RFP No. 1590-14357
COOKCOUNTYGOVERNMENT Office of the Chief Procurement Officer
Request for Proposal (RFP) No. 1590-14357 for Clerk of the Circuit Court Electronic Case Management and Court Docket System
Proposals must be delivered to: Office of the Chief Procurement Officer 118 N. Clark Street, Room 1018 Chicago, IL 60602 Attention: Shannon E. Andrews, Chief Procurement Officer Proposals are due no later than 3:00 PM on Tuesday, April 21, 2015
There will be a pre-proposal conference on Thursday, March 12, 2015 at 10:00 AM Location: 1018 N. Clark Street, Room 1018, Chicago, IL 60602 Questions regarding the RFP should be directed to: Tangela Malloy, Senior Contract Negotiator (312) 603-6827,
[email protected] ___________________________________________________________________________________ Toni Preckwinkle Shannon E. Andrews Cook County Board President Chief Procurement Officer ___________________________________________________________________________________
Rev 2/4/14
RFP No. 1590-14357
Table of Contents 1
INTRODUCTION ................................................................................................................................................ 1 1.1 Overview / Objectives .................................................................................................................................. 1 1.2 Cook County Background ............................................................................................................................. 1
2
SCHEDULE ........................................................................................................................................................ 3
3
SCOPE ............................................................................................................................................................... 3 3.1 Scope of Services ......................................................................................................................................... 3 3.2 Current State ................................................................................................................................................ 4 3.3 Network Infrastructure ................................................................................................................................ 6 3.4 Current Operating Environment .................................................................................................................. 6
4
Desired Future State ........................................................................................................................................ 6
5
Proposed Solution ............................................................................................................................................ 7 5.1 Solution Overview ........................................................................................................................................ 7 5.2 Software Overview....................................................................................................................................... 8 5.3 Hosting and Platform Architecture Overview .............................................................................................. 8 5.4 Integration/Interface ................................................................................................................................... 9
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Solution Requirements .................................................................................................................................. 10 6.1 Solution Requirements .............................................................................................................................. 10 6.2 Hardware and Equipment Requirements .................................................................................................. 10 6.3 Physical Environment Requirements ......................................................................................................... 10 6.4 Network Requirements .............................................................................................................................. 10
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Implementation & Project Management Services......................................................................................... 10 7.1 Overview of the Implementation Methodology ........................................................................................ 11 7.2 Team Structure / Organizational Chart ...................................................................................................... 11 7.3 Project Management ................................................................................................................................. 12 7.4 Organizational Change Management (OCM) ............................................................................................. 12 7.5 Business Process Reengineering (BPR) ...................................................................................................... 12 7.6 Requirements Validation and System Design/Configuration .................................................................... 13 7.7 System Implementation and Configuration............................................................................................... 13 7.8 Mainframe Assessment ............................................................................................................................. 14 7.9 Data Warehousing Strategy ....................................................................................................................... 14 7.10 Data Conversion and Migration ................................................................................................................. 15 7.11 Testing Approach (System and User Acceptance) ..................................................................................... 16
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7.12 Quality Assurance / Testing Approach ....................................................................................................... 16 7.13 Knowledge Transfer /Training and Transition ........................................................................................... 17 7.14 Project Deliverables ................................................................................................................................... 19 7.15 Contract Performance Review and Acceptance ........................................................................................ 20 7.16 Invoicing and Payment ............................................................................................................................... 20 8
Solution Ownership and Other Terms and Conditions .................................................................................. 20 8.1 Data Ownership ......................................................................................................................................... 20 8.2 Intellectual Property Ownership ................................................................................................................ 21 8.3 Hardware and Software Licensing ............................................................................................................. 21 8.4 Software and Hardware Warranties .......................................................................................................... 21 8.5 Other Terms and Conditions ...................................................................................................................... 22
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Solution Performance and Availability........................................................................................................... 22 9.1 Support and Maintenance Service ............................................................................................................. 22 9.2 Terms of Post Implementation Support .................................................................................................... 22 9.3 Data Access and Retention ........................................................................................................................ 23 9.4 Business Continuity and Disaster Recovery ............................................................................................... 23 9.5 Transition Out and Exit Requirements ....................................................................................................... 24
10 Security and Compliance ............................................................................................................................... 24 10.1 Data Security Controls ............................................................................................................................... 24 10.2 Secure Development and Configuration Practices .................................................................................... 24 10.3 Compliance Requirements ......................................................................................................................... 25 10.4 Incident Response Requirements .............................................................................................................. 25 10.5 Audit Requirements ................................................................................................................................... 25 11 Key Personnel ................................................................................................................................................ 26 12 Instructions to Proposers ............................................................................................................................... 26 12.1 Availability of Documents .......................................................................................................................... 26 12.2 Pre-Proposal Conference ........................................................................................................................... 26 12.3 Special Access to the Pre-Proposal Conference......................................................................................... 27 12.4 Clarifications .............................................................................................................................................. 27 12.5 Delivery of Proposal Package ..................................................................................................................... 27 12.6 Uniformity .................................................................................................................................................. 27 12.7 Proposal Material....................................................................................................................................... 27 12.8 Addenda ..................................................................................................................................................... 27
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12.9 Proposer’s Responsibility for Services Proposed ....................................................................................... 28 12.10 .................................................................................................................................... Errors and Omissions ................................................................................................................................................................... 28 12.11 ........................................................................................................................................ RFP Interpretation ................................................................................................................................................................... 28 12.12 ......................................................................................Confidentiality and Response Cost and Ownership ................................................................................................................................................................... 28 12.13 .................................................................................................................................. Use of Subcontractors ................................................................................................................................................................... 28 12.14 ...................................................................................................................... MBE/WBE Participation Goals ................................................................................................................................................................... 28 12.15 ............................................................................................. Proposer’s Disclosure and Conflict of Interest ................................................................................................................................................................... 29 12.16 .............................................................................................................................. Cook County RFP Format ................................................................................................................................................................... 29 12.17 ........................................................................................................................................................... Pricing ................................................................................................................................................................... 29 12.18 ................................................................................................................................ Period of Firm Proposal ................................................................................................................................................................... 29 12.19 .......................................................................................................................................................... Awards ................................................................................................................................................................... 29 12.20 ....................................................................................................................................... Cook County Rights ................................................................................................................................................................... 29 12.21 ...........................................................................................Alteration/Modification of Original Documents ................................................................................................................................................................... 29 12.22 ....................................................................................................................................................... Recycling ................................................................................................................................................................... 30 13 EVALUATION AND SELECTION PROCESS ........................................................................................................ 30 13.1 Responsiveness Review ............................................................................................................................. 30 13.2 Acceptance of Proposals ............................................................................................................................ 30 13.3 Evaluation Process ..................................................................................................................................... 30 13.3.1
Proposer Presentations.................................................................................................................. 30
13.3.2
Right to Inspect .............................................................................................................................. 30
13.3.3
Best and Final Offer........................................................................................................................ 31
13.4 Selection Process ....................................................................................................................................... 31 14 EVALUATION CRITERIA................................................................................................................................... 31 14.1 Responsiveness of Proposal ....................................................................................................................... 31
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14.2 Technical Proposal ..................................................................................................................................... 31 14.3 Price Proposal ............................................................................................................................................ 31 15 SUBMISSION OF PROPOSAL ........................................................................................................................... 31 15.1 Instructions for Submission ....................................................................................................................... 31 15.1.1
Number of Copies .......................................................................................................................... 31
15.1.2
Time for Submission....................................................................................................................... 32
15.1.3
Format ............................................................................................................................................ 32
15.1.4
Complete Submission..................................................................................................................... 32
15.1.5
Packaging and Labeling .................................................................................................................. 32
15.1.6
Timely Delivery of Proposals .......................................................................................................... 32
15.1.7
Late Proposals ................................................................................................................................ 32
15.1.8
Schedule of Revisions to RFP Schedule .......................................................................................... 32
15.2 Submission Requirements ......................................................................................................................... 33 15.2.1
Cover Letter ................................................................................................................................... 33
15.2.2
Executive Summary ........................................................................................................................ 33
15.2.3
Qualifications of the Proposer ....................................................................................................... 33
15.2.4
Propose Plan of Action, Implementation and Solution ................................................................. 33
15.2.5
Key Personnel................................................................................................................................. 33
15.2.6
Subcontracting or Teaming ............................................................................................................ 33
15.2.7
MBE/WBE Participation ................................................................................................................. 33
15.2.8
Financial Status .............................................................................................................................. 34
15.2.9
Legal Actions .................................................................................................................................. 34
15.2.10
Conflict of Interest ..................................................................................................................... 34
15.2.11
Economic Disclosure Statement ................................................................................................ 34
15.2.12
Contract...................................................................................................................................... 34
15.2.13
Other .......................................................................................................................................... 37
Appendix I -Definitions .......................................................................................................................................... 38 Appendix II -Functional Requirements by Operational Functions ......................................................................... 40 Appendix III - Technical & System Requirements .................................................................................................. 41 Appendix IV - Implementation Requirements ....................................................................................................... 42 Appendix V- Integration Requirements ................................................................................................................. 43
RFP No. 1590-14357
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INTRODUCTION
1.1 Overview / Objectives The Office of the Clerk of the Circuit Court of Cook County (CCC or County or Clerk’s Office) is seeking proposals from qualified firms to provide the most technically sound, scalable, and state of the art comprehensive case management solution to replace its current case management / court docketing system for all areas of law and supporting administrative departments. The purpose of this RFP is to provide sufficient context, information, and scope for proposers to propose a solution that meets the described requirements and is in alignment with a best-in-industry project implementation approach. Some of the goals associated with this project include: Enhancing the public’s access to the court system; Streamlining operations; Modernizing processes; Increased case processing efficiency; Decreased repetitive work; Improving data sharing between departments, justice partners, and other third parties; Reduce reliance on paper and printing
The Proposer shall recommend a comprehensive solution that best satisfies the requirements set forth in this RFP for a new case management solution and must demonstrate the capacity and ability to deliver a solution that ensures long-term viability and support for the Clerk’s court operations. The solution should also utilize industry standards or governing policies from the National Center for State Courts, Functional Standards for Case Management, Administrative Office of the Illinois Court, Illinois Supreme Courts, Circuit Court of Cook County for court case management; National Information Exchange Model (NIEM), Justice Information Exchange Model (JIEM), and Global Reference Architecture (GRA) for data interoperability and information exchange; the State Justice Institute for Access to Justice initiatives for meeting the needs of self-represented litigants; CourTools that provide structure for courts performance metrics; and lastly standards that govern data encryption, digital signatures and other hardware, software and infrastructure needs. The County intends to award one multi-year implementation contract, which is anticipated for up to three to five years based upon the proposed solutions, and initial three (3) year support contract, in addition to a three (3) 3-year-extension option to renew for additional support and maintenance.
1.2 Cook County Background The Circuit Court of Cook County of the State of Illinois is the largest of the 24 judicial circuits in Illinois and one of the largest unified court systems in the world. It has more than 400 judges who serve the 5.2 million Cook County residents within the City of Chicago and its surrounding Cook County suburbs. More than 1.6 million cases are filed each year. The Circuit Court of Cook County was created by a 1964 amendment to the Illinois Constitution which reorganized the courts in Illinois. The amendment effectively merged the often confusing and overlapping jurisdictions of Cook County’s previous 161 courts into one uniform and cohesive court of general jurisdiction. The Clerk of the Circuit Court of Cook County (CCC) is the official record keeper for the courts within Cook County, Illinois. CCC has the responsibility for recording, certifying, and managing all court proceedings which are held within the Circuit Court of Cook County. As the official keeper of the court records, the Page | 1
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mission of the Clerk's Office is to serve the citizens of Cook County and the participants in the judicial system in a timely, efficient, and ethical manner. The CCC consists of several bureaus/divisions/districts spread across 19 different sites across Cook County that are responsible for a variety of court related tasks. While duties vary from one division or district to the next, every division/district within the CCC shares the common goal of providing professional, timely, and customer-focused services to its customers. The following is a breakdown of the Clerk’s Court Operations, structured by bureau, further detailed by the divisions, districts, and departments that make up that bureau. 1st Municipal Bureau. This Bureau encompasses the Civil, County, Probate, and Traffic Divisions. The Civil Division (1st. Municipal District) is responsible for handling civil cases not in excess of $30,000 where either the defendant or the occurrence is within the City of Chicago. These types of cases include contract, property damage, personal injury, eviction, replevin, attachments, and garnishments. The Probate Division is responsible for handling estates of the deceased and guardianships for the disabled, minors, and wards of state. The filing of a Last Will and Testament is also a Probate service. The County Division hears actions and proceedings concerning mental health, adoption, the marriage of minors, inheritance taxes and elections. There is a Traffic Division in the 1st Municipal District and also Traffic Departments in each of the five Suburban Districts that are responsible for the maintenance of all records and collection of fines for all traffic cases. Family/Chancery/Law Bureau. This Bureau encompasses the Child Support, Domestic Relations, Chancery, and Law Divisions. The Child Support Division keeps permanent records of court ordered child support payments to custodial parents. This Division actively participates in the child support enforcement IV-D (4D) program throughout Cook County, and provides statutorily required services for participants in the court system. The Domestic Relations Division hears cases seeking Divorce, Legal Separation or invalidity, Civil Orders of Protection, and Post Decree issues. The Chancery Division hears matters of equity, which are filed under the following categories: Class Actions, Declaratory Judgments, Mortgage Foreclosures, Injunctions, most Administrative Reviews, Changes of Name, General Chancery, and Mechanic liens. The Law Division hears actions in which the amount of the claim is in excess of $30,000. Cases heard include personal injury, property damage, breach of contract, and appointment of trustees. Suburban Bureau. This Bureau encompasses suburban district locations in Bridgeview, Markham, Maywood, Rolling Meadows, and Skokie. The Suburban Bureau hears the following types of cases: Traffic cases where the traffic offense occurred in one of the municipalities served by the District Courthouse; Civil Cases for damages up to $100,000 where the defendant resides within one of the municipalities served by the District Courthouse; Criminal cases where the criminal act occurred in one of the municipalities located within the jurisdictional boundaries of the specific District; Domestic Relations cases, including petitions for dissolution of marriage, invalidity of marriage, legal separation, joint simplified dissolution of marriage, custody, visitation, and civil orders of protection; Child Support/Parentage cases; Domestic Violence cases including orders of protection originating in the specific District; Juvenile Justice cases where the juvenile offense occurred in one of the municipalities included in the specific District; and Law Division cases in excess of $100,000 occurring within the specific District. Page | 2
RFP No. 1590-14357
Criminal Bureau. This Bureau encompasses the Criminal Division, Criminal Department including the Domestic Violence Court, Child Protection Division, and the Juvenile Justice Division The Criminal Division hears felony criminal cases filed in• the 1'1 District, of the City of Chicago, which are punishable by imprisonment in the penitentiary. st The Criminal Department hears cases filed in• the 1 District, of the City of Chicago, which are classified as misdemeanors, which are usually punishable by fine, penalty, forfeiture or imprisonment in the County jail, for less than a year. The Domestic Violence Court which hears Orders of Protection cases along with the related criminal cases is included in this Department. The Child Protection Division has original jurisdiction over all minors under the age of 18 requiring authoritative intervention including addicted minors, dependent, neglected, or abused children. The Juvenile Justice Division has exclusive jurisdiction over all minors under the age of 18, who have violated a federal or state law or municipal ordinance. Court Administration (Civil Appeals Division). The Civil Appeals Division is responsible for processing civil appeals in accordance with Illinois Supreme Court rules; preparing supplemental records when records on appeal need supplementary proceedings; accepting and processing mandates, which are directives from a reviewing court with higher authority than an order; and receiving files returned from reviewing courts following appeals and distributing them to appropriate storage file area. Records Management Bureau. The Records Management Bureau is charged with the safe keeping of all court files, specifically as it relates to microfilming records. Within the Bureau are the following: Micrographics Department, which provides the services of filming, processing, duplication, distribution, film vaulting for disaster recovery, historical filming projects, and reference Archives Department, that collects, preserves, and makes available non-current records filed with the Cook County Clerk of the Circuit Court that have permanent, historical, and legal value Record Center, which collects, stores, and destroys, (when authorized) non-active records, when authorized, without historical or legal value. The Record Center is the off-site warehouse for millions of paper records.
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SCHEDULE
The County anticipates the following Schedule:
RFP posted to the County website Pre-Proposal Conference Proposer Inquiry Deadline Response to Inquiries Proposal Due Date
Friday, February 20, 2015 Thursday, March 12, 2015 Thursday March 19, 2015 Thursday, March 26, 2015 Tuesday, April 21, 2015
3 SCOPE 3.1 Scope of Services The County is seeking proposals for an overall case management solution for all areas of law, which includes the general components of court case processing from initiation through to destruction or retention but also includes key components of value to running the court’s operations. The scope of the case management solution should include the solution / implementation components listed below. Sections 5 through 10 of this document, and the appendices will provide the detailed needs and requirements of these scope areas. Page | 3
RFP No. 1590-14357
o
o
o
Court Case Management Solution (Functional) Case Initiation and Indexing Electronic Document Creation, Tracking, Storing, and Displaying Case Scheduling Case Processing and Docketing Disposition and Post Disposition Compliance Electronic Filing Public Access / eBusiness Portal Judicial Portal, including the judge’s ability to review, finalize and sign self-drafted orders, or the ability to review, approve and sign attorney drafted orders Attorney Portal, including the ability for attorneys to draft and edit orders for judge approval Appeals Processing and Tracking Cashiering and Accounting / Bookkeeping / Finance Records Management Management Reporting, including data analytics and ad hoc reporting Data integrity and Retention Court Case Management Solution (Technical) Recommended Architecture Hardware / Software needs Information Security (including digital signature and encryption) Integrations to “in-house” systems and external justice agency systems for information exchanges Performance and Capacity Support & Services Creation of tables supporting solution Licensing System Administration Processes and Restrictions Data Warehousing Strategy / Services Data Conversion & Migration Strategy / Services Mainframe Assessment / Strategy Business Continuity and Disaster Recovery Court Case Management Solution (Implementation) Implementation Methodology / Services Project Management Methodology / Services (including a local Project Manager) Training & Knowledge Transfer Strategy / Services Organizational Change Management Business Process Reengineering Quality Assurance / Testing Transition Services Warranty and Post Implementation Support Project Deliverables and Solution Documentation
3.2 Current State The scope of the Clerk’s operation is wide-reaching, vast, and complex. The function is also essential, as the Clerk of the Circuit Court is the statutory keeper of all records for all judicial matters brought into one of the largest unified court systems in the world. By the Numbers (according to the Cook County FY14 Annual Appropriation Budget) • 5.2 Million: Cook County residents Page | 4
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• • • • • •
•
400+: Cook County judicial officers who hear traffic, civil, criminal, juvenile and all other case types originating in the circuit court 1.6 Million+: New cases filed annually 19 Million+: Annual case activity transactions 133 Million+: Annual public inquiries satisfied 1,900: CCC Employees $96.8 million (estimated for FY14) +: Collected revenue from filing fees, interest on accounts, and other sources (80% sent to Cook County Treasurer’s Office; 20% sent to other state and local agencies) Offices in the Chicago and the Suburban Districts of Chicago, including Skokie, Rolling Meadows, Maywood, Bridgeview, and Markham 3.2.1
3.2.2
Current Technical Environment The technical infrastructure of the Office of the Clerk of the Circuit Court of Cook County is divided into two major storage components: Mainframe and Client Server. The following are descriptions related to each component: Mainframe Environment The primary County Data Center is located in Downers Grove, Acxiom Corporation. The Office of the Clerk of the Circuit Court has approximately fifteen (15) court applications that run on a shared IBM mainframe. Mainframe - IBM Model 2818-MOS P03, IBM zll4 Processor Mainframe Operating System - IBM ZOS Enterprise Storage - IBM DS8700 Shared Storage, Circuit Court dedicated IBM 2424-941 Mainframe Printer(s) - Xerox DocuPrint 2000 Series 180 MICR; IBM Model 6262; IBM Model 1145; and IBM Model 6400. Mainframe Database(s) - DB2 and VSAM (majority of existing files). Client Server Environment The Office of the Clerk of the Circuit Court utilizes Cook County's Wide Area Network which uses a TCP/IP protocol and acts as a common transport for all county wide enterprise traffic. The Client Server environment is operated and maintained by the Clerk of the Circuit Court staff; the Wide Area Network is maintained by the Cook County Bureau of Technology. eMail System - Microsoft Outlook 2010 Server Platform(s) - Microsoft Windows 2000, 2003, 2008 R2 32&64 bit; HP Blade Servers, VMWare Server Applications - Microsoft Office, Microsoft SQL - 7.0; Integrated Cashiering & Security System; Integrated Case Management - (CourtView); Records Management (lnSight) PC Environment - Over 600 Distributed PC's [248MB - Gig (Ram); 2.5- 4.0 Gigahertz (processor); and 40 Gig-100 Gig (hard drive)]; Microsoft Windows XP & Windows 7 (operating system); Microsoft Internet Explorer {internet browser) Passport 3270 Emulation software (mainframe terminal emulation) Hewlett Packard Thin Clients - Over 1800 Distributed Hewlett Packard Thin Clients I XP Embedded Operating Systems. Internet / Intranet Applications (including website) - HTML; Visual Basic; .Net; XML and SQL.
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3.3
Network Infrastructure The Cook County Wide Area Network (CCWAN) is a packet over OPT-E-MAN technology. The core transmission backbone of the CCWAN is an OPT-E-MAN Ring architecture provided by AT&T. The CCWAN is configured with the hardware redundancy, diverse internet routing, UPS and generator backup to maximize uptime. The OPT-E-MAN is a switched Ethernet service that connects to the CCWAN that uses optical transports and builds on the strengths of the system using CISCO equipment.
3.4 Current Operating Environment The following is a broad overview of the accepting, processing, imaging, and filing of court documents in the Clerk's Office. Each division/department /district has its own nuances as it relates to the handling of court documents. Capture of Accepting Documents: Currently, documents are filed into the Clerk's Office over the counter to initiate cases or to file subsequent action to an existing case. The Clerk’s Office also accepts pleadings in the courtroom at the bench. Justice agencies, such as law enforcement and the District Attorney, file initiating court documents into the Clerk's Office. All documents are time stamped and are given case numbers. Documents are then prepared for data entry. The Clerk's Office currently accepts electronically filed documents for the following areas of law/case types/divisions/departments: Law, Chancery, Civil, Domestic Relations, Child Support, and Probate. Future expansion in the receipt of electronically filed documents include County, Criminal and Traffic divisions, and the Criminal Department including Domestic Violence Court. The intake and generation of document pages in the Clerk's Office is currently estimated at over 100 million pages per year. Processing Documents: Most documents are processed by manually entering information from the paper document into a case management system for the purposes of updating case activities. Other documents are used to verify or audit information that currently resides in the case management system. Imaging of Documents: The Clerk’s office is currently obligated to microfilm court documents before destruction. Electronic images of documents are being made once information has been entered into the case management system. The images are attached to each docket entry. Current scanning throughput volume is estimated at 130 million sheets total at all locations. By early 2015 electronic documents will be created by attorneys or judges for the Criminal Division, Criminal Department, and the Misdemeanor and Felony Traffic cases. These electronic documents will be also attached each docket entry. Filing Documents: Once documents have been data entered and scanned, documents are then placed in its respective case jackets and placed on a shelf. File jackets are pulled in the case that it is requested by the public or by a judge for review if documents requested have not yet been scanned. File jackets are also pulled every time a case is scheduled to be heard in court within the bulk of the divisions. All active case files are kept in the respective division/ department / district. All inactive case files are accessioned to a file storage facility located at the Records Center. 4 Desired Future State Through the implementation of a new case management solution, the Clerk is seeking to streamline operations and also transform the manner in which information is delivered to both the Clerk’s office staff and Cook County constituents. The Clerk seeks to maximize the efficiency of the methods in which court information is accessed, processed, and transferred within the Circuit Court and with the justice partners. The implementation of a new CMS will change the organization’s technological landscape and also bring about substantial change for CCC in the way it conducts business. An effective implementation incorporates an organizational change management effort to address the various changes taking place with not only the Page | 6
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technology, but also the business process and the people-focused changes. The combination of these activities is identified as the “future state” of operations at the Clerk of the Circuit Court. Today’s premier case management solutions share a common set of functional best practices, which may be a consideration for the Clerk as a new system is explored. Below is a summary of these key functional best practices which are important to the Clerk of the Circuit Court. While not an exhaustive list, these are trends that are applicable to the unique, complex characteristics of the County.
Section 5, Proposed Solution through Section 10, Security and Compliance will provide proposers with the structure of the core case management solution response (not the complete structure of the response) and components and details that should be incorporated into the response. These sections serve to discuss CCC’s needs in the various areas and to provide guidance as to the types of information the County is interested in receiving about the proposer’s overall case management solution. 5
Proposed Solution
Note that Cook County reserves the right to purchase software, hardware, network equipment or other components directly through its own Countywide contracts, unless such recommended items are unique, intrinsic to the proposal, and can only be acquired through the Proposer. 5.1
Solution Overview Several types of case management solutions exist on the market today, many of which provide best practice functionality the Clerk’s Office would need to transform its enterprise. These solution types Page | 7
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are categorized into three types – commercial-off-the-shelf systems, custom development systems, and frameworks. This list is not meant to be all-inclusive; rather it provides some general context as to what options have been examined by the Clerk’s Office. Below is an overview of each. Proposers should provide an overview of its recommended system type and why it best fits the needs of the Clerk’s Office. • Commercial-off-the-shelf (COTS). A COTS solution is designed to be used "as-is” with minimum to moderate customization. • Custom Development. Custom development software is specially designed and developed from the ground up for the unique requirements of a particular entity. • Framework systems provide a hybrid, alternative approach to COTS applications and customdeveloped software solutions to meet case management solution needs. Frameworks are partial solutions, meant to accelerate the time to implementation while offering the capabilities to tailor the solution to the unique requirements of the entity. Proposers should also present a concise overview of their proposed solution. The proposers should include details (including screenshots) for the following areas to provide sufficient details to the County. A. General System Features and Functions B. Case Initiation and Indexing C. Document Creation and Tracking D. Case Scheduling E. Case Processing and Docketing F. Disposition and Post Disposition Compliance G. Electronic Filing H. Public Access / eBusiness Portal I. Judicial Portal J. Appeals Processing and Tracking K. Cashiering and Accounting / Bookkeeping / Finance L. Records Management M. Management Reporting, including data analytics and ad hoc reporting N. Data Integrity and Retention NOTE: Any pricing must be stated in the proposer’s pricing proposal. 5.2 Software Overview Proposer should provide a detailed description of the product(s) and product versions being proposed. The response to this section must detail the system features and capabilities and indicate if these are native to the software or if integration with a 3rd party software is required or recommended. NOTE: Any pricing must be stated in the proposer’s pricing proposal. 5.3 Hosting and Platform Architecture Overview The Clerk has determined that a self-hosted solution will best fit the needs of the Office. Proposers should provide an overview of the hardware, performance, bandwidth, and encryption requirements needed to run the proposed solution in a county run environment. The proposer must give an overview of the hosting and platform architecture, including at a minimum:
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A.
B. C. D.
System Environments: All environments (e.g., production, development, and test) included in the proposal and any differences or limitations in the various environments. Shared Components of the System: All shared components of the System (e.g., network segments, back-up tapes, etc.) Network Architecture: detailed recommendations of configurations, storage sizes, and licensing of the proposed solution. Database Architecture: including any database management software, data structure diagrams, and other database designs.
The proposer must provide a detailed inventory of all the software required to effectively run the solution as proposed. This inventory should consider the software supporting the following: court operations; information technology monitoring and communication management; security; authentication, and authorization; testing; training; data conversion; application integration; configuration; documentation; help; and software development. The proposer must fully describe the tasks, schedule, and resources required to initially deploy software to support the proposed solution. In addition, Proposer must provide a parallel description of the requirements for testing and deploying software updates and upgrades. Resources considered in this description must include, but are not limited to, specialized information technology and communications personnel, specialized tools, and ancillary goods. The description must explain what tasks, schedule, and resources are required to deploy all required software at the data center and at each of the court / county locations (if applicable). Proposer must identify which tasks it expects AOC, the court, and the Clerk to perform and what resources it expects these organizations to provide. NOTE: Any pricing must be stated in the proposer’s pricing proposal. 5.4 Integration/Interface Proposers should state cost efficient and financially feasible integration points between the proposed system and the stated existing technologies as well as, the proposed phase / timeline for interface(s) to go live. This approach must clearly show all integration related costs, alternate integration costs models, and feasible / realistic integration recommendations. NOTE: All cost related information should be included in the proposer’s pricing proposal. Proposer will need to conduct a thorough review / assessment of all third-party systems to be integrated. This will include, (1) In-house system integrations and (2) External integrations with justice agency systems. Proposers will need to work with all parties to establish integration needs and establish longer-term goals. Some of the “in-house” system integrations include: • Imaging and Document Management System (Hyland OnBase) • Integrated Cashiering • County's Credit Card vendor • Electronic Ticketing • Electronic Pleas of Guilty • Website and Mobile App • Interactive Orders A list of potential integrations between justice agency systems are attached in Appendix 6: Integration Requirements. NOTE: Any pricing must be stated in the proposer’s pricing proposal. Page | 9
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6 Solution Requirements 6.1 Solution Requirements Proposers are expected to respond to each requirement listed in the functional, technical, implementation and integration requirements included in appendices. Proposer will indictate in the requirements grid whether each requirement is supported by the current system, customization is required, or the requirement is not supported. Proposers should also provide any notes on the requirement in the proposer notes column. 6.2 Hardware and Equipment Requirements If hardware or equipment is included in, or required by, the proposal, then the proposer must describe: A. Required hardware and equipment, including minimum specifications of each; B. Responsibility for purchasing all hardware and equipment (e.g., proposer or County); C. Responsibility for installation of all hardware and equipment (e.g., proposer or County); D. Ownership of all hardware and equipment; E. Procedures for acceptance, partial shipments and back ordered hardware and equipment; F. Warranties and any terms and conditions associated with the hardware and equipment. 6.3 Physical Environment Requirements The proposer must describe all physical environment requirements: A. Physical location requirements (e.g., cooling, space, connectivity, etc.) B. Cabling/wiring and whether the County or Proposer would be responsible for procuring; C. County’s additional power requirements for operating required hardware and equipment. 6.4 Network Requirements The proposer must describe all network and bandwidth requirements associated with the proposal: A. Normal Bandwidth Requirements– The proposer shall include a reasonable estimate of minimum bandwidth required for concurrent application access and data access for “normal” daily operational use for cloud, hybrid and/or on-premise systems. Proposer shall also provide its definition of “normal daily operational use.” B. Peak Bandwidth Requirements– The proposer shall include a reasonable estimate of peak volume/times for retrieval and uploading transactions. C. Typical Impact – The proposer shall include a reasonable estimate of the typical impact expected on the network post implementation. D. Other Network Requirements – The proposer should describe the optimal physical network infrastructure required for an on-premise solution to effectively mitigate latency and data speed issues. If proposing a Cloud-based solution, please describe the physical network infrastructure, connectivity testing and performance assurance. 7
Implementation & Project Management Services
This RFP seeks a managed implementation accomplishing tangible deliverables by agreed dates within a joint project task list and timeline. Functional and technical priorities are defined in the System Requirements Matrix. Proposers are expected to propose a best-industry methodology and solution. Innovative ideas to meet the needs of the County in a timely manner are encouraged. The proposed plan of action should adhere to a leading industry project delivery methodology (e.g., agile, waterfall, etc.). The Proposer shall describe its methodology in detail in Section 7.1. Page | 10
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Proposer must comply with the County’s content management procedures for tracking progress and documents for the duration of the project via either the County’s SharePoint site or as otherwise agreed. In addition, the Consultant Proposer will submit written weekly or monthly status reports to the County, which may include: work accomplished, updated Gantt charts, production goals, accepted deliverables, meetings and minutes, status of risks, issues or problems, summaries of approved project changes, and invoicing and payment. 7.1 Overview of the Implementation Methodology Implementation of the court case management solution will be throughout all of the court operations and administrative areas of the Clerk of the Circuit Court. The recommended approach would be an incremental phased approach that leverages resources and minimizes risk. Proposers should depict its implementation strategy in a high-level diagram/table and include: A. Brief description of proposed methodology; B. Proposed project phases; C. Team roles, including sub-proposers; D. Milestones; E. Critical success factors; and F. Assumptions. Because of the nature of this project, parallel processing may be necessary as users and systems are transition from one solution to another. The County requests that proposers provide that level of detail as needed to ensure a successful implementation. Proposers should also include a project task list and time line including detailed scope tasks/activities, organized in phases including, but not limited to, project management activities, key resources, and estimated hours per key activity. Microsoft Project files are acceptable as attachments but this section requires an easy to read format (do not insert long “black lines” for the last pages of MS project plans). 7.2 Team Structure / Organizational Chart In order to have an effective deployment, a well-trained and experienced team should be put into place. The lead implementer should not only demonstrate experience in relevant industries, but also be able to manage the interest of multiple groups. To have successful implementation, the proposer must be able to build a partnership with the County and will be required to follow the Clerk of the Circuit Court, PMO team structure approach, already in place. The proposer shall provide the County a list of all personnel who may be assigned to the project and their designated assignments. The list shall include the qualifications of each person named. The proposer must also designate a project manager who resides locally and shall be assigned to this project for the duration of the Contract. The project manager must have good communication and interpersonal skills, be technically qualified, have project leadership experience, and be familiar with and committed to the project's objectives and requirements.
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The project manager shall be responsible for communicating all project related affairs to the project team and management of the County, as well as controlling the activities of the selected Proposer's personnel and its sub-proposers. 7.3 Project Management Proposers should provide an overview of the project management methodology including the project management approach and related toolkit, communications plan, and lastly examples of project management materials including status report, executive status briefings, issues log, risk management logs, project calendars, and any other materials that proves competency in the area of project management. Proposers should also provide information about any project management portals (i.e. SharePoint) that may be deployed for the project team. Proposers should include the resumes of the proposed project team members, including subproposers. It is also required that a local project manager be staffed for the implementation and post implementation support of the solution. 7.4 Organizational Change Management (OCM) Proposers should provide options for an effort that includes all stakeholders to prepare for, plan for, and manage the imminent change that will result from updating business processes, changing technology, re-tooling and retraining staff, and possibly even reorganizing staff responsibilities. The level of buy-in and user adoption, the communication strategy, and the overall organizational change management approach are key to a project’s timing and overall success. This section should include at minimum: A. Assessment approach; B. Human change management approach; C. County responsibilities for each of the above; and D. Expected Deliverables in the following format below. Key Activity 1. Assessment
2. Reengineering
Deliverables
Key Personnel/Responsibility
Acceptance Criteria
1. 2. 3. 1. 2. 3.
3. Other
7.5 Business Process Reengineering (BPR) Proposers should provide options for conducting a BPR effort to evaluate current business processes and redesign them to be more efficient and streamlined utilizing the new system’s capabilities. Engaging this process early during the design phase may assist the Proposer in understanding how the system can work in the new environment. Proposers should provide a detailed description of your team’s approach to assessing and reengineering the County’s current state, while concurrently executing a feasible and effective change management plan. It will also help ensure that the Clerk’s Office utilizes the full capability of the new system. The outcome of the BPR process should be documented process flow diagrams for both the current and future states. Page | 12
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Proposers should provide a detailed description of your team’s approach to validating the current state of business processes, developing the future state process and the various diagram flows that may be needed. This section should include at minimum: A. B. C. D.
Current State Validation approach; Reengineering approach; County responsibilities for each of the above; and Expected Deliverables in the following format below.
Key Activity
Deliverables
1. Validation
1. 2. 3. 1. 2. 3.
2. Reengineering
Key Personnel/Responsibility
Acceptance Criteria
3. Other
7.6 Requirements Validation and System Design/Configuration Proposers are expected to respond to each requirement listed in the functional, technical, implementation and integration requirements included in appendices. Proposers should provide a detailed description of its approach to validating functional, technical, implementation, and integration requirements, including at minimum: A. B. C. D.
Functional requirements validation approach and related; Technical requirements validation approach and related steps; System design approach and related steps; Any other key activities.
For each of the above, the Proposer shall detail expected Deliverables, the Proposer’s and County’s respective responsibilities, and acceptance criteria. 7.7 System Implementation and Configuration Proposers should describe its build and release approach, including at minimum: A. Required level of effort based on the expected configuration and customization work; B. Software configuration approach including check-in and check-out procedures; C. Software development approach including check-in and check-out procedures; D. System configuration and development management (documentation) procedures; E. Code management approach and documentation F. Any other key activity. For each of the above, the Proposer shall detail expected Deliverables, the Proposer’s and County’s respective responsibilities, and acceptance criteria. Proposers must use the following format:
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Key Activity 1. Environment Set up 2. Software configuration 3. Software customizations 4. Requirements Traceability Matrix 5. As-built system documentation
Deliverables
Key Personnel/Responsibility
Acceptance Criteria
1. 2. 3. 1. 2. 3. 1. 2. 3. 1. 2. 3. 1. 2. 3.
6. Other
7.8 Mainframe Assessment Proposers should provide an assessment of the Mainframe to the County to provide visibility into the overall architecture, frameworks used, and the transferability of the existing system. Due to the age of the Mainframe, various components may no longer be stable. An assessment would provide the Clerk’s Office with the size, complexity, and structural quality of the data, all necessary for a system migration. If the migration is completed without a comprehensive map of the Mainframe, it is highly likely that data will be lost and that fragile applications might not transfer. As a part of the assessment, the Proposer should provide recommendations regarding data conversion and migration of historical data, data warehousing solution (see section 7.9) and how to either leverage the mainframe for data warehousing, and / or transition off the mainframe. The Proposer would also need to conduct an analysis of what data from the mainframe would need to be migrated into the new CMS. The Clerk’s Office has begun examining viable options for this, to include: A. The Clerk’s Office could start fresh, move no data into the new CMS, and only query data from the data warehouse or other data storage option; B. The Clerk’s Office could convert all data from the mainframe into the new CMS; C. The Clerk’s Office could convert all open cases into the new CMS, all cases that have recently been decided, and have a method to query and/or move data from the data warehouse into the CMS for older cases as they may come up for appeal. The proposer must have the ability to provide appropriate resources skilled in VSAM, COBOL, DB2, and WebSphere MQ to facilitate the Mainframe assessment and data migration services. 7.9 Data Warehousing Strategy The Clerk’s Office has expressed the desire to keep the existing Mainframe so that it can be used as an information source for all previous records. An efficient way to do this would be to move the data Page | 14
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from the Mainframe to a data warehouse. A warehouse would be able to store information from multiple operational systems and then be utilized across the organization in a multitude of different applications such as reporting, business intelligence fulfillment, auditing, Q/A & Q/C, and external data sharing. The Clerk’s Office currently has approximately five TBs of data that would need to be moved into this data warehouse.
o
o o o o
The proposer must fully describe the approach/strategy, tasks, schedule, and resources that will be employed to convert clerk records into a data warehouse as well as propose an infrastructure for a data warehouse. Some of the most important areas of the mainframe conversion activities are listed below: Ensure that all 10 components common to all migrations/conversions are accounted for: Primary programming languages Secondary programming languages Data infrastructure and data stored in files and relational databases Batch application infrastructure Online application infrastructure Application and system level security Output, content and report management Development, test, QA and production infrastructure Production, failover, and disaster recovery infrastructure Application modernization architecture and tooling Apply strong solution architecture advice to target solution design Apply strong PM and solution architecture expertise across the entire project lifecycle Adopt an incident tracking solution from the “get go” Limit data conversion planning to “input files”
Resources considered in this description must include, but are not limited, to specialized information technology and communications resources, specialized tools, and auxiliary items. The description must explain the scope of data to be converted and the approach to planning, designing, and testing conversion for each Mainframe application. It must identify the tasks, schedule, and resources required to convert data for County. The Proposer must describe how data quality will be assessed and how errors will be corrected. If the proposer recommends an alternative approach to data warehousing, the vendor must describe its alternative solution in the same way that a data warehouse would be described above. (See Above Paragraph) The proposer must identify which tasks it expects the County to perform and which resources it expects these to provide. If any data warehousing requires additional costs, the proposer shall state such costs in its separate pricing proposal. Data warehousing tasks must be reflected on the project plan and timeline. 7.10
Data Conversion and Migration Data conversion and migration activities from existing applications represent a high-risk area of the CMS implementation for the Clerk’s Office. Large data migration and conversion projects can be costly and time consuming. Because one of the existing systems in this project is a Mainframe, special care and expertise will be needed to conduct data conversion activities for the Clerk’s Office. The important aspect of this type of work is to ensure that the organization executing the conversion activities has significant experience working with the mainframe platform and programming languages that are relevant within the target organization. Page | 15
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Proposers should describe the plan for migrating/converting data from existing systems. Please consider the following questions when providing a response: A. B. C. D. E. F.
What County resources do you anticipate will be required for data migration and conversion? What are the County’s responsibilities? What is your approach regarding definition of data mapping rules? How does your approach address extraction, transformation, staging, cleansing and validation? Is the County or proposer responsible for cleansing County data prior to migration? What strategies do you employ to conduct the final conversion process?
If any conversion or migration tasks require additional cost, the proposer shall state such costs in its separate pricing proposal. Data migration tasks must be reflected on the project plan and timeline. 7.11
Testing Approach (System and User Acceptance) The County recognizes that system testing is an integral part of any implementation. Developing the right methodologies, tools, and procedures is essential to system testing. The minimum requirements for testing plan include, but are not limited to, the following items: • • • • • • • • • •
7.12
Overview and introduction of system features and functions. Outline of testing strategy. Scope and expected duration of each testing phase (i.e., unit testing, integration testing, user acceptance testing, etc.). Identify any systems function that will be tested. Description of the level of detail for test cases and scripts for all testing phases, including end-to-end testing. Sources of tests data and description of how the data will be prepared. Description and technical information for any special equipment required with the system. Description of the procedure for tracking the resolution of any problems encountered during testing. Description of the criteria that will be used to determine whether tests have been satisfactorily passed. The proposer will be asked to define its Training Plan and procedures for this project.
Quality Assurance / Testing Approach Proposers should provide a detailed description of the proposed QA methodology adhering to best practices and clearly identifying control tasks and testing required to transition functionally from one environment to the next (e.g. development to production). The County expects this section to include at minimum: • Overview and introduction of system features and functions. • Outline of testing strategy / approach • Scope and expected duration of each testing phase (i.e., unit testing, integration testing, user acceptance testing, etc.). • Identify any systems function that will be tested. • Description of the level of detail for test cases and scripts for all testing phases, including end-to-end testing. • Sources of tests data and description of how the data will be prepared. • Description and technical information for any special equipment required with the system. • Description of the procedure for tracking the resolution of any problems encountered during testing. Page | 16
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• •
Description of the criteria that will be used to determine whether tests have been satisfactorily passed. The Proposer will be asked to define its Training Plan and procedures for this project.
For each of the above, the Proposer shall detail expected Deliverables, the Proposer’s and County’s respective responsibilities, and acceptance criteria. Proposers must use the following format:
Key Activity 1. High level QA approach 2. Testing & promotion 3. System Testing (i.e., integration, conversion, regression, usability etc.) 4. Test Plans/Case Development 5. User Acceptance Testing
Deliverables
Key Personnel/Responsibility
Acceptance Criteria
1. 2. 3. 1. 2. 3. 1. 2. 3.
1. 2. 3. 1. 2. 3.
6. Other
It is the expectation and requirement of the County that the proposer shall complete system testing prior to County user acceptance testing (UAT). Proposer shall provide all documentation related to system testing for County verification, validation and approval prior to UAT. 7.13
Knowledge Transfer /Training and Transition The Proposer will be required to provide training and technical documentation for all case management solution components. This will include training for specific groups including: •
•
• •
•
Judges: on modules that facilitate drafting of orders, review of case files, document management functions (such as workflow and signature), scheduling, calendaring, and incourt operations. Clerk’s staff: on operational aspects of the solution as well as certain administrative and support tasks. Clerks should receive training for the role-specific job tasks that they are to perform in order to conduct the day-to-day business of the county clerk and courts. Clerk’s Supervisors: on job tasks in their organizational area as well as use of workload management, calendaring/scheduling, reporting, and certain configuration options. System administrators: to resolve certain system issues, manage users, and provide general local system administration tasks. System administrators must be trained in the specific technologies and architectural components of the system in order to provide support for users and maintain the solution. Database managers: on the structure of the CMS data and the tools that are available to manage and retrieve the data. Page | 17
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• •
• •
•
•
•
Application managers: on various application components and the solution’s management suite, including the management of users and roles. Justice partners, external users, constituents: on various aspects of the new CMS, functions provided thru in-court for justice partners and at public access stations for external users. This would include drafting of court orders for judicial review. There are several different methods for delivering training. Because of the size and complexity of the Clerk’s Office, the proposer may want to explore a combination of several of these training methods. Some training methods to consider include the following. The County is open to a variety of training methods and would like the proposer to assemble a Training Plan that meets the needs of the solution and the County: Individual hands-on instructor: An instructor conducts individual training with each user, individually going through the process of performing common tasks and answers questions. Train the trainer: Internal Clerk’s Office staff is trained by an instructor using the individual hands-on instructor approach and then conducts hands-on classroom style instructor-led training. Hands-on classroom style instructor-led training: An instructor informs users on CMS functions and features, how to perform common tasks, with users performing the tasks themselves in a classroom/lab setting. Classes of 15-30 are usually effective here. Seminar style group demonstration: An instructor informs users on CMS functions and features, and how to perform common tasks in a live demonstration. Groups of 20 to 50 are often effective. Computer Based Training (CBT): Web-based, self-paced training, which allows end-users to complete interactive lessons that walk them through the processes of performing common tasks, and the software, tests them on their performance and understanding.
It is preferred that the proposer quote a training plan that utilizes procedural-based documents for the new CMS system, in place of the traditional training manual. Procedural-based documents are more user-friendly than the traditional manual and are easier to leverage since one procedural document is directly tied to a specific function in the new CMS (i.e. case initiation). In addition, it is recommended that the proposer also create a CBT terminal for training after go-live. This portal would seek to move Clerk’s staff from using paper-based manuals and move toward an electronic training method. Proposers should describe the recommended knowledge transfer and change management methodology, ensuring County staff participation from the onset of the project. Describe the County’s responsibilities and related escalation procedures if/when County participation is not promptly identified. This plan should include at minimum: A. B.
Knowledge transfer approach; End user training approach (including training location, format, total training hours, number of employees trained, timing and signoff process); Administrator training approach (including training location, format, total training hours, number of employees trained, timing and signoff process);For each of the above, the proposer shall detail expected Deliverables, the proposer’s and County’s respective responsibilities, and acceptance criteria. Proposers must use the following format:
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Key Activity 1. Knowledge transfer 2. End user training 3. Administrator training 4. Transition
5. Rollout support
Deliverables
Key Personnel/Responsibility
Acceptance Criteria
1. 2. 3. 1. 2. 3. 1. 2. 3. 1. 2. 3. 1. 2. 3.
6. Other
7.14
Project Deliverables The proposer will be required to provide, as a part of the project, each of the documents listed below. It is imperative that these documents, in particular, the project plan, provide a comprehensive roadmap for how an organization of this size implements an integrated CMS. The Clerk’s office may be interested in operating a parallel system model with the new and old Case Management system. In addition, the Clerk’s office will want to run a pilot or proof of concept prior to full deployment. This list of deliverables below will be expected during the project include (but are not limited to): • Project Management Plan • Organizational Chart • System Design • Change Management Plan o Assessment o Reengineering • Business Process Re-engineering Plan o Validation o Reengineering • Mainframe Assessment • Requirements Traceability Matrix • Risk Assessment & Management Plan • Knowledge Transfer/Training Plan • QA Plan/Approach o High level QA approach o Testing & promotion o System Testing (i.e., integration, conversion, regression, usability etc.) o Test Plans/Case Development o User Acceptance Testing • Data Conversion / Migration Plan/ Data Warehousing Plan • Application Configuration / Customizations Specifications (as built) • Interface Specs (internal systems) • Integration / information exchange specs • Workflow design and specs Page | 19
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• • • 7.15
Contract Performance Review and Acceptance Proposers should describe all expected contract performance metrics, an approach to collect and transfer all assets to the County, the required key staff to attend close out session(s), and expected close out activities. This close out plan should include at a minimum: A. B. C. D.
7.16
Hardware / Software Specs Help Desk Management Plan (with error messages and knowledge center) Maintenance & Support Plan
List of all expected final documentation and respective acceptance criteria/process; Proposer performance review expectations; Final project lessons learned review expectations; and Sample schedule of performance credits for failing to meet SLA and project milestones.
Invoicing and Payment The proposer must clearly address the following topics relating invoicing and payments (but all pricing itself shall be separately stated in the pricing proposal): A.
B. C.
D. E.
Pricing methodology – The proposer shall clearly explain whether it seeks fixed fee payment(s), time and materials payments(s), or any other payment basis, including examples if necessary. Milestone-based or deliverable-based payments – The Proposer shall describe how it shall invoice the County upon the County’s acceptance of deliverables or project milestones If the proposal calls for tendering deliverables of different types (e.g., hardware components vs. custom coding), the proposer shall clearly explain its corresponding payment expectations. Payment terms – The proposer shall describe the timeframe by which it requests the County pay invoices (e.g., Net 60, etc.) Late fees – The Proposer shall describe any fees it requests for late payment of invoices. The proposal shall clearly state all goods or services requiring payment. If the proposal does not include such items, proposer waives right to assert payment obligations at a later date. Examples of such goods or services might include:
F.
G.
Travel and expenses – The Proposer shall state its willingness to obtain the County’s written approval prior to billing the County for travel and expenses, as well as its willingness to adhere to the County’s travel policy. Data transfer and data storage limits and overages – The proposer shall clearly state all limits on data storage or data transfer. If exceeding those limits would require additional fees, the proposer shall state such costs in its separate pricing proposal.
8 Solution Ownership and Other Terms and Conditions 8.1 Data Ownership If awarded, all County Data shall be and remain the sole and exclusive property of the County. The selected Proposer will treat County Data as Confidential Information. The selected Proposer will be provided a license to County Data hereunder for the sole and exclusive purpose of performing its obligations under the resulting Agreement, including a limited non-exclusive, non-transferable license to transmit, process, and display County Data only to the extent necessary in the provisioning of the Services and not for the storage or recording of County Data. The selected Proposer will be prohibited from disclosing County Data to any third party without specific written approval from the Page | 20
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County. The Selected Proposer will have no property interest in, and may assert no lien on or right to withhold County Data from Cook County. “County Data” means any data, including metadata about such data and backup or other copies thereof, that the proposer or its sub-proposers obtains or accesses for the purposes of performing its obligations under its proposal; to the extent there is any uncertainty as to whether any data constitutes County Data, the data in question shall be treated as County Data. 8.2 Intellectual Property Ownership Proposer’s deliverables may be considered “works made for hire”, otherwise assigned to, or owned by the County. Proposer must state its agreement or must state any objection to this section. Specifically, the Proposer must address intellectual property ownership individually with respect to each of the following in its proposal: A. Commercial-off-the-shelf software or software components; B. Software customizations; C. Database schemas; D. Workflows; E. Project plans; F. Documentation; G. Training materials; H. Other Deliverables. 8.3 Hardware and Software Licensing The proposal shall include a clear, high-level, non-legalese explanation of its hardware and software licensing. At a minimum, the explanation shall answer the following questions: A. B. C. D.
What type of hardware and software license will the County receive? For example, would the County own licenses after the term of the proposed agreement? Who are the licensors? For example, is the proposer reselling or integrating a third party’s hardware or software? Are any conditions attached to the hardware or software licenses? For example, would the County’s licenses cease if the County chose to end maintenance services? Do any licenses propose to limit the manufacturers’ liabilities or the County’s remedies?
In an appendix, the proposal shall attach complete copies of hardware and software licensing agreements related to the proposal. 8.4 Software and Hardware Warranties The proposal shall include a clear, high-level, non-legalese explanation of its hardware and software warranties. At a minimum, the explanation shall answer the following questions: A. B. C. D.
What type of hardware and software warranties will the County receive? What would the warranties cover? If defects only, how are defects defined? What would the warranties exclude? What would be the County’s remedies under the warranties? Repair and replace or other?
In an appendix, the proposal shall attach complete copies of hardware and software warranties related to the proposal.
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8.5 Other Terms and Conditions If the proposer requires any additional terms, the proposal shall include a clear, high-level, nonlegalese explanation of them. At a minimum, the explanation shall answer the following questions: A.
B.
C.
Does the proposer intend to impose upon the County any additional terms and conditions, such as end user license agreements, acceptable use policies, terms of service, product use agreements, etc.? Does the proposer want to reference its terms and conditions via URL or change its terms and conditions at a later date? Alternatively, would the proposer include copies of the additional terms and conditions as exhibits to a contract with the County? Do any additional terms limit the proposer’s liabilities or the County’s remedies?
In an appendix, the proposal shall attach complete copies of any additional terms and conditions related to the proposal, such as acceptable use policies, terms of service, privacy policies, and other terms and conditions. 9
Solution Performance and Availability
9.1 Support and Maintenance Service The proposal must individually address each the following requirements and provide sufficient detail on whether and how it meets the following requirements: A. Multi-tiered support – The proposal must provide multiple tiers of support and must state whether the County is assumed to provide tier 1 support. B. Severity levels – The proposal must provide support and maintenance response proportionate to varying levels of incident severity. C. Multiple contact method – The proposal should provide for multiple methods of reporting an incident to the proposer. D. First-tier support scripts – If the proposer assumes that the County will provide Tier 1 support, and then the proposer shall deliver sufficient scripts and training to County help desk staff to adequately function as Tier 1 support. The proposal must individually address the following service level agreements (SLAs) for support and maintenance services, including whether such SLAs are offered and any additional cost for the SLAs, and detail on such: A.
Proposer’s Response Time SLAs – The time it takes an End-User to connect with Respondent’s contact center live representative. Respondent will provide toll-free telephone lines in adequate quantity to handle call volume; ACD system(s) to record call date, time and duration information; and electronic interfaces to all systems for monitoring and reporting. B. Proposer’s Resolution Time SLAs – Resolution is the time elapsed from the initiation of the Help Desk Incident until Service is restored. C. Other SLAs – If Proposers offer additional SLAs, they should be included. D. For each SLA, the proposer must: a. Detail on how proposer will enable the County to verify SLA compliance. b. Detail any tiering of SLAs, whether by severity or other classification. c. Whether Proposer offers specific and calculable service level credits, but Proposer must state any credits in its separate pricing proposal. 9.2 Terms of Post Implementation Support The Proposer should include the terms of functional and technical post implementation support of the system. In addition, the proposer should include what resources will be available to the County Page | 22
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in the case that additional support is needed following implementation. Proposers should include the necessary timeframes of support and possible support options. 9.3 Data Access and Retention Furthermore, the response must state whether Proposer will meet the following data-related system requirements: A. At all times, the County shall be able to receive County data, associated metadata, and reasonably granular subsets thereof, as well as any associated files or attachments, from the System in a useable, encrypted format. B. Upon termination of the contract and at the County’s written request, the Proposer shall destroy County Data, including backups and copies thereof, according to NIST standards or as otherwise directed by the County. C. The System shall have the ability to retain County data in a manner that is searchable and capable of compliance with records retention laws and best practices. D. At no time may Proposer suspend or terminate County’s access to County Data or the System for breach of contract or term or condition relating to the System without giving the County reasonable notice and opportunity to cure according to the County’s dispute resolution process. 9.4 Business Continuity and Disaster Recovery Proposers must provide a High Availability disaster recovery solution using the County’s production and disaster recovery data centers. The proposal must include hardware, software, networking, and operational requirements to implement a solution in the case of a single component failure or a widespread disaster at the production data center. The disaster recovery datacenter is within 100 kilometers and has broadband connectivity. Category High Availability
Availability 99.982%
RTO 4 Hours
Characteristics & RPO Data replication for each transaction or at short intervals with no significant data loss.
Proposers must recommend an Active/Passive solution that supports a 4-hour recovery time objective (RTO). The recovery system at the secondary datacenter must have processing capability commensurate with the production workload and be ready to automatically resume processing after failure at the primary datacenter. The County’s interfaces and operational procedures should be identical regardless of which servers or locations are performing the functions. System backups must be accomplished without taking the application out of service and without degradation of performance or disruption to County operations. As part of their solution, proposers should describe redundancy and procedural processes in the following categories: -
Hardware redundancy at the primary site for critical servers and components Contingency site hardware requirements, including environmental requirements for Rackspace power and network switching Replication methodology and software requirements Estimated bandwidth requirements for internal networking Backup methodology for data and environmental software Failover procedures Page | 23
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-
Testing methodology Proposers must specify how their solutions can meet the Recovery Time and Recovery Point Objectives.
9.5 Transition Out and Exit Requirements The proposal must describe its plan for transitioning Deliverables, County data, and any County intellectual property to the County at the termination of the proposed solution or services, including: A. B. C. D. E.
How the aforementioned would be delivered to the County; For hosted solutions, the procedure to import County Data to internal site, and the County's responsibilities in the event the County would want to transition to on premise hardware; Whether the Proposer would assist in transition to the County or successor proposer; How County data in Proposers possession would be destroyed after transition; All assumptions and requirements, such as required time for transition or County participation.
The Proposer must include any costs associated with transition out in its separate pricing proposal. 10 Security and Compliance 10.1 Data Security Controls The proposal must give an overview of the System’s software, hardware, and other controls supporting the System’s data security. The proposer must also provide a reasonably detailed explanation as to how the proposal protects the System and County Data within each of the following additional data security categories (NOTE: the County recognizes that reasonable descriptions of each security attribute below will vary in length, some attributes requiring little explanation, others not.) (If proposer determines any of the following requirements to be inapplicable, proposer shall state so and shall state the basis for determining each such requirement to be inapplicable): A. B. C. D. E. F. G. H. I.
Password configurations (e.g., complexity, aging, etc.); Authentication configuration (e.g., active directory, encrypted data exchange, hash, etc.); Encryption configurations (e.g., symmetrical AES-256, asymmetrical RSA 2048, etc.) for both data at rest and data in motion; Logging/Auditing capabilities (e.g., verbose user tracking and reporting, etc.); Physical security (e.g., 24-hour security, alarms, restricted access, etc.); Personnel security (e.g., extensive background checks, annual recheck, etc.); Web Application configurations (e.g., SQL injection protection, buffer overflow, etc.); Network transmission security (LAN and VPN); Data that is to be transmitted off-site must be encrypted end to end
Lastly, the proposer shall confirm that, under its proposal, no data-at-rest will be stored outside of the continental United States. 10.2
Secure Development and Configuration Practices The proposer must describe its application development and configuration practices and how they will reasonably protects the security, confidentiality and privacy of County data and any individuals who may be considered data subjects as to the solution. Page | 24
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The proposer should state whether it would adhere to the following guidelines: Microsoft Secure Coding Guidelines for the .NET Framework, CERT Secure Coding Standards, OWASP Secure Coding Principles, privacy by design principles, and the Federal Trade Commission’s Fair Information Practice Principles. 10.3
Compliance Requirements The proposer must provide sufficient detail on whether and how the proposal possesses data security controls that comply with (If proposer determines any of the following requirements to be inapplicable, proposer shall state so and shall also state the basis for determining each such requirement to be inapplicable): A. B. C. D. E. F.
10.4
Incident Response Requirements Proposer may include a full Incident Response Policy and/or related Plan as an attachment. In response to this section, the proposal must state the Proposer’s approach to meeting the following data security incident response requirements: A. B. C. D. E.
10.5
HIPAA, HITECH and the rules promulgated thereunder; Payment Card Industry standards, including but not limited to PCI DSS and PCI PADSS; 28 CFR 20 and the FBI’s CJIS Security Policy; IRS Publication 1075; NIST 800-53, as revised; ISO 27001/27002, as revised.
Maintenance of the Proposers’ Incident Response Plan; Conformance of such plan to Illinois Personal Information Protection Act and the breach notification laws of the fifty states; Cook County’s rights of review, approval and reasonable modification to Proposer’s incident response plan; Proposer’s approach to provide detailed reports on the nature of incidents and identified data lost or stolen; Proposer must describe its plan to address security incidents and data breaches in alignment with the following requirements. For events within the control of Proposer, the Proposer is expected to: a. Immediately notify the County of incidents and breaches; b. Identify immediate plan of action to mitigate further incident progression; c. Identify protection measures for affected individuals; d. Provide outbound and inbound incident-related communications, as requested and directed by the County.
Audit Requirements The proposal must individually address each the following requirements and provide sufficient detail on whether and how it meets the following requirements: A. B.
The proposer will provide SOC 2, Type 2 reports to the County annually or upon request; The proposer will provide corrective action plans or actions taken to resolve any exceptions, material weaknesses and/or control deficiencies identified in the SOC report. Page | 25
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C. D.
The County will have the right to access and audit proposer’s system and hosting; The County will have the right to request reasonable adjustments at the proposer’s expense where those requests are based upon audit findings pertaining to the System or Hosting.
11 Key Personnel The proposer must identify the key personnel that will be committed to the project. The Chief Procurement Officer reserves the right to reject any key personnel proposed if it is determined in the County’s best interest. All key personnel must be committed to the project without competing priorities. The evaluation of proposals includes the qualifications of the personnel proposed; therefore, proposers will name key personnel as part of their proposal. Key Personnel must not be replaced during the project without the approval of the Chief Procurement Officer. 12 Instructions to Proposers This RFP provides potential proposers with sufficient information to enable them to prepare and submit proposals. This RFP also contains the instructions governing the submittal of a proposal and the materials to be included therein, including the County requirements, which must be met to be eligible for consideration. All proposals must be complete as to the information requested in this RFP in order to be considered responsive and eligible for award. Proposers providing insufficient details will be deemed non-responsive. The County is not obligated, either to purchase the full services or the products proposed by the proposer, nor to enter into an agreement with any one proposer. 12.1 Availability of Documents The County will publish their competitive bid, RFP, and other procurement notices, as well as award information, at: http://www.cookcountygov.com/portal/server.pt/community/purchasing_agent,_office_of_the/277/office_ of_the_purchasing_agent. Interested proposer should note that, unless otherwise stated in the bid or RFP documents, there is no charge or fee to obtain a copy of the bid documents and respond to documents posted for competitive solicitations. Proposers intending to respond to any posted solicitation are encouraged to visit the web site above to ensure that they have received a complete and current set of documents. Some procurement notices may provide a downloadable version of the pertinent documents and any amendments to them, that will be available to suppliers after they have completed a simple registration process. Additionally, some notices may permit a supplier to submit a response to a posted requirement in an electronic format. Any proposers receiving a copy of procurement documents from a bid referral service and/or other third party are solely responsible for ensuring that they have received all necessary procurement documentation, including amendments and schedules. The County is not responsible for ensuring that all or any procurement documentation is received by any proposer that is not appropriately registered with the County. 12.2 Pre-Proposal Conference The County will hold a Pre-Proposal conference on the date, time and location indicated below. Representatives of the County will be present to answer any questions regarding the services requested or proposal procedures. Prospective Proposers will respond to the contact person listed on the front cover of Page | 26
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the RFP at least one day prior to the Pre-Proposal Conference to confirm participation and number of representatives attending the meeting. A maximum of 2 representatives from each firm may attend the pre-proposal conference. Attendees are encouraged to bring a copy of the RFP to the Pre-Proposal conference. Date: Thursday, March 12, 2015 at 10AM Location: 1018 N. Clark Street, Room 1018, Chicago, IL 60602 12.3 Special Access to the Pre-Proposal Conference If special accommodations are required for Proposer to attend the Pre-Proposal Conference or the proposal opening, contact the contact person listed on the cover page of this RFP via email or by phone no later than three (3) days before the event. 12.4 Clarifications Questions regarding this RFP will be submitted in writing to the contact person listed on the cover page of this RFP no later than Thursday, March 19, 2015 at 10AM. 12.5 Delivery of Proposal Package The Proposal and the Pricing Proposal will be delivered either by hand or sent to the County, Office of the Chief Procurement Officer through U.S. Mail or other available courier services to the address shown on the cover page of this RFP. Include the RFP number on any package delivered or sent to the County Office of the Chief Procurement Officer and on any correspondence related to this RFP or the Proposal. The Proposer remains responsible for insuring that its Proposal is received at the time, date, place, and office specified. The County assumes no responsibility for any Proposal not so received, regardless of whether the delay is caused by the U.S. Postal Service, any other carrier, or some other act or circumstance. Proposals received after the time specified will not be considered. If using an express delivery service, the package must be delivered to the designated building and office and not to the County Central Receiving facilities. 12.6 Uniformity To provide uniformity and to facilitate comparison of Proposals, all information submitted must clearly refer to the page number, section or other identifying reference in this RFP. All information submitted must be noted in the same sequence as its appearance in this RFP. The County reserves the right to waive minor variances or irregularities. 12.7 Proposal Material The Proposal material submitted in response to the RFP becomes the property of the County upon delivery to the Office of the Chief Procurement Officer and will be part of any contract formal document for the goods or services which are the subject of this RFP. 12.8 Addenda Should any proposer have questions concerning conditions and specifications, or find discrepancies in or omissions in the specifications, or be in doubt as to their meaning, they should notify the Office of the Chief Procurement Officer no later than Thursday, March 19, 2015 at 10AM to obtain clarification prior to submitting a Proposal. Such inquires must reference the proposal due date and the County RFP number. Any clarification addenda issued to Proposer prior to the Proposal due date shall be made available to all proposers. Since all addenda become a part of the Proposal, all addenda must be signed by an Page | 27
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authorized Proposer representative and returned with the Proposal on or before the Proposal opening date. Failure to sign and return any and all addenda acknowledgements shall be grounds for rejection of the Proposal. Interpretations that change the terms, conditions, or specifications will be made in the form of an addendum to the solicitation by the County. If issued, the County will post the addenda on the County website:http://legacy.cookcountygov.com/purchasing/proposals.html. In the event there are any conflicts between the general terms and conditions and any special terms and conditions, the special terms and conditions shall take precedence. 12.9 Proposer’s Responsibility for Services Proposed The Proposer must thoroughly examine and will be held to have thoroughly examined and read the entire RFP document. Failure of Proposers to fully acquaint themselves with existing conditions or the amount of work involved will not be a basis for requesting extra compensation after the award of a Contract. 12.10 Errors and Omissions The Proposer is expected to comply with the true intent of this RFP taken as a whole and shall not avail itself of any error or omission to the detriment of the services or the County. Should the Proposer suspect any error, omission, or discrepancy in the specifications or instructions, the Proposer shall immediately notify the County in writing, and the County will issue written corrections or clarifications. The Proposer is responsible for the contents of its Proposals and for satisfying the requirements set forth in the RFP. Proposer will not be allowed to benefit from errors in the document that could have been reasonably discovered by the Proposer in the process of putting the proposal together. 12.11 RFP Interpretation Interpretation of the wording of this document shall be the responsibility of the County and that interpretation shall be final. 12.12 Confidentiality and Response Cost and Ownership From the date of issuance of the RFP until the due date, the Proposer must not make available or discuss its Proposal, or any part thereof, with any employee or agent of the County. The Proposer is hereby warned that any part of its Proposal or any other material marked as confidential, proprietary, or trade secret, can only be protected to the extent permitted by Illinois Statutes. 12.13 Use of Subcontractors The Proposer’s response must include a description of which portion(s) of the work will be subcontracted out, the names and addresses of potential Subcontractors and the expected amount of money each will receive under the Contract. The County reserves the right to accept or reject any subcontractor if in the County’s sole opinion it is in the best interest of the County. 12.14 MBE/WBE Participation Goals Consistent with Cook County, Illinois Code of Ordinances (Article IV, Section 34-267 through 272), the County has established a goal that MBE/WBE firms retained as subcontractors receive a minimum of 35% of the overall estimated expenditures for this procurement. In an effort to continue to promote and expand the participation of certified MBE/WBE firms, the proposer shall make good faith efforts to utilize MBE/WBE certified firms as subcontractors. In its response, a proposer shall state the name(s) of the minority and women subcontractor(s) and the level of participation proposed for each firm to be awarded a subcontract. Page | 28
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12.15 Proposer’s Disclosure and Conflict of Interest The Proposer must complete and return the enclosed "Economic Disclosure Statement & Forms" along with their proposal. In the event that further clarification is required on any of the information provided, the County reserves the right to make any necessary inquiry with a proposer for such purpose. Such inquiry, if made, may include a deadline by which time any necessary clarifying information must be submitted. 12.16 Cook County RFP Format All proposers will use this solicitation format for submitting their proposal. Variations or exceptions from the specifications and general conditions should be submitted in writing. Such variations or exceptions may be considered in evaluating the offers received. Any exception taken must be noted in the space provided within this solicitation. Failure to comply with this requirement may cause a proposer’s proposal to be considered "nonresponsive." 12.17 Pricing All price and cost information requested in this solicitation should be provided by the proposer. While price is a factor in the evaluation of responses received, the relevant importance of price may vary based on the nature of the purchase and the related significance of other criteria as may be expressed elsewhere in this solicitation. In evaluating price, the County may give consideration to all cost of ownership factors relevant to determine the total final cost to the County, including but not limited to: administrative cost of issuing multiple awards. The County will be the sole determinant of the relevant and appropriate cost factors to be used in evaluating any Base or Alternate offers and/or Options. 12.18 Period of Firm Proposal Prices for the proposed service must be kept firm for at least one hundred and twenty (120) days after the last time specified for submission of Proposals. Firm Proposals for periods of less than this number of days may be considered non-responsive. The Proposer may specify a longer period of firm price than indicated here. If no period is indicated by the Proposer in the Proposal, the price will be firm until written notice to the contrary is received from the Proposer, unless otherwise specified in this RFP. 12.19 Awards The County may, at its discretion evaluate all responsive Proposals. The County reserves the right to make the award on an all or partial basis or split the award to multiple Proposers based on the lowest responsible proposers meeting the specifications, terms and conditions. If a split award impacts the outcome of the project it must be so stated in the proposal. 12.20 Cook County Rights The County reserves the right to reject any and all offers, to waive any informality in the offers and, unless otherwise specified by the Proposer, to accept any item in the offer. The County also reserves the right to accept or reject all or part of your Proposal, in any combination that is economically advantageous to the County. 12.21 Alteration/Modification of Original Documents The Proposer certifies that no alterations or modifications have been made to the original content of this Bid/RFP or other procurement documents (either text or graphics and whether transmitted electronically or hard copy in preparing this proposal). Any alternates or exceptions (whether to products, services, terms, conditions, or other procurement document subject matter) are apparent and clearly noted in the offered proposal. Proposer understands that failure to comply with this requirement may result in the proposal being disqualified and, if determined to be a deliberate attempt to misrepresent the proposal, Page | 29
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may be considered as sufficient basis to suspend or debar the submitting party from future County Bid and RFP procurement opportunities. 12.22 Recycling Packaging which is readily recyclable, made with recyclable materials, and designed to minimize potential adverse effects on the environment when disposed of by incineration or in a landfill is desired to the extent possible. Product(s) offered which contain recycled materials may be acceptable provided they meet all pertinent specifications and performance criteria outlined in this RFP. If the product(s) offered are manufactured utilizing recycled materials, identify the percentage composition and nature of the recycled content within. 13 EVALUATION AND SELECTION PROCESS 13.1 Responsiveness Review County personnel will review all proposals to ascertain that they are responsive to all submission requirements. 13.2 Acceptance of Proposals Chief Procurement Officer reserves the right to reject any or all Proposals or any part thereof, to waive informalities, and to accept the Proposal deemed most favorable to the County. 13.3 Evaluation Process An evaluation committee comprised of the County personnel will evaluate all responsive proposals in accordance with the evaluation criteria detailed below. This evaluation process may result in a short-list of proposals. The evaluation committee, at its option, may request that all or short-listed proposers make a presentation, other customer testimonials, submit clarifications, schedule a site visit of their premises (as appropriate), provide a best and final offer, provide additional references, respond to questions, or consider alternative approaches. 13.3.1 Proposer Presentations The County reserves the right to, but is not obligated to, request and require that each Proposer provide a formal presentation of its Proposal at a date and time to be determined. If required by the County, it is anticipated that such presentation will not exceed four (4) hours. No Proposer will be entitled to present during, or otherwise receive any information regarding, any presentation of any other Proposer. 13.3.2 Right to Inspect The County reserves the right to inspect and investigate thoroughly the establishment, facilities, equipment, business reputation, and other qualification of the Proposer and any proposed subcontractors and to reject any Proposal regardless of price if it shall be administratively determined that in the County’s sole discretion the Proposer is deficient in any of the essentials necessary to assure acceptable standards of performance. The County reserves the right to continue this inspection procedure throughout the life of the Contract that may arise from this RFP.
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13.3.3 Best and Final Offer The County reserves the right to request a Best and Final Offer from finalist Proposer(s), if it deems such an approach necessary. In general, the Best and Final Offer will consist of updated costs as well as answers to specific questions that were identified during the evaluation of Proposals. If the County chooses to invoke this option, Proposals will be re-evaluated by incorporating the information requested in the Best and Final Offer document, including costs, and answers to specific questions presented in the document. The specific format for the Best and Final Offer would be determined during evaluation discussions. Turnaround time for responding to a Best and Final Offers document is usually brief (i.e., five (5) business days). 13.4 Selection Process Upon review of all information provided by shortlisted proposers, the evaluation committee will make a recommendation for selection to the Chief Procurement Officer for concurrence and submission to the County elected officials. The County reserves the right to check references on any projects performed by the proposer whether provided by the proposer or known by the County. The selected proposal will be submitted for approval to the County Board. The County intends to select a proposal that best meets the needs of the County and provides the best overall value. Upon approval of the selected Proposer, a contract will be prepared by the County and presented to the Selected Proposer for signature.
14 EVALUATION CRITERIA 14.1 Responsiveness of Proposal Proposer is compliant with all the submission requirements of the RFP. 14.2
Technical Proposal Proposals will be reviewed and selected based on the following criteria: 1. Quality of the proposed Plan of Action, Project Approach, Project Management and Methodology, including implementation schedule, support in the post implementation phase and understanding of the County’s needs goals and objectives. 2. Qualifications and specialized experience for the Proposer to successfully perform the services for the County, as evidenced by the successful implementation of similar projects in at least three (3) large complex public sector organizations. Preferably city, county, state, or other government entities. 3. Qualifications and experience of the proposed key personnel as evidenced by relevant experience. 4. Level, quality, and relevancy of proposed participation by certified MBE/WBE firms. 5. Financial stability of the Proposer.
14.3 Price Proposal Price will be evaluated separately for overall reasonableness. 15 SUBMISSION OF PROPOSAL 15.1 Instructions for Submission 15.1.1 Number of Copies
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Proposers are required to submit one (1) original hardcopy and two (2) electronic copies of the proposal on CD/DVD or flash drive no later than the time and date indicated in the RFP. The original hardcopy should be clearly marked “original.” 15.1.2 Time for Submission Proposals shall be submitted no later than the date and time indicated for submission in this RFP. Late submittals may not be considered. 15.1.3 Format Proposal should be left-bound with information on one side only. Material should be organized following the order of the submission requirements separated by labeled tabs. Expensive paper and bindings are discouraged since no materials will be returned. 15.1.4 Complete Submission Proposers are advised to carefully review all the requirements and submit all documents and information as indicated in this RFP. Incomplete proposals may lead to a proposal being deemed non responsive. Non responsive proposals will not be considered. 15.1.5 Packaging and Labeling The outside wrapping/envelope shall clearly indicate the RFP Title and date and time for submission. It shall also indicate the name of the proposer. The Price Proposal shall be submitted in a separate sealed envelope. The envelope shall clearly identify the content as “Price Proposal”. All other submission requirements shall be included with the Technical Proposal. 15.1.6 Timely Delivery of Proposals The Proposal, including the Technical Proposal and the Pricing Proposal must be either delivered by hand or sent to Cook County, Office of the Chief Procurement Officer through U.S. Mail or other available courier services to the address shown on the cover sheet of this RFP. Include the RFP number on any package delivered or sent to the County, Office of the Chief Procurement Officer and on any correspondence related to the Proposal. If using an express delivery service, the package must be delivered to the designated building and office. Packages delivered by express mail services to other locations might not be re-delivered in time to be considered. 15.1.7 Late Proposals The proposer remains responsible for ensuring that its Proposal is received at the time, date, place, and office specified. The County assumes no responsibility for any Proposal not so received, regardless of whether the delay is caused by the U.S. Postal Service, the County Postal Delivery System, or some other act or circumstance. 15.1.8 Schedule of Revisions to RFP Schedule Should the Proposer consider that changes in the County’s RFP schedule are required; the Proposer shall submit a revised summary schedule with an explanation for the revision for the County’s review. The County will be under no obligation to accept revised schedules.
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15.2
Submission Requirements 15.2.1 Cover Letter The cover letter shall be signed by an authorized representative of the Proposer. The letter shall indicate the Proposer’s commitment to provide the services proposed at the price and schedule proposed. 15.2.2 Executive Summary The executive summary should include a brief overview of the Services and the key personnel who will be responsible for the services to be provided. The Summary shall also identify the members of the team that comprise the Proposer. Indicate the organizational relationship of the team members and include an organization chart for the project. 15.2.3 Qualifications of the Proposer Include a brief description of the organization’s track record, including history, number of employees, number of years in business, and a list of projects relevant to this RFP. Provide a list of references where relevant projects were implemented. Include the name of the contact person, name of the organization, project dollar value, address, telephone number and email address. Please provide at least three (3) references, preferably with municipal government projects. In addition, for each firm included in the proposal provide at least three (3) references with relevancy to the project scope. 15.2.4 Propose Plan of Action, Implementation and Solution Provide a detailed proposed plan of action indicating how all requirements will be met and the methodology proposed recommendations and implementation plan to successfully meet the goals of the County. In addition, the proposed plan of action shall include key milestones, staff & schedule, and ability to deliver value with a solution evidenced by cost savings. 15.2.5 Key Personnel Provide a chronological resume for each of the key personnel proposed. Each key personnel shall have three (3) references. In addition, provide the time commitment for each key personnel. Indicate the level of their commitment to other projects if any. 15.2.6 Subcontracting or Teaming The proposer may be comprised of one (1) or more firms as to assure the overall success of the project. The firm shall identify each team member and specify their role. The Chief Procurement Officer reserves the right to accept or reject any of the team members if in the Chief Procurement Officer’s sole opinion replacement of the team member, based on skills and knowledge, is in the best interest of the County. 15.2.7 MBE/WBE Participation For each MBE/WBE certified firm proposed, provide the name of the MBE/WBE firm(s), level of participation, the role that the subcontractor(s) will perform, the type of services that it will provide, and a brief background and resumes of proposed personnel proposed. The County may only award a contract to a responsible and responsive proposer. In the event that the proposer does not meet the MBE/WBE participation goal stated by the County for this procurement, the proposer must nonetheless demonstrate that it undertook good faith efforts to satisfy the Page | 33
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participation goal. Evidence of such efforts may include, but shall not be limited to, documentation demonstrating that the proposer made attempts to identify, contact, and solicit viable MBE/WBE firms for the services required, that certain MBE/WBE firms did not respond or declined to submit proposals for the work, or any other documentation that helps demonstrate good faith efforts. Failure by the proposer to provide the required documentation or otherwise demonstrate good faith efforts will be taken into consideration by the County in its evaluation of the proposer’s responsibility and responsiveness. 15.2.8 Financial Status Provide the audited financial statements for the last three fiscal years. Include the letter of opinion, balance sheet, schedules, and related auditor’s notes. 15.2.9 Legal Actions Provide a list of any pending litigation in which the proposer may experience significant financial settlement and include a brief description of the reason for legal action. 15.2.10 Conflict of Interest Provide information regarding any real or potential conflict of interest. Failure to address any potential conflict of interest upfront may be cause for rejection of the proposal. 15.2.11 Economic Disclosure Statement Execute and submit the Economic Disclosure Statement (“EDS”). In the event any further clarification is required on any of the information provided, the County reserves the right to make any necessary communication with the Proposer for such purpose. Such communication, if made, may include a deadline by which time any necessary clarifying information must be submitted. 15.2.12 Contract The Professional Service Agreement is provided for information only. Execution of the Professional Service Agreement is not required at the time the proposal is submitted. In the event you disagree with the Professional Service Agreement provisions, submit any exceptions to the standard contract and include the rationale for taking the exception. If you are proposing alternate language, please include the language for consideration. Insurance Requirements: Prior to contract award, the selected Proposer will be required to submit evidence of insurance in the appropriate amounts. However, with its Proposal, the Proposer is required to provide a statement on their company letterhead stating their agreement to meet all insurance requirements by Cook County. The Insurance Requirements captured in the Professional Services Agreement are replaced by the following: Insurance Requirements of the Contractor Prior to the effective date of this Contract, the Contractor, at its cost, shall secure and maintain at all times, unless specified otherwise, until completion of the term of this Contract the insurance specified below.
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Nothing contained in these insurance requirements is to be construed as limiting the extent of the Contractor's responsibility for payment of damages resulting from its operations under this Contract. Contractor shall require all Subcontractors to provide the insurance required in this Agreement, or Contractor may provide the coverages for Subcontractors. All Subcontractors are subject to the same insurance requirements as Contractor except paragraph (d) Excess Liability or unless specified otherwise. The Cook County Department of Risk Management maintains the right to modify, delete, alter or change these requirements. Coverages (a)
Workers Compensation Insurance Workers' Compensation shall be in accordance with the laws of the State of Illinois or any other applicable jurisdiction.
The Workers Compensation policy shall also include the following provisions: (1)
Employers' Liability coverage with a limit of $500,000 each Accident $500,000 each Employee $500,000 Policy Limit for Disease
(b)
Commercial General Liability Insurance The Commercial General Liability shall be on an occurrence form basis (ISO Form CG 0001 or equivalent) to cover bodily injury, personal injury and property damage. Each Occurrence
$ 1,000,000
General Aggregate
$ 2,000,000
Completed Operations Aggregate
$ 2,000,000
The General Liability policy shall include the following coverages:
(a)
All premises and operations;
(b)
Contractual Liability;
(c)
Products/Completed Operations;
(d) Severability of interest/separation of insureds clause
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(c)
Commercial Automobile Liability Insurance When any vehicles are used in the performance of this contract, Contractor shall secure Automobile Liability Insurance for bodily injury and property damage arising from the Ownership, maintenance or use of owned, hired and non-owned vehicles with a limit no less than $1,000,000 per accident.
(d)
Excess Liability Such policy shall be excess over Commercial General Liability, Automobile Liability, and Employer’s Liability with limits not less than the following amounts: Each Occurrence:
(e)
$1,000,000
Professional / Technology Errors and Omissions Liability Contractor shall secure Professional Liability insurance covering any and all claims arising out of the performance or nonperformance of professional services for the County under this Agreement. This professional liability insurance shall remain in force for the life of the Contractor’s obligations under this Agreement, and shall have a limit of liability of not less than $2,000,000 per claim. If any such policy is written on a claims made form, the retroactive date shall be prior to or coincident with the effective date of this contract. Claims made form coverage, or extended reporting following the expiration or termination of this contract, shall be maintained by the Contractor for a minimum of three years following the expiration or early termination of this contract and the Contractor shall annually provide the County with proof of renewal. Subcontractors performing services for the Contractor must maintain limits of not less than $1,000,000 with the same terms in this section.
Additional requirements
(a) Additional Insured The required insurance policies, with the exception of the Workers Compensation and Professional Liability, must name Cook County, its officials, employees and agents as additional insureds with respect to operations performed. Contractor’s insurance shall be primary and noncontributory with any insurance maintained by Cook County. Any insurance or self-insurance maintained by Cook County shall be excess of the Contractor’s insurance and shall not contribute with it. The full policy limits and scope of protection shall apply to Cook County as an additional insured even if they exceed the minimum insurance limits specified above.
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(b) Qualification of Insurers All insurance companies providing coverage shall be licensed or approved by the Department of Insurance, State of Illinois, and shall have a financial rating no lower than (A-) VII as listed in A.M. Best's Key Rating Guide, current edition or interim report. Companies with ratings lower than (A) VII will be acceptable only upon consent of the Cook County Department of Risk Management. The insurance limits required herein may be satisfied by a combination of primary, umbrella and/or excess liability insurance policies. (c) Insurance Notices Contractor shall provide the Office of the Chief Procurement Officer with thirty (30) days advance written notice in the event any required insurance will be cancelled, materially reduced or nonrenewed. Contractor shall secure replacement coverage to comply with the stated insurance requirements and provide new certificates of insurance to the Office of the Chief Procurement Officer. Prior to the date on which Contractor commences performance of its part of the work, Contractor shall furnish to the Office of the Chief Procurement Officer certificates of insurance maintained by Contractor. The receipt of any certificate of insurance does not constitute agreement by the County that the insurance requirements have been fully met or that the insurance policies indicated on the certificate of insurance are in compliance with insurance required above. In no event shall any failure of the County to receive certificates of insurance required hereof or to demand receipt of such Certificates of Insurance be construed as a waiver of Contractor's obligations to obtain insurance pursuant to these insurance requirements.
(d) Waiver of Subrogation Endorsements All insurance policies must contain a Waiver of Subrogation Endorsement in favor of Cook County.
15.2.13 Other Submit any information the Proposer deems pertinent to demonstrate its qualifications to perform the services being requested such as memberships in any professional associations.
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Appendix I -Definitions “Acceptance” means the acceptance of the successful Implementation of the complete “System” and successful completion and delivery of all Deliverables as set forth herein. “Application” means the software(s) proposed to fulfill the County’s requirements under this RFP, regardless of whether the proposer has manufactured or created the software(s). “Cloud Computing” or “Cloud” means a model for enabling ubiquitous, convenient, on-demand network access to a shared pool of configurable computing resources (e.g., networks, servers, storage, applications, and services) that can be rapidly provisioned and released with minimal management effort or service provider interaction. “Community Cloud” means a Cloud infrastructure provisioned for exclusive use by a specific community of consumers from organizations that have shared concerns (e.g., mission, security requirements, policy, and compliance considerations). It may be owned, managed, and operated by one or more of the organizations in the community, a third party, or some combination of them, and it may exist on or off premises. “County Data” means any data, including metadata about such data and backup or other copies thereof, that the proposer or its sub Proposers obtains or accesses for the purposes of performing its obligations under the its proposal; to the extent there is any uncertainty as to whether any data constitutes County Data, the data in question shall be treated as County Data. “Hosting” means the environment in which the Application and corresponding services (e.g., SaaS, PaaS, or IaaS) are deployed, regardless of whether such environment is On-Premises, Remotely Hosted, or in the Cloud, and regardless of whether a party other than the proposer provides such environment and services. Hosting is included within the definition of System. “Hybrid Cloud” means a Cloud infrastructure composed of two or more distinct Cloud infrastructures (private, community, or public) that remain unique entities, but are bound together by standardized or proprietary technology that enables data and application portability (e.g., cloud bursting for load balancing between clouds). “Hybrid Hosting” means a combination of two or more of the following: On-Premise Hosting, Remote Hosting and/or Cloud Computing. Hybrid Hosting is different than Hybrid Cloud. “Infrastructure as a Service” or “IaaS” means a service model where the provider provisions processing, storage, networks, and other fundamental computing resources to the County for deploying and running arbitrary software, where the County does not manage or control the underlying infrastructure but where the County has control over operating systems, storage, deployed applications, and possibly limited control of select networking components (e.g., host firewalls). “On-Premise Deployment” or “On-Premise” means Hosting that the County provides directly on its premises. “Platform as a Service” or “PaaS” means a service model where the County deploys its own applications onto the provider’s infrastructure using provider-supported coding languages and tools, but where the County does not manage or control the underlying infrastructure.
RFP No. 1590-14357
“Private Cloud” means a Cloud infrastructure provisioned for exclusive use by a single organization comprising multiple consumers (e.g., business units). It may be owned, managed, and operated by the organization, a third party, or some combination of them, and it may exist on or off premises. “Public Cloud” means a Cloud infrastructure provisioned for open use by the general public, which exists on the premises of the Cloud provider. “Recovery Point Objective” or “RPO” means the point-in-time that systems and data must be recovered and may range from point-of-failure, which has minimal loss, to data backed up the previous night or previous week (e.g., point-of-failure, one hour of data, one day of transactions or paper work). “Recovery Time Objective” or “RTO” means the timeframe business functions must be recovered after a declared outage (e.g., 24 hours). “Remote Hosting” means Hosting that the County does not provide directly on its premises, but that also is not Cloud Computing. “Software as a Service” or “SaaS” means a service model where, via a web browser or other interface, the County is to use the provider’s applications running on a Cloud Computing infrastructure, but where the County does not manage or control the underlying infrastructure. “System” means the Application, other software, hardware, processes, services and Hosting proposed to fulfill the County’s requirements under this RFP, regardless of whether the aforementioned are County-specific customizations or the proposer’s standard offerings.
RFP No. 1590-14357
Appendix II -Functional Requirements by Operational Functions [SEE ATTACHMENT]
RFP No. 1590-14357
Appendix III - Technical & System Requirements
[SEE ATTACHMENT]
RFP No. 1590-14357
Appendix IV - Implementation Requirements [SEE ATTACHMENT]
RFP No. 1590-14357
Appendix V- Integration Requirements
The integration requirements give the proposer an idea of what exchanges of data exist between partnering agencies and agency respective systems. Integrations #
Sending Agency
1.01
Law Enforcement Agency
1.02
Law Enforcement Agency
1.03
Law Enforcement Agency
Condition(s) If not booked If charged with ordinance violation If not booked If charged with ordinance violation If charged with a misdemeanor If held in custody If not able to post bail pursuant to standard bail schedule
Transfer Document(s)
Receiving Agency
Non Traffic Citation
Circuit Court Clerk
Non Traffic Citation
Circuit Court Clerk
Arrest Information Case Report Criminal Complaint
Circuit Court Clerk
Inventory Report Transmittal Listing
1.04
Law Enforcement Agency
If charged with a misdemeanor If not able to post bail pursuant to standard bail schedule
Arrest Information
Case Report Circuit Court Clerk Chicago Criminal History Criminal Complaint State Criminal History Transmittal Listing
If charged with a misdemeanor If released on bail 1.05
1.06
Bond Form Case Report Chicago Criminal History Criminal Complaint Inventory Report State Criminal History Transmittal Listing
Law Enforcement Agency
Law Enforcement Agency
Arrest Information
If charged with a misdemeanor If released on bail
Circuit Court Clerk
Arrest Information Case Report (CPD) Criminal Complaint State Criminal History
States Attorney
RFP No. 1590-14357
#
1.07
Sending Agency
Condition(s)
Law Enforcement Agency
If charged with a misdemeanor If released on bail
Transfer Document(s)
Receiving Agency
Arrest Information Case Report (CPD)
States Attorney
Criminal Complaint State Criminal History
1.08
Law Enforcement Agency
If charged with domestic violence If charged with a misdemeanor
Arrest Report Circuit Court Clerk Criminal Complaint Transmittal Listing
1.09
Law Enforcement Agency
If charged with domestic violence If charged with a misdemeanor
Arrest Report States Attorney Criminal Complaint Transmittal Listing
1.10
Law Enforcement Agency
If felony charges are not approved If Chicago cases If law enforcement override prosecutor decision
Arrest Information Case Report (CPD)
Chicago Criminal History States Attorney Criminal Complaint Felony 101 Inventory Report State Criminal History Transmittal Listing
1.11
Law Enforcement Agency
1.12
Law Enforcement Agency
1.13
Law Enforcement Agency
1.14
Law Enforcement Agency
1.15
Law Enforcement Agency
If police request arrest warrant If suspected of a felony If Chicago cases If suspected of non-narcotic felony If booked If released without charging If booked If released without charging If charged with a misdemeanor If released on bail
Case Report
States Attorney
Oral Case Summary Report
States Attorney
Arrest Information (electronic transfer through CABS)
Chicago Police Department
Arrest Information (electronic transfer through CABS)
State Bureau of Identification
Arrest Information (electronic transfer through CABS) Criminal Complaint Transmittal Listing
Circuit Court Clerk
RFP No. 1590-14357
#
1.16
Sending Agency
Law Enforcement Agency
1.17
Law Enforcement Agency
1.18
Law Enforcement Agency
1.19
Law Enforcement Agency
Condition(s)
Transfer Document(s)
If felony charges are not approved If charged with a misdemeanor If held in custody If not able to post bail pursuant to standard bail schedule If felony review required If felony arrest
Arrest Information (electronic transfer through CABS)
If subject is to be charged If in custody If subject is to be charged If in custody
Receiving Agency
Criminal Complaint Inventory Report
Circuit Court Clerk
Transmittal Listing Arrest Information (electronic transfer through CABS) Case Report Chicago Criminal History Arrest Information (electronic transfer through CABS) LiveScan Fingerprint Affirmation Arrest Information (electronic transfer through CABS) LiveScan Fingerprint Affirmation
State Bureau of Identification
Oral Case Summary Report
States Attorney
States Attorney
Chicago Police Department
1.20
Law Enforcement Agency
If suspected of any felony including narcotics If Suburban case
1.21
Chicago Police Department
If CPD or CABS booking
CPD to B of I (electronic transfer)
State Bureau of Identification
1.22
Chicago Police Department
If CPD or CABS booking
CPD to CC Clerk (electronic transfer)
Circuit Court Clerk
1.23
Law Enforcement Agency
If booking
LiveScan Fingerprint Affirmation
State Bureau of Identification
1.24
Law Enforcement Agency
If booking
CABS to CPD (electronic transfer)
Chicago Police Department
Petition for Order of Protection
Circuit Court Clerk
Motion for No Bond
Circuit Court Clerk
Oral Prosecutor Charge Decision
Law Enforcement Agency
1.25
States Attorney
1.26
States Attorney
1.27
States Attorney
If charged with a misdemeanor If charged with domestic violence If victim present If charged with significant crime If charges are approved If suspected of non-narcotic felony
RFP No. 1590-14357
#
Sending Agency
1.28
States Attorney
1.29
States Attorney
1.30
Law Enforcement Agency
1.31
Law Enforcement Agency
1.32
Circuit Court Clerk
1.33
Circuit Court Clerk
1.34
Circuit Court Clerk
1.35
States Attorney
1.36
States Attorney
Condition(s) If suspected of any felony including narcotics (Suburban Courts Only) If felony charges are not approved If states attorney approves arrest warrant If suspected of a felony If law enforcement agency requests arrest warrant If suspected of a felony If states attorney approves arrest warrant
If suspected of a misdemeanor If charged with a felony If court orders an arrest warrant If charged with a felony If finding of probable cause If court orders an arrest warrant If charged with a misdemeanor If court orders an arrest warrant If prosecutor files a petition for violation of Bail Bond If charged with a felony If currently on bond for another felony charge If prosecutor files a petition to violate probation If charged with a
Transfer Document(s)
Receiving Agency
Oral Prosecutor Charge Decision
Law Enforcement Agency
Oral Prosecutor Charge Decision
Law Enforcement Agency
Arrest Warrant Criminal Complaint Felony 101 Transmittal Listing Arrest Warrant Criminal Complaint Arrest Warrant Transmittal Listing of Warrants
Circuit Court Clerk
Circuit Court Clerk Law Enforcement Agency
Arrest Warrant Transmittal Listing of Warrants
Arrest Warrant Transmittal Listing of Warrants
Petition for Violation of Bail Bond
Arrest Report Petition for Violation of
Sheriff
Law Enforcement Agency
Circuit Court Clerk
Circuit Court Clerk
RFP No. 1590-14357
#
Sending Agency
Condition(s)
Transfer Document(s)
felony If currently on probation If subject has been arrested
Probation
If prosecutor files a petition to violate probation 1.37
1.38
1.39
1.40
States Attorney
States Attorney
States Attorney
States Attorney
1.41
Law Enforcement Agency
1.42
Law Enforcement Agency
Arrest Report
If charged with a misdemeanor If charged with a felony If currently on probation If prosecutor files a petition to violate probation
Petition for Violation of Probation
If charged with a misdemeanor If charged with a felony If currently on probation If prosecutor files a petition to violate probation
Petition for Violation of Probation
If charged with a misdemeanor If charged with a felony If currently on probation If prosecutor files a petition to violate probation
Petition for Violation of Probation
If charged with a misdemeanor If charged with a felony If currently on probation If charged with a felony If charges are approved
Petition for Violation of Probation
If charged with a felony
Receiving Agency
Probation
Arrest Report
Circuit Court Clerk
Arrest Report
Probation
Arrest Report
Circuit Court Clerk
Arrest Information Case Report (CPD) Criminal Complaint Felony 101 Inventory Report State Criminal History Transmittal Listing Arrest Information (electronic transfer through CABS)
States Attorney
Circuit Court Clerk
RFP No. 1590-14357
#
Sending Agency
Condition(s)
Transfer Document(s)
If charged are approved
Criminal Complaint
Receiving Agency
Transmittal Listing 1.43
Grand Jury
1.44
Grand Jury
1.45
States Attorney
1.46
Circuit Court Clerk
1.47
Circuit Court Clerk
1.48
Circuit Court Clerk
1.49
Sheriff Jail
1.50
Sheriff Jail
1.51
Sheriff Jail
1.52
Sheriff Jail
1.53
Circuit Court Clerk
1.54
Circuit Court Clerk
If grand jury returns no bill If grand jury returns true bill If charged with serious crime If charged with a felony If able to post bail If charged with a felony If unable to post bond If motion to reduce bond filed If subject posts bail If court has set bail If charged with a felony If suburban court district If court includes special conditions of release If detained at Cook County jail If remanded to jail If assigned to pretrial detention If charged with a felony If able to post bail amount specified by court If charged with a misdemeanor If complaining witness not present If motion for continuance denied If charged with a misdemeanor If sentenced to
No Bill
Circuit Court Clerk
Indictment
Circuit Court Clerk
Pre-Arraignment Motion
Circuit Court Clerk
Oral Bond Information
Sheriff Jail
Oral Bond Information
Sheriff Jail
Prisoner Data Sheet Special Conditions of Bond
Sheriff Jail
CC DOC to AVN - booking (electronic transfer) Administrative Mandatory Furlough Administrative Mandatory Furlough
Automated Victim Notification Circuit Court Clerk
Order of Commitment & Sentencing
Circuit Court Clerk
Oral Dismissal
States Attorney
Order of Commitment & Sentencing Prisoner Data Sheet
Sheriff Jail
Circuit Court Clerk
RFP No. 1590-14357
#
Sending Agency
Condition(s)
Transfer Document(s)
Receiving Agency
jail If guilty plea
1.55
States Attorney
1.56
Circuit Court Clerk
1.57
States Attorney
1.58
States Attorney
1.59
States Attorney
1.60
States Attorney
1.61
States Attorney
1.62
States Attorney
1.63
Circuit Court Clerk
1.64
Circuit Court Clerk
1.65
Circuit Court Clerk
1.66
Circuit Court Clerk
If charged with a misdemeanor
If court has initiated a case If charged with a felony If currently on bond for another felony charge If charged with a felony If currently on probation If charged with a felony If subject cannot be I.D. If charged with a felony If currently on CD If charged with a felony If currently on supervision If charged with a misdemeanor If charged with domestic violence If charged with a felony If charged with a felony If Public Defender or Private Counsel appointed If charged with a felony If ordered held without bail If court sets bail If charged with a felony If subject posts
Arrest Report Chicago Criminal History Custody Logs Inventory Report Offense Report State Criminal History Supplemental Reports CC Clerk to CC Social Services (electronic transfer)
Public Defender
Social Services
Violation of Bail Bong
Circuit Court Clerk
Violation of Probation
Circuit Court Clerk
Oral request for delay
Chicago Police Department
Violation of CD
Circuit Court Clerk
Violation of Supervision
Circuit Court Clerk
Oral Case Summary Report
Circuit Court Clerk
Oral Court Schedule
States Attorney
Criminal Complaint Public Defender Oral Court Schedule
Oral Bond Information
States Attorney
Oral Bond Information
Probation
RFP No. 1590-14357
#
1.67
Sending Agency
Circuit Court Clerk
1.68
Circuit Court Clerk
1.69
Circuit Court Clerk
1.70
Circuit Court Clerk
1.71
Circuit Court Clerk
1.72
States Attorney
1.73
Circuit Court Clerk
1.74
Circuit Court Clerk
1.75
Public Defender/Private Counsel
States Attorney
1.76
Condition(s) bail If court orders monitoring If court sets bail If charged with a felony If subject posts bail If court sets bail If charged with a felony If subject posts bail If court includes special conditions of release If court sets bail If charged with a felony If unable to post bail If court sets bail If subject posts bail If court orders pretrial services If new court date If charged with a felony domestic violence If petition for violation is granted If court orders an arrest warrant If remanded to jail If in pre-trial detention program
Transfer Document(s)
Receiving Agency
Bond Order
States Attorney
Oral Bond Information Special Conditions of Bond States Attorney
Prisoner Data Sheet
Sheriff Jail
Oral Bond Information
Probation
Bond Order CC Clerk to AVN - next court transmittal (electronic transfer)
Automated Victim Notification
Petition for Order of Protection
Circuit Court Clerk
Arrest Warrant Sheriff Transmittal Listing of Warrants
Prisoner Data Sheet
Sheriff Jail
If charged with a misdemeanor
Motion for Continuance
Circuit Court Clerk
If charged with a misdemeanor If complaining witness not present
Motion for Continuance
Circuit Court Clerk
RFP No. 1590-14357
#
1.77
1.78
1.79
1.80
Sending Agency
States Attorney
States Attorney
Probation
States Attorney
Condition(s) If subject has not been to bail hearing If charged with a misdemeanor If complaining witness not present If subject has not been to bail hearing If charges with Reckless Homicide or Felony DUI If pre-trial investigation ordered If after finding no probably cause or dismissal If case goes to grand jury
Transfer Document(s)
Receiving Agency
Motion for Continuance
Public Defender/Private Counsel
Arrest Report Case Report (CPD) Charging Document Crime Lab Report Witness Memorandum
Secretary of State
Pre-Trial Investigation Report
Circuit Court Clerk
Charging Document Grand Jury Felony 101 Witness Memorandum
1.81
1.82
1.83
1.84
Public Defender/Private Counsel
States Attorney
States Attorney
Circuit Court Clerk
If agrees to probation If charged with a felony If guilty plea If preliminary hearing waived If charged with a felony
Preliminary Hearing Waiver
If guilty plea
Probation Specification Document
If preliminary hearing waived If agrees to probation on plea If charged with a felony If preliminary hearing waived If guilty plea If Public Defender or Private Counsel appointed If charged with a misdemeanor
Jury Waiver PSI Waiver
Circuit Court Clerk
Information
Circuit Court Clerk
Charging Document Information Probation Specification Document
Public Defender/Private Counsel
Order of Probation/Conditional
Social Services
RFP No. 1590-14357
#
Sending Agency
1.85
States Attorney
1.86
Public Defender
1.87
Public Defender
1.88
States Attorney
1.89
States Attorney
1.90
Public Defender
1.91
Public Defender
1.92
Grand Jury
1.93
States Attorney
1.94
States Attorney
1.95
States Attorney
1.96
States Attorney
1.97
States Attorney
Condition(s)
Transfer Document(s)
If sentenced to supervision If convicted of a misdemeanor If felony case If felony charges are approved If felony case If finding of probable cause If felony case If finding of probable cause If guilty plea If agrees to IDOC on plea If charged with a felony If preliminary hearing waived If pleads not guilty If finding of probable cause If pre-trial motion filed
Discharge/Supervision
If pre-trial motion filed If charged with a felony If grand jury returns no bill If States intends to seek death penalty If capital case If State intends to seek death penalty If capital case If charged with a felony If discovery motion filed
If discovery motion filed
Receiving Agency
CC SA to CC Clerk (electronic transfer)
Circuit Court Clerk
Motion for Discovery
Circuit Court Clerk
Motion for Discovery Notice of Motion
States Attorney
Information Statement of Facts IDOC/Probation
Information
Circuit Court Clerk
Notice of Motion Pre-trial Motion
States Attorney
Pre-trial Motion
Circuit Court Clerk
No Bill
Circuit Court Clerk
Notice to seek death penalty
Circuit Court Clerk
Notice to seek death penalty
Public Defender/Private Counsel
Arrest Report Chicago Criminal History Custody Logs Inventory Report Offense Report State Criminal History Supplemental Reports
Public Defender
Motion for Discovery
Circuit Court Clerk
RFP No. 1590-14357
#
Sending Agency
Condition(s)
Transfer Document(s)
Receiving Agency
1.98
Circuit Court Clerk
If discovery motion filed
Motion for Discovery Notice of Motion
Public Defender
1.99
Circuit Court Clerk
If motion filed
Oral Court Schedule
States Attorney
1.100
Circuit Court Clerk
Notice of Investigation Order (Probation)
Probation
1.101
Circuit Court Clerk
Notice of Investigation Order (Probation)
Probation
Transmittal Listing Recalled Warrants Transmittal Listing of Warrants Sent
Law Enforcement Agency
1.102
1.103
1.104
1.105
1.106
Circuit Court Clerk
Circuit Court Clerk
Circuit Court Clerk
Circuit Court Clerk
Circuit Court Clerk
1.107
Circuit Court Clerk
1.108
Circuit Court Clerk
1.109
Circuit Court Clerk
1.110
Circuit Court Clerk
If Judge orders pre-trial investigation If court orders pre-sentence investigation If arrest on warrant If warrant recall or execution If charged with a felony If defendant fails to appear If court orders an arrest warrant If charged with a felony If finding of probable cause If fails to appear If court orders an arrest warrant If charged with a misdemeanor If fails to appear If court orders an arrest warrant If court issues order of protection If not present in court If fails to appear If in pre-trial detention program If new court date If present in court If court issues order of protection If subject surrenders to court
Arrest Warrant Transmittal Listing of Warrants
Law Enforcement Agency
Arrest Warrant Transmittal Listing of Warrants
Sheriff
Arrest Warrant Transmittal Listing of Warrants
Law Enforcement Agency
Order of Protection Sheriff Summons Arrest Warrant Prisoner Data Sheet
Sheriff Jail
CC Clerk to AVN - next court transmittal (electronic transfer)
Automated Victim Notification
Order of Protection
Sheriff
Transmittal Listing Recall Warrants
Law Enforcement Agency
RFP No. 1590-14357
#
Sending Agency
Condition(s)
Transfer Document(s)
If active arrest warrant If warrant recall or execution
Warrant Execute/Recall Order
1.111
States Attorney
If suspected of leaving the scene personal injury with death
1.112
Circuit Court Clerk
If unable to post bail
1.113
Circuit Court Clerk
If trial judge assigned
1.114
Sheriff Jail
1.115
Circuit Court Clerk
1.116
Circuit Court Clerk
1.117
Law Enforcement Agency
1.118
Law Enforcement Agency
If discharged from jail If charged with a misdemeanor If in custody of sheriff If found not guilty If found guilty If court orders pre-sentence investigation If charged with a felony
Arrest Report Case Report (CPD) Charging Document Crime Lab Report Witness Memorandum
Secretary of State
Prisoner Data Sheet
Sheriff Jail
Bond Form Indictment Information Witness Memorandum CC DOC to AVN - discharge (electronic transfer)
Notice of Investigation Order (Probation)
Probation
Arrest Information
If charged with a felony
Arrest Information
If warrant not quashed
Arrest Warrant Info (electronic transfer through LEADS) Arrest Warrant Info (electronic transfer through LEADS)
Law Enforcement Agency
1.120
Sheriff
If warrant not quashed
1.121
Sheriff
1.122
Circuit Court Clerk
If court issues order of protection If Court sets for trial If in pre-trial detention program
Automated Victim Notification
Sheriff Jail
Arrest Warrant Info (electronic transfer through LEADS)
1.119
Circuit Court Clerk
Prisoner Data Sheet
If warrant not quashed
If charged with a misdemeanor If linked to I.R. # If warrant not quashed
Receiving Agency
Arrest Warrant Info (electronic transfer through LEADS) Order of Protection (electronic transfer through LEADS)
Mittimus
State Police LEADS
Circuit Court Clerk
State Police LEADS
State Police LEADS
State Police LEADS
Sheriff Jail
RFP No. 1590-14357
#
Sending Agency
1.123
Circuit Court Clerk
1.124
Circuit Court Clerk
1.125
Public Defender
1.126
Public Defender
1.127
States Attorney
1.128
States Attorney
1.129
Probation
1.130
Probation
1.131
Probation
1.132
Circuit Court Clerk
1.133
Circuit Court Clerk
1.134
Circuit Court Clerk
Condition(s) If Court sets for trial If currently on supervision If charged with a felony If Court sets for trial If charged with a felony If motion filed If discovery complete If charged with a felony If motion filed If discovery complete If charged with a felony If motion filed If discovery complete If charged with a felony If motion filed If discovery complete If early termination recommended If sentenced to probation If in compliance with terms of probation If sentenced to probation If pre-sentence investigation If court enters final disposition If court event is reportable to the central repository If vehicle involved in commission of offense If felony case If convicted of a misdemeanor
Transfer Document(s)
Receiving Agency
Oral Court Schedule
Probation
Oral Court Schedule
States Attorney
Motion
Circuit Court Clerk
Motion Notice of Motion
States Attorney
Motion
Circuit Court Clerk
Motion Notice of Motion
Public Defender
Oral Motion for termination
Probation
Case Data Sheet (Probation)
Probation
Pre-Sentence Investigation Document
Circuit Court Clerk
CC Clerk to B. of I. (electronic transfer)
State Bureau of Identification
Arrest Report Secretary of State Charging Document Felony 101 Order of Probation/Conditional
Social Services
RFP No. 1590-14357
#
Sending Agency
1.135
Circuit Court Clerk
1.136
Circuit Court Clerk
1.137
Circuit Court Clerk
1.138
Circuit Court Clerk
1.139
Circuit Court Clerk
1.140
Circuit Court Clerk
1.141
States Attorney
1.142
Circuit Court Clerk
Condition(s)
Transfer Document(s)
If sentenced to conditional discharge If convicted of a misdemeanor If sentenced to supervision If court enters final disposition If offense reportable to SOS If convicted of a misdemeanor
Discharge/Supervision
If court enters final disposition If felony case
1.143
Probation
1.144
States Attorney
1.145
Social Services
1.146
Social Services
If sentenced to prison If in pre-trial detention program If convicted of a misdemeanor If sentenced to probation If in pre-trial detention program If convicted of a misdemeanor If sentenced to probation If sentenced to prison If sentenced to probation If sentenced to probation If court orders a status date If on probation If in violation of probation If sentenced to supervision or Conditional Discharge If fails to report
Receiving Agency
Order of Probation/Conditional Discharge/Supervision
Social Services
CC Clerk to SOS (electronic transfer)
Secretary of State
CC Clerk to CPD (electronic transfer) Addendum to Order Setting Bail Order of Commitment & Sentencing
Chicago Police Department
Prisoner Data Sheet
Sheriff Jail
Order of Probation/Conditional Discharge/Supervision
Probation
Statement of Facts
IDOC
Order of Probation/Conditional Discharge/Supervision
Probation
Progress Report
Circuit Court Clerk
Petition for Violation of Probation
Probation
Intake Form
Social Services
Notice of Motion
Circuit Court Clerk
Sheriff Jail
RFP No. 1590-14357
#
Sending Agency
1.147
Social Services
1.148
Social Services
1.149
Social Services
1.150
Social Services
1.151
Sheriff
1.152
Social Services
Condition(s)
Transfer Document(s)
If convicted of a misdemeanor or felony If Court gives status date at time of disposition If convicted of a misdemeanor or felony If case out of felony court at 26th & California only If successfully complies with all sentencing terms If convicted of a misdemeanor or felony If falls to comply with terms of supervised released If defendant dies If need to modify court ordered conditions If convicted of a misdemeanor or felony If fails to comply with terms of probation If sentenced to probation If sentenced to SWAP If petition for violation is granted If fails to comply with terms of supervised released
Petition for Violation of Supervision or Conditional Discharge
If convicted of a misdemeanor
1.153
Social Services
If successfully complies with all sentencing terms If convicted of a misdemeanor
Receiving Agency
Status Memorandum
Circuit Court Clerk
Notice of Motion
Circuit Court Clerk
Notice of Motion Petition for Violation of Supervision or Conditional Discharge
Circuit Court Clerk
Notice of Motion Reviewer Memorandum Circuit Court Clerk
Progress Report
Probation
Notice of Motion States Attorney Petition for Violation of Supervision or Conditional Discharge
Term Memorandum
Circuit Court Clerk
RFP No. 1590-14357
#
Sending Agency
Condition(s) If fails to comply with terms of probation If sentenced to probation
1.154
Circuit Court Clerk
1.155
Circuit Court Clerk
1.156
Circuit Court Clerk
If Judge extends probation sentence length If petition for violation is granted If fails to comply with terms of probation If sentenced to probation If petition for violation is granted If fails to comply with terms of probation If sentenced to probation If sentenced to SWAP If petition for violation is granted If fails to comply with terms of probation If sentenced to probation If sentenced to jail If petition for violation is granted If sentenced to IDOC If sentenced to jail
Transfer Document(s)
Receiving Agency
Order of Probation/Conditional Discharge/Supervision
Probation
Order of Probation/Conditional Discharge/Supervision
Probation
Addendum to Order Setting Bail Order of Commitment & Sentencing
Sheriff
Addendum to Order Setting Bail Order of Commitment & Sentencing
1.157
Circuit Court Clerk
1.158
IDOC
1.159
Sheriff Jail
1.160
Circuit Court Clerk
If bond forfeiture is ordered
Notice of Bond Forfeiture
1.161
Circuit Court Clerk
If Fails to Appear
Updated Warrant File
1.162
Circuit Court Clerk
Transmittal Listing Traffic School Participants
1.163
North Western Traffic School
If Traffic School is Ordered If Traffic School is Completed If Fails to Appear
IDOC to B of I (electronic transfer) Custodial Receipt
Updated Participant Status List
Sheriff Jail
State Bureau of Identification State Bureau of Identification Law Enforcement Agency/ States Attorney Law Enforcement Agency North Western Traffic School Circuit Court Clerk
RFP No. 1590-14357
#
Sending Agency
1.164
Circuit Court Clerk
1.165
Circuit Court Clerk
1.166
Circuit Court Clerk
1.167
Circuit Court Clerk
1.168
Circuit Court Clerk
1.169
Circuit Court Clerk
1.170
Circuit Court Clerk
1.171 1.172
Collections Agencies Credit Card Companies
1.173
Sheriff
1.174
Circuit Court Clerk
1.175
DCFS
1.176
Circuit Court Clerk
1.177
Circuit Court Clerk
1.178
States Attorney
1.179
States Attorney
1.180
Circuit Court Clerk
1.181
HFS
1.182
Circuit Court Clerk
Condition(s) If Driver’s License is suspended If Traffic Violation involves Immigration Documents If Is issued by Suburban Police Department If Notice of Appeal is Filed If Motion filed or Ordered If Motion to Exhume a body is filed If NSF Occurs If Fails to Pay If Payment Occurs If Credit Payment is Made If Summons is Served If Summons is Issued If Case Closes If Adoption Occurs If Case Opens If Case Opens or Changes If Adoption Occurs If Petition is Filed If Parents Fail to Appear If Payment is Made If Check is Used
Transfer Document(s)
Receiving Agency
Transmittal Listing of License Suspensions
Secretary of State
Listing of Tickets issued Foreign Nationals
Secretary of State
Listing Traffic Tickets for Cook County
Suburban Police Departments
Notice of Appeal
Appellate Court
Transmittal of Civil Statistics
AOIC
Motion to Exhume
Medical Examiner/Law Enforcement Agency
Collections Information
Collection Agencies
Receivable Information
Circuit Court Clerk
Transaction Code Reports
Circuit Court Clerk
Summons Report
Circuit Court Clerk
Summons
Sheriff
Updated Case Information or Case Close Transmittal
Circuit Court Clerk
Child Data Sheet
DCFS
Family Case Files
States Attorney
New case Number and Updated Data Sheet Petition Notice of Termination of Rights Payment Reports Check Scan
Circuit Court Clerk Circuit Court Clerk News Outlets Circuit Court Clerk TKIDS
