuance of RFI
This RFI is being issued by the State Purchasing Division (SPD) of the General Services Department. Additional copies of the RFI can be obtained from the State Purchasing Division web site http://bgs.vermont.gov/purchasing or directly from the State Purchasing Agent. 2. Deadline for Written Questions Potential respondents may submit questions regarding this RFI. Questions must be submitted in writing, by email, to the Purchasing Agent John McIntyre at
[email protected] and must be received by 4:30 PM Eastern Time on December 13th, 2013. 3. Response to Written Questions Any vendor requiring clarification of any section of this proposal or wishing to comment or take exception to any requirements or other portion of the RFP must submit specific questions in writing no later than December 20th, 2013 at 4:30PM. Questions may be e-mailed to
[email protected]. Any objection to the RFP or to any provision of the RFP, that is not raised in writing on or before the last day of the question period is waived. At the close of the question period a copy of all questions or comments and the State's responses will be posted on the State’s web site http://bgs.vermont.gov/purchasing/bids. Every effort will be made to have these available as soon after the question period ends, contingent on the number and complexity of the questions. 4. Submission of Responses Three (3) paper copies of the RFI response and one (1) electronic copy on CD should be delivered to the Purchasing Agent no later than 3:00 PM Eastern Time on January 10th, 2014. Responses received after the due date and time may not be considered. Responses should be labeled, "Response to RFI – AHS-DVHA Business Office Enterprise Content Management System”. 5. Review and Evaluation of Responses The review and evaluation of responses to the RFI will be performed by Agency of Human Services and their designees. The evaluation process will take place the week following the response due date. During this time, the RFI Manager or other Agency of Human Services representatives may, at their option, initiate discussion with respondents for the purpose of clarifying aspects of their responses. 6. Vendor Demonstration of Their Product Vendors chosen from the review process may be called on to demonstrate their products. These select vendors will make arrangements with Agency of Human Services to demonstrate their products. The Agency of Human Services shall not be liable for any costs incurred by the vendor in preparation of its demonstration. All costs occurred are the vendor’s sole responsibility. All product demonstrations are for planning purposes only and do not constitute a legal bid. 7. Vendor Product Test Trial Certain Vendor products may be selected after review process to be trialed by Agency of Human Services, if this is an option allowable by the vendor. The test trial can last up to 90 days. Up to 2 vendors products selected will be involved with the test trial. The Agency of Human Services staff will provide feedback to the RFI Manager. The selection of vendor products for a test trial does not commit the Agency of Human Services or the State of Vermont to award a contract. This test trial is for information gathering purposes only and no vendor will be selected, pre-qualified, or exempted based upon their RFI / test trial participation. All costs occurred are the vendor’s sole responsibility. All product test trials are for planning purposes only and do not constitute a legal bid.
7 VENDOR QUESTIONNAIRE We are asking for a total cost estimate (low and high estimates) comprised of software, hardware, and necessary implementation services. We understand that the cost figures provided are for planning purposes only and will
not be binding in any way.
8 APPENDIX A: COST ESTIMATE WORKSHEET 8.1: COST ESTIMATE TABLES Implementation Costs: Item General Requirements Description 1 Installation / Implementation 2
Hardware
3 4 5
Software / Licenses Project Management Other Professional Services (Technical, Business Analysis, Training, etc.)
Estimated On-Going Annual Costs: Item General Requirements Description 1
Annual Maintenance Agreement
2
Hosted Cloud Provider Service, if applicable
3 4 5
Hardware Software / Licenses Consulting / On-going Professional Services
Cost
Cost
8.2 ADDITIONAL MATERIALS Please provide any other materials, suggestions, cost, and discussion you deem appropriate.
