Proposal Guidelines


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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

Imaging need for the Adoption Subsidy Program DATE: QUESTIONS DUE BY:

02/04/2014 02/11/2014 4:30 pm

RFI RESPONSE DUE DATE:

02/25/2014 3:00 pm

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 ..................................................................................................................................................... 4 5 STATEMENT OF WORK .......................................................................................................................................... 5 5.1 ANTICIPATED REQUIREMENTS .................................................................................................................... 5 5.1.1 Business Requirements .................................................................................................................................. 5 5.1.2 ECM Requirements........................................................................................................................................ 6 5.1.3 On-Going Maintenance /Service Level Requirements .................................................................................. 7 5.1.4 Technical Requirements................................................................................................................................. 7 5.1.5 Documentation Requirements...................................................................................................................... 8 5.1.6

Project Management Requirements ......................................................................................................... 8

5.1.7 Training.......................................................................................................................................................... 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.......................................................................................................................... 10 7 VENDOR QUESTIONNAIRE ................................................................................................................................. 10 8 APPENDIX A: COST ESTIMATE WORKSHEET ................................................................................................. 11 8.1: COST ESTIMATE TABLE ............................................................................................................................. 11 8.2 ADDITIONAL MATERIALS............................................................................................................................ 11

1 PURPOSE This Request for Information (RFI) is issued for the Agency of Human Services (AHS) to gather input and obtain information and cost estimates in proceeding with proposals to implement an enterprise content management solution for the Department of Children and Families (DCF) – Adoption Subsidy Program under the Family Services Division (FSD). AHS intends to evaluate the submissions by respondents to explore how they would meet their needs and understand the cost associated with proposed solutions. AHS 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 CONFIDENTIALITY: All responses to this RFI will become part of the state’s file and are a matter of public record. If a response includes material that the responsive party considers proprietary and/ or confidential under 1 VSA, Chapter 5, then the responsive party must clearly and specifically designate which materials the responsive party believes to be proprietary and / or confidential. Said designation must include an explanation why such material should be considered confidential and / or proprietary. The responsive party must identify each portion, section, paragraph, page, or document that it believes is proprietary and / or confidential with sufficient grounds to justify each identified section from release, including the prospective harm to the competitive position of the responsive party if the identified material were to be released. Under no circumstances can the entire response or any included price information be marked confidential. Responses that fail to comply with these provisions will be treated as public record according to 1 VSA, Chapter 5. The solicitation of this RFI does not commit AHS 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 Adoption Subsidy Program is under the Agency of Human Services (AHS) - Department of Children and Families (DCF) - Family Services Division (FSD). This program is designed to help assist an adoptive family in providing for the on-going care of an adopted child from Vermont with special needs, by offsetting some of the additional expenses that they are required to assume as part of the adoption. A subsidy can include medical

assistance (such as Medicaid benefits), Social Services (such as counseling, childcare). Adoption subsidy payments can come from State funds, Federal funds or from a combination of State and Federal funds. In late August 2011, the State of Vermont Waterbury office complex sustained significant water damage as a result of Hurricane Irene. All affected AHS Departments were relocated to other temporary locations, including the Adoption Subsidy Program in DCF. The relocation effort included moving all of their filing cabinets. The challenge was to fit the filing cabinets in the temporary location, ensure that there was no document loss, and ensure that the filing cabinets and documents were classified properly. By the end of 2015, the agency is planning to move back to a new complex in Waterbury, Vermont. There is a need to reduce the number of filing cabinets through an imaging initiative before the move to reduce the physical storage space, document loss, time allocation to search for document, and ensure compliance with all State and Federal Policies and Standards.

3 RFI DESCRIPTION AHS is seeking information to implement an Enterprise Content Management system for the Adoption Subsidy Program. The RFI has three key objectives: Provide prospective respondents with information regarding the business need(s), 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 imaging solution for the Adoption Subsidy Program. AHS 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. AHS envisions that the solution will support the following high-level goals: Imaging of the existing Adoption Subsidy filing cabinets Implementation of Document Capture (Imaging and Indexing) Implementation of Document Management and Document workflow Integration with Existing or Future Case Management Systems (example: Oracle’s Siebel CRM)

4 CURRENT STATE The Adoption Subsidy Program currently has 1,800 cases. Each of these cases has its own binder and each binder has an average of 175 pages (totaling approximately 315,000 pages). These binders are stored in 18, five-drawer filing cabinets which are located in the DCF/FSD temporary location in Essex Junction, VT since fall 2011. Last year (January 2013 – December 2013), there were approximately 180 new adoption subsidy cases opened. A case binder is divided into six sections: Section 1: Adoption Agreement and Documentation Section 2: Financial Section 3: Benefits Section 4: Database information Section 5: Legal Section 6: Correspondence Often non-standard-sized documents are copied for inclusion in the binders. These document types include forms, applications, agreements, correspondence, receipt, report, personal identification document, legal document and financial documents. The binders are labelled with the Children’s Names (last name, first name) and DOB and then sorted in alphabetical order in the filing cabinets.

A case, in general, has 3 statuses: Active, Pending, and Closed. The binder will move location per case status.

Figure 1: Document Status Workflow When the case is closed, the binder is sent to the Vermont State Archive and Records Administration (VSARA) for archiving. There are approximately 100 closed cases in the archive. A case will remain active until: The child is 18 and drops out from school; or The child turns 21. The lifetime of a case binder can reach up to 21 years plus the retention period. Access to the filing cabinets is limited to DCF-Adoption Subsidy and DCF-Business Office Staff. Upon request, copies of the case documents are provided to auditors or to the court.

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 AHS and the State. AHS’ discovery efforts to date have resulted in a desire to obtain access to solutions with the following attributes:

5.1.1 Business Requirements The Adoption Subsidy Program identified the need to: Reduce the amount of paper handling and manual processing of documents Reduce document loss Reduce manual tracking of documents Have the document easily accessible upon request Reduce the time to retrieve documents Ensure the long term preservation of the documents and enforce retention policies for documents Integrate with other State of Vermont IT systems or future IT systems (example: Oracle’s Siebel CRM)

5.1.2 ECM 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). CAPTURE Scanning CAP01 The solution shall provide out of the box configurable options related to scanning. CAP02 The imaged document shall be as close as possible to the appearance of the original, while minimizing storage requirement. CAP03 The solution shall handle different type of unconventional shades/colors of paper while keeping the characters clear for reading. CAP04 The solution shall have the ability for page separation using separation sheet. CAP05 The solution shall have the ability to provide automatic conversion of scanned documents to standardized TIFF or PDF formats. CAP06 The solution shall accommodate different types/sizes of paper in scanning process, varying from check size and miscellaneous receipts. CAP07 The solution shall have robust bulk load and conversion features Indexing and Search CAP08 The solution shall provide the ability to fill several index values on a document based on the document type. CAP09 The solution shall display all associated information about a document - displaying index values, notes, revisions, and document history. CAP10 The solution shall support index value search. CAP11 The solution shall have the ability to import different type of electronic documents into the content repository. CAP12 The solution shall support several levels of indexing based on defined batching: On document level, envelope level, batch level etc. Quality Control CAP13 The solution shall provide for options to verify both image quality and index accuracy including the ability to re-index. CAP14 The solution shall provide for a simple re-scan process for images that need to be rescanned, and automatically replace poor images with newly scanned images, before it gets committed into the ECM system. CAP15 The solution shall prevent the alteration of the image. STORE 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. MANAGE MNG01 The solution shall provide the ability to track the modification of documents through revision history. MNG02 The solution shall have the ability to provide inherent security mechanisms for the protection of confidential information MNG03 The solution shall provide the ability to capture every user action that creates modifies or deletes records. MNG04 The solution shall provide the ability to have the audit trail always turned on and generate automatic electronic audit trail information. MNG05 The solution shall provide the ability to apply stamps on a document upon print or export. For example file stamp an electronic document with Official Date received. MNG06 The solution shall allow document download from the system. MNG07 The solution shall provide email alerts when required. MNG08 The solution shall provide the ability to identify records that are due for disposal when their prescribed retention periods elapse and managing the disposal process.

MNG09

The solution shall adhere to federal and State standards and regulation in terms of imaging quality, retention, and security. MNG10 The solution shall support document workflow based on the business processes: opening of case, closing of a case, and case pending. MNG11 The solution shall provide the ability to import content: Word, Excel, and images (jpg, gif, etc.). MNG12 The solution shall provide the ability to add annotations to documents and view annotations added by others. MNG13 The solution shall provide the ability to link documents for the same case. MNG14 The solution shall provide “Case Binder”/documents sets that contain all documents related to the case. MNG15 The solution shall provide the ability to generate amendments/extensions using original agreement, and relate supporting documents. MNG16 The solution shall provide the ability to link related cases (example: two adopted children in one household). MNG17 The solution shall use State Of Vermont Active Directory or enable other external authentication and authorization mechanisms to manage user accounts where possible. MNG18 The solution shall provide different levels of security, broken down to individual document, document type, document classification, etc. PRESERVE PRV01 The solution shall provide record management to support various retention times. PRV02 The solution shall provide capability for long term storage strategies (Example: migration of media format). DELIVER DEL01 The solution shall offer export and/or data exchange with other systems (data extraction into standard format ex: XML, PDF, etc.). DEL02 The solution shall adhere to standards for interfaces, metadata, data structures, and object formats to secure the availability of information. DEL03 The solution shall offer export of the images with associated indexing information (file properties or file name) for archiving, if required. DEL04 The solution shall be able to integrate with current or future State of Vermont IT systems (example: Oracle’s Siebel CRM). MAINTENANCE MNT01 Administrative privileges shall be provided to update Configurations (example: document types, groups, indexes, available metadata attributes and values) and Workflows SYSTEM SYST01 The System must have full recoverability from single documents to system-wide levels in the event of disaster (disaster recovery). SYST02 The solution shall be robust and minimize possible user generated errors. SYST03 The system must allow for users to easily navigate through the system.

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 (SoV) to analyze the complete cost of the proposal.

5.1.4 Technical Requirements The SoV currently has several ECM systems which we are looking to leverage by integrating with or expanding upon if possible. The current ECM systems are as follows: Oracle WEBCenter Suite V11.1.1.6 o WC Capture V10.gR3 o WC Recognition o WC Content v11.1.1.7

Hyland OnBase V9 & V13 o Bar Code Generator o Desktop Document Services o Multi-User Server o Records Management Report Services o Status View o Unity Integration Toolkit o Virtual Print Driver o Web Server o Web Services Toolkit o Workstation Client However, the SoV will consider solutions which use alternative products where there is a compelling, cost effective argument to do so provided by the vendor. Please see the SoV & Oracle licensing agreements for more information located on the DVHA website here: http://dvha.vermont.gov/administration/33final-signed.pdf http://dvha.vermont.gov/administration/1signed-amendment-2.pdf http://dvha.vermont.gov/administration/oracle-amendment-3.pdf http://dvha.vermont.gov/administration/2signed-amendment-4.pdf

5.1.5 Documentation Requirements The State of Vermont will require documentation based on their final selection of the tool.

5.1.6 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

5.1.7 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

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. Please include: What deployment models are available as options for your solution (hosted, on-premises, etc.), please provide comparisons in pricing if multiple options are available. Detail the proposed system architecture: components, interactions, integration with external systems and components. Regardless of what the solution is, describe how the system could integrate with Oracle, OnBase, Standard MS Office Suite, and other applications. For each technical requirement, address your ability to meet the requirement with as much specificity as possible (please no “yes” or “no” responses).

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 02/25/2014. 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 Enterprise Content Management Department 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 Office of Purchasing and Contracting, of the Department of Buildings and General Services. Additional copies of the RFI can be obtained from the State Purchasing Division web site http://bgs.vermont.gov/purchasing/bids 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 e-mail, to the Purchasing Agent John McIntyre at [email protected] and must be received by 4:30 PM Eastern Time on 02/11/2014. 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 02/11/2014 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 02/25/2014. Responses received after the due date and time may not be considered. Responses should be labeled, "Response to RFI# AHS ECM – DCF Adoption Subsidy Program”. 5. Review and Evaluation of Responses The review and evaluation of responses to the RFI will be performed by the AHS Enterprise Content Management (ECM) department and their designees. The evaluation process will take place the week following the response due date. During this time, the RFI Manager or other AHS 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 the AHS ECM department to demonstrate their products. The AHS ECM department 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 the AHS ECM department, 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 AHS ECM department staff will provide feedback to the RFI Manager. The selection of vendor products for a test trial does not commit the AHS ECM department 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 TABLE Implementation Costs: Item # General Requirement Description 1 Installation / Implementation (On Premise and Hosted) 2 Imaging: Back-file Scanning Services -> Bulk document imaging of existing paper records 3 Hardware 4 Software / Licensing (licensing cost break-down – Per named user as well as per concurrent license including bulk purchase price) 5 Project Management 6 Other Professional Services (Technical Business Analysis, Training, etc.) Estimated On-Going Annual Costs: Item # General Requirement Description 1 Annual Maintenance Agreement (On Premise and Hosted) 2 Hosted Cloud Provider Service (if applicable) 3 Hardware 4 Software / Licensing (licensing cost break-down – Per named user as well as per concurrent license including bulk purchase price) 5 Long-Term Maintenance and Migration (costs associated with retention / preservation) 6 Consulting / On-Going Professional Services

8.2 ADDITIONAL MATERIALS Please provide any other materials, suggestions, cost, and discussion you deem appropriate.

Cost

Cost