REQUEST FOR PROPOSALS (RFP) #2301 Electronic Content/Document Management Solution (ECMS) RFP Issued August 26, 2014 Pre-Proposal Conference August 29, 2014 @ 9:30 AM at: Permit Center Conference Room City of Concord Permit Center 1950 Parkside Drive, Concord CA 94519 Call In: 925-603-7824 Questions Due September 2, 2014 @ 4:00 PM [Addendum (if applicable) will be issued & posted on September 4, 2014] Proposal Due Date September 12, 2014@ 2:00 PM Submittals To: Finance-Purchasing Department City of Concord Civic Center 1950 Parkside Drive, MS/07 Concord, California 94519 Contact person for the above RFP: Debbie Wellnitz Email: [email protected] REQUEST FOR PROPOSALS (RFP) # 2301 Electronic Content/Document Management Solution (ECMS) TABLE OF CONTENTS I. STATEMENT OF WORK ..................................................................................................... 4 A. Introduction …….. ......................................................................................................... 4 B. Scope of Services …….. ................................................................................................ 4 C. Minimum Requirements …….. ..................................................................................... 4 D. City’s Objectives …….. ................................................................................................ 4 E. About Concord…….. ..................................................................................................... 6 F. Project Description…….. ............................................................................................... 6 II. INSTRUCTIONS TO PROPOSERS ................................................................................... 11 A. Reservations of Rights …….. ...................................................................................... 11 B. Schedule of Events …….. ............................................................................................ 12 C. Pre-Proposal Conference ……..................................................................................... 13 D. Subcontractors …….. .................................................................................................. 13 E. Examination of Requirements …….. ........................................................................... 13 F. Questions, Interpretations, or Corrections of Proposal Document…….. ..................... 13 G. Prices, Notations, and Mistakes …….. ........................................................................ 14 H. Agency Compliance/License …….. ............................................................................ 14 I. Modification and Withdrawals …….. .......................................................................... 14 J. California Public Records Act, Confidential/Proprietary Information…….. .............. 14 K. Conflict of Interest …….. ............................................................................................ 15 L. Term of Contract …….. ............................................................................................... 16 M. Terms of the Offer …….. ............................................................................................. 16 N. Award …….. ................................................................................................................ 17 1. Evaluation Criteria …….. ............................................................................... 17 2. Local Vendor Preference…………………………………………………… . 19 3. Selection Process …….. ................................................................................. 19 4. Notice of Award …….. ................................................................................... 19 a. Insurance Requirements…….. ................................................................... 19 b. Business License…………………………………………………… ........ 20 O. Equal Opportunity …….. ............................................................................................. 20 III. PROPOSAL SUBMITTAL REQUIREMENTS ................................................................ 20 A. Submittal Deadline …….. ........................................................................................... 20 B. Proposal Submittal Contents …….. ............................................................................. 20 1. Submittal Requirements ................................................................................... 20 2. Proposal Presentation & Required Format ...................................................... 20 3. Other Applicable Documents….. ..................................................................... 26 a. Exceptions to Specifications/Requirements…….. ....................................... 26 b. Business License …….. ............................................................................... 26 IV. EXHIBITS…………………………………………………………………………………. . 27 (see following table) RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 2 of 70 EXHIBITS Must be PROPOSAL SUBMISSION REQUIREMENTS TABLE Page submitted with Proposal* In RFP See Section B. Proposal Submittal Contents 20 √ Technical Requirements, Consulting Services, Exhibit A and Support/Training Requirements (27 pgs) 2 8 √ Exceptions to Specifications/Req’s (1 pg) √ Exhibit B 55 (if applicable) √ Exhibit C Local Vendor Preference (1 pg) 56 (if applicable) Exhibit D-1 Sample PO Terms & Condition (2 pgs) 5 7 Exhibit D-2 Sample Contract (12 pgs) 5 9 Attachment 1 Attachment 1 – RFP IT Technical requirements – 8-25-2014.docx (5 pgs.) Attachment 2 Attachment 2 - RFP 2301 - ECMS - Costing √ Response.xlsx (3 pgs.) Attachment 3 Attachment 3 - RFP 2301 - ECMS – Technical √ Response Matrix (68 pgs.) *Items not submitted as instructed in this RFP may result in lower scores or disqualification. RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 3 of 70 City of Concord Electronic Content/Document Management Solution I. STATEMENT OF WORK A. Introduction The City of Concord intends to select a content/document management solution and integration team to perform all necessary activities to implement a solution meeting the requirements identified in Exhibit A. It is the intent of these specifications, terms and conditions to seek proposals to select an electronic content management solution in full compliance with requirements identified in Exhibit A allowing the City to store electronic information in compliance with California government codes and regulations 22620.1 through 22620.8 associated with Trustworthy Electronic Document or Record Preservation. B. Scope of Services The technical and consulting services related requirements are fully documented in Exhibit A. These requirements along with the selected vendor response (including any written clarifications) and the finalized/accepted SOW from the selected vendor will become part of the overall agreement/contract for software and services. C. Minimum Requirements: 1. Proposer shall be regularly and continuously engaged in the business of providing the software solution and related consulting/integration/installation services as documented this Exhibit A for at least ten (10) years. 2. Proposer shall be an authorized reseller or supplier of all proposed components specified under this RFP (if applicable). 3. Proposer shall possess all permits, licenses and professional credentials necessary to supply product and perform services as specified under this RFP. 4. Proposer must provide a minimum of three (3) client references for the proposed project team working with the proposed product/solution within the past three 3 years. D. City’s Objectives The City of Concord performed an ANSI/AIIM 25 Assessment related to the current state of document/record management and storage. The objectives of the ECM Technology Assessment phase were to identify issues, problems, and opportunities associated with how records and electronically stored information (ESI) are kept and managed throughout City offices. The scope of this project covered all aspects of the recordkeeping program in all of the City locations and included strategic planning related to a phased approach to address the identified issues/problems. Aspects of how records are currently created, stored, and managed were analyzed in relation to the various document storage libraries and locations that have been created for use throughout the organization. This assessment included identifying business objectives and goals related to current records management methodologies and potential Enterprise Content Management (ECM) technologies that would be relevant and should be considered by the City to meet the objectives and goals. RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 4 of 70 Other objectives of the ECM Technology Assessment were to ensure that the ESI is integrated with an electronic records retention policy and schedule and to reduce, as much as possible, the storage of outdated or unnecessary information. Throughout the assessment several business and technical goals and objectives were identified including: • Ensuring the City’s mission-critical files and documents are secured and redundant • Ensuring all the City records are complete, accurate, and readily accessible • Reducing staff time to locate documents & reduce or eliminate the number of lost and misplaced folders, documents, and materials [I didn’t find much evidence of lost records] • Eliminating redundant copies of documents and records • Avoiding increasing space requirements for paper document storage at City • Eliminating all (or as many as possible) unstructured & uncontrolled data silos • Enabling staff to retrieve and view documents and be confident that the files contain all appropriate and relevant information • Establishing document tracking and accountability • Providing automated document routing to streamline approvals (where appropriate) • Reducing hardcopy printing • Providing multi-user and simultaneous access to documents • Enabling parallel review & processing of electronic documents • Establishing effective searches to respond to litigation and public records requests • Providing a method to institute Litigation Holds on electronically stored information. In order to develop an Enterprise Content Management system appropriate for the City, the following business functional goals and objectives were identified. The desired content/document management system software shall provide a complement of software to: • Enable the City to comply with relevant industry and technical standards ANSI/ISO/AIIM associated with storing and managing electronic content and documents in a Trusted ECM solution. • Enable the City to comply with California Government Code section 12168.7, 34090 and related regulations applicable to allow for storing official public records electronically and destroying physical copies. • Enable the City to electronically create and manage documents throughout processing including the ability to create an approval route to streamline document creation, approval, and signature. • Enable users to organize documents in a structured fashion, NOT relying on file naming and/or network drive (or SharePoint library) structures. • Ensure that information is accessible to authorized users regardless of the native format in which the information was created. • Enable users to quickly locate and view a list of all documents meeting structured search criteria and then select those documents to be retrieved and electronically viewed. RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 5 of 70 • Identify which documents have dependencies on other documents which could be automatically tracked during creation and processing enabling parallel processing wherever possible. • Allow support of all daily activity throughout the City and provide timely access to information at the work stations. • Allow the tracking of document attributes for compliance and reporting. • Integrate all types of digitally born documents with documents scanned from hard- copy format. • Permit incoming electronic documents to be automatically received, stored, and routed for processing. • Track all physical records. • Provide agenda automation for public meetings. E. About Concord The City of Concord is a general law City and the largest City within Contra Costa County, located within the central portion of the County. The City enjoys easy access to regional transportation corridors including Highways 680 and 242 and State Highway 4. The City borders the communities of Pleasant Hill, Walnut Creek, Clayton, Pittsburg, Martinez and unincorporated County lands and benefits from access to two BART stations. The City is home to 122,067 residents with a mean household income of approximately $86,700. The City’s residential areas are complemented by regional shopping areas along Highway 680 and numerous parks and trails throughout the City. Downtown Concord offers many exciting opportunities for dining, shopping, and entertainment as well as a thriving environment for business. The focal point of the downtown, Todos Santos Plaza, is located four blocks northwest of Downtown BART, and serves as the community gathering place for special events such as the Farmer’s Market, Music at Noon, Music & Market Series, and holiday celebrations providing a wonderful open space for residents to enjoy. F. Project Description Physical Record Storage During discussions with City staff members, it was learned that files are stored in multiple locations throughout the City. Because of the decentralized storage, the assessment team conducted a high level review of the current physical Records Storage to evaluate and identify where the physical records were being stored, the condition of the storage areas and the physical protection of the records from damage and/or usage. From a high level view physical records stored/managed within the City are in multiple unsecured and uncontrolled locations throughout the City that facilitate the deterioration of the records, various “group” file cabinets, including the “attic” of the transportation building, the annex building and the pump station, etc.. These areas are not environmentally controlled and in most cases City staff members were unsure of what was contained in these areas, except at a very high level. Many plans and drawings were folded and placed in boxes and RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 6 of 70 others are laid flat on tables or rolled up and placed in “tubes”, all of which are unlabeled and uncontrolled. All these records will be reviewed by the City along with the electronic copies to identify what should be scanned/indexed and/or imported into the new system. Electronic Records Assessment Like the physical records, the Electronic Records are stored in multiple locations with multiple copies. Some share drives are so clogged that staff members reported difficulty in using the p:\sharewrks folder opting to send documents via email or place them on another drive. In many cases, multiple copies of the same documents are stored. This Electronic Records Assessment also included identifying business objectives and goals related to electronic record/document management and potential ECM technologies that would be relevant and should be considered by the City to meet the objectives and goals: • To enable the City to identify issues they have with information management as compared to industry best practices. • To develop a long term strategy to consolidate numerous data silos. • To allow users to quickly and efficiently locate desired information. • To eliminate electronically stored information (“ESI”)/hard copy duplication, while ensuring information is stored in a Trusted ECM repository. . Decentralized Storage and Security With a decentralized method of storing electronic information the City also faces security challenges. The more data in more locations, the more security is required in all places. Electronically stored information is located on network drives which do not have automated protections built in to assure documents are not deleted, altered, or modified in an unauthorized manner. While most documents contain basic information about the author and when a document -- such as a word document -- was last edited, it may not show what was changed. Whenever multiple persons have access and the right and ability to delete or change information at the document level, tracking and version control are necessary tools to establish the authenticity of the document. Those tools are not available when information is stored in shared drives with user-determined security models, such as the City uses. Therefore, the assessment team made the following recommendations related to document storage and security: • Document and record storage consolidation needed – Centralized management The City should consolidate and eliminate as many unstructured and uncontrolled libraries and data silos as possible to enable more efficient data and records management and usage across all aspects of the City. In many departments, paper copies are maintained in addition to one or more electronic copies. Most documents are currently maintained for 2 years at the department level unless vital and associated with Council action. • Documents and records need to be better secured Reducing the duplication of files across the organization created by users to distribute information or for their “internal” backup copies can be addressed through the document RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 7 of 70 versions and authoring controls management, which will have the added benefit of providing more security. Information should be stored in a secure fault-tolerant enterprise system while ensuring streamlined user access when required and authorized. Integrating physical records management into the enterprise solution would permit the existing document retention plans to be applied. • Documents must be made available as needed - Discovery As an entity subject to the California Public Records law, centralizing the location of documents and information would improve the ability to locate and produce information with greater reliability and consistency than presently exists. A Records Management Application (“RMA”) should be implemented to greatly improve the ability to access, manage, and reproduce the information. • Manual approval processes need automation - Workflow A significant amount of time/effort is devoted to obtaining approvals throughout the organization and across departments. Implementing digital signatures, streamlining and automating the movement of documents -- all with automatic notifications -- would greatly reduce the manual efforts devoted to tracking and obtaining approvals. • Instituting systematic ability to suspend records management schedules Currently, there is no consistent electronic mechanism to ensure all appropriate records are identified and placed into a “litigation hold” status. Additionally, the City requires a method of reproducing “repeatable and defensible” responses to a discovery request, subpoena, or public records request. An RMA with centralized storage would assist in ensuring accessibility of information as needed. The City currently has a document imaging product installed (Questys), that was upgraded to a new version mid -2012 referenced as “CMX”. The City was required to upgrade to this new version due to the incompatibility of Questys Enterprise with Windows versions newer than Windows XP. Prior to the conversion, the City was able to scan documents into the system, but when the product was upgraded to operate within the updated workstation operating system, the Questys product ceased to meet the needs of the City. A volume of documents and index/metadata from the CMX version of the software have been archived and need to be migrated to the new system, along with additional information that was scanned/indexed after the migration was completed. Project Related Critical Success Factors In order to address the issues identified throughout this report, the following goals and objectives must be met by any solution to ensure the City is able to create, store, and manage all appropriate records and documents in a trusted system or environment: • Eliminate all (or as many as possible) unstructured and uncontrolled data silos. • Implement Digital/Electronic Signature Capabilities. • Streamline approval processes and create automated management of deliverables between processes. RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 8 of 70 • Ensure all the City records (documents and files) are complete, accurate, and readily accessible to staff when and where required. Staff must be able to retrieve and view documents and be confident the files contain all appropriate and relevant information. • Eliminate redundant copies of documents and records currently stored on network drives. • Establish tracking and accountability for all documents received. • Provide automated document routing to improve document processing. • Reduce hard copy printing and manual work routing and tracking. • Provide multi-user and simultaneous access to documents. • Enable parallel review and processing of electronic documents. • Ability to create, escalate, and manage electronic work “folders.” • Reduce staff time to find and make copies of documents and reduce or eliminate the number of lost and misplaced folders, documents, and materials. • Avoid increasing space requirements for paper document storage at the City. • Provide an operational infrastructure with flexibility to improve business processes. • Ability to accomplish defensible and repeatable searches on City Records • Ability to ensure that litigation holds can be carried out with confidence. Process Automation Along with needing to create a centralized and controlled environment used to manage City records, the City needs to automate the IT Procurement process. Shown below is an example of this process. The information contained in this process baseline is related to the IT purchase requisitions which average approximately 20 per month. When reviewing the process baseline (the process after the request moves to finance is not included in the example), it should be noted that each step of the requisition process requiring review and/or approvals require between ½ day and 1 full day that is associated with the physical movement of the request from one approver/reviewer to another. If the requisition is sent via internal mail, the next reviewer/approver will not see the request until the next day. As a result of this process, there is a lack of transparency and visibility due to the number of manual steps. This results in a user perception that IT could be more responsive, when actually the process could have been stalled (or halted) at their own department or another approval step. This forces the users to either contact IT or other resources who then manually attempt to locate the requisition and determine the status. The utilization of a workflow process would immediately improve this process and allow the users to not only monitor the status of requests, but would also greatly streamline the process. It is not uncommon for this issue to be raised in management meetings along with discussed amongst department managers and users. RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 9 of 70 Example Process Baseline – IT Purchase Requisition Desired Project phasing and desired Road Map The City has determined that project phasing is critical, especially during the implementation/rollout project phases to ensure that there is adequate scope management adequate time for all the planning, preparation, and implementation work required for all project activities to ensure successful system rollout. It is recommended that the City implement ECM technologies in phases as noted in the following “Proposed Road Map”. Additionally, as the City currently plans to implement magnetic WORM technology capabilities with SnapLock from NetApp, along with utilizing Accela, Lawson, and ESRi, these systems should be integrated into the overall ECM environment rather than being replaced. The level of integration to these environments will be further examined during the vendor/solution selection process through the design and implementation phases, while considering potential negative change management implications that may result from too much change at one time. RFP #2301 Electronic Content/Document Management Solution (ECMS) Page 10 of 70