LEGAL NOTICE FOR COMPETITIVE SEALED PROPOSALS PURSUANT TO R.C

Transcription

1 LEGAL NOTICE FOR COMPETITIVE SEALED PROPOSALS PURSUANT TO R.C Sealed proposals will be received by the Board of County Commissioners in and for Geauga County at their offices, 470 Center Street, Building No. 4, Chardon, Ohio 44024; up to the hour of 2:45 PM on May 13, 2015, and opened at 3:00 PM, for the following project: Geauga County Court of Common Pleas Electronic Filing System Said proposals shall be to provide and implement an electronic court filing system for use by the Geauga County Court of Common Pleas and the Geauga County Clerk of Courts in accordance with specifications developed by the Geauga County Court of Common Pleas Information Technology Team. The specifications and request for proposals package may be obtained from Deborah Urankar, Information Technology Officer for the Geauga County Court of Common Pleas, at the Geauga County Courthouse, 100 Short Court, Suite 400, Chardon, Ohio 44024, during weekday business hours from 8:00 a.m. to 4:30 p.m., or via at Proposals shall be made on the proposal forms furnished with the specifications and request for proposals, and addressed to the Board of Geauga County Commissioners, 470 Center Street, Building No. 4, Chardon, Ohio 44024, and marked GCCP Electronic Filing System. The Proposal must be accompanied by an original sealed document in the form of a bond or certified check, cashier s check or money order on a solvent bank or savings and loan association in the amount of 5% of the proposal, conditioned that the respondent, if the respondent s proposal is accepted, shall execute a contract in conformity to the Request for Proposal. Should any proposal be rejected said surety shall forthwith be returned to the offeror and should any proposal be accepted such bond, certified check, cashier s check, or letter of credit will be returned to the offeror upon proper execution and securing of the contract. No offeror shall be considered eligible to be awarded the contract to which this Legal Notice applies if the bidder is listed on the Auditor of State s Database as having a Finding of Recovery as that term is defined in R.C Each vendor seeking to submit a proposal on this project MUST attend a MANDATORY Pre-Bid Conference to be held in the Geauga County Courthouse on May 11, 2015 from 9:00 AM to 11:00 AM. Questions of clarification of this document will be answered at this time. No questions will be fielded apart from this Pre-Bid Conference so as not to afford any particular vendor undue advantage in the process. The proposal will be evaluated based on criteria set forth in the specifications and request for proposals. The Board reserves the right to reject any and all proposals. Each proposal must contain the full legal name of the offeror and the principal owners if operating as a legal entity with a different name. Bidders may also access this Legal Notice to Bidders via the internet at or the State of Ohio website BY ORDER OF THE BOARD OF COUNTY COMMISSIONERS in and for Geauga County, Ohio. Walter M. Claypool, President Blake A. Rear Ralph Spidalieri Christine Blair, Clerk PUBLISH: THE NEWS HERALD ON: April 23, 2015 GEAUGA COUNTY MAPLE LEAF ON: April 23, 2015 Geauga County Website and Page 1 of 1

2 GEAUGA COUNTY COURT OF COMMON PLEAS, GENERAL AND PROBATE DIVISIONS, AND GEAUGA COUNTY CLERK OF COURTS REQUEST FOR PROPOSAL FOR ELECTRONIC FILING SYSTEM April 23, 2015 Geauga County Court of Common Pleas Geauga County Probate Court Geauga County Clerk of Courts 100 Short Court, St. 400 Chardon, OH Geauga County efiling Request for Proposal Page 1

3 Table of Contents 1. OVERVIEW BACKGROUND OVERVIEW OF THE PROJECT OBJECTIVES PROJECT TIMEFRAMES DEVELOPMENT OR PRODUCT MODIFICATION DEFINITION OF TERMS PROPOSAL FORMAT CRITERIA INTRODUCTION PRE-BID CONFERENCE PROPOSALS DUE SUBMISSION ORGANIZATION Transmittal Letter Respondent Qualifications Project Management Cost Submission Submission Form Right to Reject Ohio Revised Code Negotiation Guidelines Awarding of Contract Cancellation and Reissuance of RFP RFP Timetable Response Checklist CURRENT ENVIRONMENT CURRENT SYSTEM ASSESSMENT CURRENT BUSINESS PROCESS FOR SUBJECT CASE TYPES BUSINESS REQUIREMENTS OF THE AUTOMATED ELECTRONIC FILING SYSTEM DESCRIPTION OF E-FILING APPLICATION Understanding of RFP Objectives Geauga County efiling Request for Proposal Page 2

4 4.1.2 Proposed Hardware Architecture Proposed Network/Telecommunication Requirements Proposed Software/Application Requirements Respondent Software/Application Requirements Proposed Accounting System Respondent's Proposed Document Storage and Retrieval System Proposed Electronic Signature Solution(s) Pro se Litigant Filings General Public Access to the Electronic/Imaged Files Proposed Security System User Response Time Warranty Designation and Service Training Recording Time Stamp on Documents CLERK AND COURTS MANDATORY REQUIREMENTS General Policies General Operational Requirements General Technical Requirements Registration and Authentication Receipt and Acceptance of Filings Electronically-Filed Case Documents Management of Electronically Filed Documents Case Management System and Financial Management System Interfaces E-Commerce (Filing Fees) Confidentiality Access Recruitment, Training and User Support Architecture Security System Changes TECHNICAL REQUIREMENTS HARDWARE REQUIREMENTS SOFTWARE SYSTEM INTERFACES Geauga County efiling Request for Proposal Page 3

5 5.4 INTEGRATION WITH EXISTING WIDE AREA NETWORK (WAN) NETWORK DEVICES AND WIRING DATA SECURITY INSTALLATION OF SYSTEM DESIGN DOCUMENT BUSINESS CONTINUITY PLANNING SYSTEM RESPONSE TIME SYSTEM SUPPORT AND MAINTENANCE DOWNTIME RESPONDENT COMMITMENT TO ELECTRONIC FILING COMPONENTS COMPLETE BACKUP AND RESTORE RESPONDENT PERSONNEL RESPONDENT PERSONNEL PROJECT LEADERSHIP TRAINING SYSTEMS PERSONNEL AND MANAGEMENT TRAINING DOCUMENTATION HARWARE DOCUMENTATION APPLICATION & SYSTEM ADMINISTRATION DOCUMENTATION APPENDIX A Cost Table APPENDIX B - Supreme Court of Ohio's Standards Subcommittee of the Advisory Committee on Technology and the Courts Proposed Standards Geauga County efiling Request for Proposal Page 4

6 1. OVERVIEW 1.1 BACKGROUND The Geauga County Court of Common Pleas Court, General Division, Geauga County Probate Court, (hereinafter reviewed to as the Courts throughout this document), and the Clerk of Courts of Geauga County Ohio located at 100 Short Court, Chardon, Ohio are interested in implementing a full-service model of electronic filing. This is an electronic filing system that not only enables the transmission of pleadings to the Clerk's Office in an electronic format but also makes the appropriate entry upon the Courts docket and permits the routine use of electronic documents and the electronic record for case processing, for service on other parties, and for access and use by everyone involved in or interested in the case. The Courts and the Clerk are committed to providing the environment that is most conducive to low risk yet profound change in this direction. An E-Filing Implementation Steering Committee was organized in December 2013, as a recommending body The Court IT Committee is comprised of representatives from Common Pleas Court, Clerk of Courts, and the Court IT Officers. The Court IT Committee has taken on the task of implementation of E-Filing. The Committee s responsibilities are:: 1) to map the current processes and document workflow to define functionality for the e-filing system; 2) to recommend the scope and goals of electronic filing; 3) to recommend the business model for electronic filing; 4) to draft proposed rules to govern electronic filing; and 4) to recommend an implementation plan for electronic filing. The Clerk of Courts of Geauga County by statute is the keeper of the records of the Geauga County Court of Common Pleas and the Geauga County Probate Court. The Clerk's Office focuses on the goal of providing professional, timely and customer-focused services to its customers and currently maintains the official court records in hard copy files located throughout the Clerk's operational facilities. To enhance its record keeping functions, the Clerk's Office utilizes CourtView, an electronic, computerized case management system, and NetDMS, the document management system, in its computing environment. The system must enable the electronic filing of all: 1. Probate; 2. Civil; 3. Domestic Relations; and 4. Criminal cases The system must integrate with the Clerk's case management and document management systems with potential use in Juvenile Division and Court of Appeals cases. The Court s divisions consist of: 1. Probate and Juvenile one Judge and one Magistrate 2. General (Civil, Domestic Relations, and Criminal) two judges, two magistrates, and two Mediators. 3. Currently, the Court supports a 150+ user network, automated courtrooms, and other technology utilized within the Court. Geauga County efiling Request for Proposal Page 5

7 The Supreme Court of Ohio's Standards Subcommittee of the Advisory Committee on Technology and the Courts have adopted proposed standards for electronic filing processes and are awaiting approval from the Supreme Court of Ohio. The proposed standards can be accessed through the Ohio Supreme Court's website at The purpose of this Request for Proposal (RFP) is to solicit submissions that are in compliance with the standards and criteria set forth in the Ohio Advisory Committee on Technology and the Court s proposed standards. The RFP also sets forth Geauga County's minimum functional requirements for an electronic filing system. All responsive submissions must also include descriptions of the manner in which the proposed filing solution will satisfy Geauga County s efiling requirements as set forth in this document. 1.2 OVERVIEW OF THE PROJECT The Clerk of Courts and the Court of Common Pleas are soliciting proposals from vendors that are able to provide a highly secure and reliable method of electronically sending, receiving and managing legal documents and case information. Proposals must include a software license model and address a full service model of electronic filing. A fully integrated service model of electronic filing not only enables the transmission of pleadings to the Clerk's Office in an electronic format in conjunction with the existing case management system, CourtView, but also the routine use of electronic documents and the electronic record for case processing, for service on other parties, and for access and use by everyone involved in or interested in the case. This RFP seeks submissions from qualified respondents, who may implement the most cost-effective, technologically sound, scalable, state of the art software license model electronic filing system for use with regard to civil, domestic relations, probate, criminal cases, and potential use in Juvenile Division and Court of Appeals cases. All submissions will be considered in light of the following: whether and under what circumstances, the proposed solution meets the Clerk's and Courts requirements; whether the proposed solution will be approved by the Courts; and whether the proposed solution meets the requirements and guidelines set forth in the Ohio Advisory Committee on Technology and the Courts proposed standards. (See Appendix B) Additionally, the Geauga County Board of Commissioners must approve any contract contemplated under the RFP. As such, the Clerk and the Courts will consider the submissions they receive in determining whether and under what circumstances they may recommend that the Geauga County Board of Commissioners contract with a respondent. 1.3 OBJECTIVES The proposed electronic filing system shall permit electronic filing of court documents to accomplish the following: 1) enhance service delivery to the public; 2) eliminate repetitive and duplicative data entry and work flow processes; 3) improve existing and establish enhanced internal reporting and controls; and 4) reduce physical document storage needs. Generally, the proposed system shall provide: A software license model Hardware and software that integrate with Geauga County's data processing systems and software. See Section 3.1 Current System Assessment for a description of the current system used in Geauga County. A real time system that allows for electronic filing, storage, access to, and review of all Geauga County efiling Request for Proposal Page 6

8 documents including the initiation of cases, updates to existing cases, and retrieval of information. Web-based and case management system access to court documents. Capability of integrating non-electronically filed documents into the electronic case file and the system. Appropriate security functionality with varying levels of secure access to information. Quality assurance controls. Detailed, real time reporting capability. Capability for direct interface and/or integration with existing case management system (CourtView), and document management system (NetDMS) without violation of the existing court management system s licensing agreement. A system that reduces the complexity and steps in making payments for court filings. A system that will integrate well with any forthcoming statewide efiling portal as put forth by either The Supreme Court of Ohio or the Ohio Clerk of Courts Association.For purposes of this RFP, an "electronic filing system" is defined as an information and transaction processing system where: 1. Case filings, pleadings, and related forms and documents may be received and transmitted by the Clerk electronically. 2. Case pleadings and related forms and documents filed electronically are indexed and stored within the county's NetDMS document management system. 3. Data from electronically filed forms are extracted to populate the Clerk and Courts case management system, CourtView. 4. Filers, Clerk, and Court may electronically send notices to other parties. 5. Filing status tracking and statistical information are reported electronically. 6. Authorized persons may have Internet access to electronically filed case information. 7. Billing and collection of court filing fees for electronically filed cases are also handled electronically, including interfacing with the Clerk's financial management system, CourtView. The proposed system must be able to integrate with the existing Geauga County network infrastructure, CourtView application and database, and NetDMS document management system. The proposed system shall also integrate with the existing Geauga County Internet infrastructure, allowing on-line access to the docket and filed documents. The proposed system will provide a web access component allowing on-line business transactions to be conducted by County personnel and the public. The submission shall explain how the proposed electronic filing system will meet the following requirements: 1. The form of filing shall not affect the right of public access to court files. 2. Certified copies of any filed document shall be made available by the Clerk at the statutorily defined cost. Geauga County efiling Request for Proposal Page 7

9 3. The Clerk shall remain responsible for making, keeping, and preserving complete records of all court proceedings and determinations in accordance with all applicable orders, rules, statutes and other laws. 4. Filing fees shall be applicable as provided by law and local rules of the Courts. The proposed electronic filing system shall also meet the following Clerk and Courts requirements set forth below and more fully explained in the body of this RFP: 1. Respondents are required to provide an electronic case filing solution based upon a software license model for probate, civil, domestic relations, criminal, and potential use in Juvenile Division and court of Appeals cases. To include two-way interfaces with the Clerk and Courts case management system, CourtView, and the existing document management system, NetDMS. 2. An initial electronic filing pilot project will begin 2015 for a single civil case type. The goal is to eventually include all documents in all case types previously listed in the electronic filing process. 3. Documents to be included in the project shall include, but not be limited to, complaints, petitions, motions, discovery, orders, and other pleadings including service documents. 4. The electronic filing solution's interface to the document management system shall be capable of processing, indexing, and handling imaged documents. 1.4 PROJECT TIMEFRAMES Respondent shall propose a timeframe that shall permit the development and installation of an operational, integrated electronic filing system to be completed within twelve (12) months from the contract's effective date, with a Pilot Program in place by September 1, DEVELOPMENT OR PRODUCT MODIFICATION Respondents must agree to develop or modify any pre-existing efiling product with the guidance and assistance of Clerk s and Courts staff. Changes in Ohio law with respect to E- filing will be accommodated in the product, automatically, throughout the life of the contract. 1.6 DEFINITION OF TERMS The following terms shall have these specific definitions when used in this RFP: Applications shall mean any automated processing of information that when grouped together constitute software. Business Days shall mean any day in which County business is functioning on a fulltime basis. This would include Mondays through Fridays and exclude any recognized County holidays. Case Management System. Clerk computer environment in which it records, collects, and manages electronic data and court records (CourtView). Case Number shall mean the sequential number assigned to each new case recorded with the Clerk of Courts. Clerk shall mean the Geauga County Clerk of Courts. Geauga County efiling Request for Proposal Page 8

10 Contract shall mean any potential written agreement that is entered into between the successful Respondent and the County for the proposed system. County shall mean the County of Geauga, Ohio and, for the purposes of this RFP, the offices of the Clerk of Courts and the Courts. County IT shall mean the Geauga County Information Technology Department. Courts shall mean the Geauga County Court of Common Pleas, General Division, and Geauga County Probate Court. Digital Signatures shall mean various means of electronic authentication of documents as further defined and described under Ohio statute and rule requirements. Document shall mean any paper or digital representation thereof filed with the Clerk of Courts. Documentation shall mean the printed materials that describe the system or any component thereof or assist the Clerk and Courts in using the system. Document Management System shall mean the automated system currently employed by the County and will be used by the proposed electronic filing system to store, index, and facilitate retrieval of electronic documents (also referred to as NetDMS). Product Descriptions shall mean the descriptions for the software that are set forth in the Statement of Work. Proposed System shall refer to all aspects of the automated electronic filing system described in a response to the requirements set forth in this RFP. Respondent shall mean the individuals or business entities that submit a Submission in response to this RFP. Submission shall refer to a response to this RFP submitted by a Respondent. Training shall mean the transfer of skills or skill sets from the Respondent to Clerk and Courts staff or end users. Geauga County efiling Request for Proposal Page 9

11 2. PROPOSAL FORMAT CRITERIA 2.1 INTRODUCTION It is necessary that the instructions in this section be followed to expedite the evaluation of submissions. The information contained in the submission must include detailed responses to each requirement, and must be organized in the exact same sequence as the RFP. Responses must also include a section specifically setting forth information required for an electronic filing application in conformance with the Supreme Court of Ohio Advisory Committee on Technology and the Courts proposed standards. This section of the submission must also meet all Clerk s and Courts requirements set forth in this RFP. Respondents must provide an explanation to any requirements included in this RFP that is not doable from their perspective or expertise. Accuracy and completeness are essential. Respondents are cautioned not to make claims or statements to which they are not prepared to contractually commit. 2.2 PRE-BID CONFERENCE Each vendor seeking to submit a proposal on this project MUST attend a MANDATORY PreBid Conference to be held in the Geauga County Courthouse on Monday, May 11, 2015 from 9:00 AM to 11:00 AM. Questions of clarification of this document will be answered at this time. No questions will be fielded apart from this Pre-Bid Conference so as not to afford any particular vendor undue advantage in the process. 2.3 PROPOSALS DUE Submitted proposals together with all required supporting paperwork are due in the Geauga County Board of County Commissioners offices by Wednesday, May 13, 2015 at 2:45 PM. Questions of clarification of this document will be answered during the Pre-Bid Conference. No questions will be fielded apart from this Pre-Bid Conference so as not to afford any particular vendor undue advantage in the process. 2.4 SUBMISSION ORGANIZATION Each submission shall include four (4) parts and must be organized as outlined below Transmittal Letter The submission must consist of a letter of transmittal signed by an individual authorized to bind the respondent contractually. The respondent must include the name, title, address, telephone number, and of one or more individuals who can respond to requests for additional information. The respondents shall fully disclose details regarding its legal identity, i.e., corporation, partnership, joint venture or sole proprietor, including any assumed names used by the respondent. The respondent must include the name, title, address, and telephone number of one or more individuals who are authorized to negotiate and sign a contract Respondent Qualifications The Clerk and the Courts require that the respondent be singularly responsible for the Geauga County efiling Request for Proposal Page 10

12 preparation of the response to this RFP, and be the entity which is proposed to be primarily responsible for the implementation of the proposed system. Subcontractors may be used, but must be identified by the respondent. The respondent must also describe the type of contractual arrangement that shall exist with all subcontractors. The respondent shall be responsible for meeting all of the terms of any potential contract resulting from this RFP. Contracts, or letters of intent, between the respondent and subcontractors must be included in the submission. The respondent and identified subcontractors must describe their qualifications to provide the proposed system. Qualifications should include the respondent's total number of employees and the levels of direct technical support the respondent can provide. The respondent and its subcontractors must provide a description of the number and types of similar systems previously developed and installed by them. The respondent must submit three (3) references. The references must have experience with the respondent performing tasks similar in application to those described in the RFP. The respondent must name a specific contact person with each reference given. The respondent must provide a detailed resume of each employee staffing the proposed system implementation. The resume must have sufficient detail to evaluate the competence and expertise of the employee. This is limited to employees providing direct development and similar services to the Clerk and the Courts. The respondent and its subcontractors must state the number of years their respective companies have been in business providing similar services as proposed in this RFP. The respondent must explain the circumstances if the respondent's name has changed, or if the respondent has been bought or sold to another company in the past five (5) years Project Management The respondent must describe its project methodology and provide a preliminary implementation schedule that depicts activities and their durations; resources and associated costs; milestones; and deliverables for each phase of the project from its commencement through final acceptance. The respondent must describe its testing methodology, any regression testing and the proposed development environment that will be used for each component of the proposed system. In addition, scenarios for proposed unit and system testing will be outlined Cost Submission RFP s are required to include all costs of integration with the existing Court Management System. The efiling vendor is responsible for all costs of integrating with the exiting CourView court management system and cannot cause licensing infraction with CourtView court management system. Each submission shall include a cost proposal and a multi-year payment plan for five years for total costs including product maintenance and support as well as a definition of the start of maintenance versus product warranty. Respondents shall also include an hourly rate for additional services throughout the first five years of the agreement. The respondents must complete the Cost Proposal Table as outlined in Appendix A. Respondents are expected to abide by other proposed costs as detailed in their response to this RFP. Submission of this cost information and payment schedule shall not be construed to bind the Clerk, the Courts, or the County in any way, should it elect to pursue negotiations with a respondent. In submitting its submission, respondent certifies that the process proposed has been arrived at independently, without consultation, communication or agreement with any county employee, or Geauga County efiling Request for Proposal Page 11

13 its agent Submission Form 1. Each submission shall be delivered in the following form: 2. Original printed and bound proposal 3. Five (5) additional printed and bound copies for distribution to the evaluating and advisory parties on this project 4. An electronic copy on DVD or CD Right to Reject 1. The contracting authority reserves the right to reject any proposal in which the offeror takes exception to the terms and conditions of the request for proposals; fails to meet the terms and conditions of the request for proposals, including but not limited to, the standards, specifications, and requirements specified in the request for proposals; or submits prices that the contracting authority considers to be excessive, compared to existing market conditions, or determines exceed the available funds of the contracting authority; 2. The contracting authority reserves the right to reject, in whole or in part, any proposal that the county contracting authority has determined, using the factors and criteria the contracting authority develops pursuant to division (A)(1) of ORC , would not be in the best interest of the county; 3. The contracting authority may conduct discussions with offerors who submit proposals for the purpose of clarifications or corrections regarding a proposal to ensure full understanding of, and responsiveness to, the requirements specified in the request for proposals Ohio Revised Code In order to ensure fair and impartial evaluation, proposals and any documents or other records related to a subsequent negotiation for a final contract that would otherwise be available for public inspection and copying under section of the Revised Code shall not be available until after the award of the contract Negotiation Guidelines 1. An offeror may withdraw the offeror's proposal at any time prior to the award of a contract. A contracting authority may terminate negotiations with an offeror at any time during the negotiation process if the offeror fails to provide the necessary information for negotiations in a timely manner or fails to negotiate in good faith. If the contracting authority terminates negotiations with an offeror, the contracting authority shall negotiate with the offeror whose proposal is ranked the next most advantageous to the county according to the factors and criteria developed pursuant to division (A)(1) of this section. Geauga County efiling Request for Proposal Page 12

14 2.4.9 Awarding of Contract 1. A county contracting authority may award a contract to the offeror whose proposal is determined to be the most advantageous to the county, taking into consideration the evaluation factors and criteria developed pursuant to division (A)(1) of this section and set forth in the request for proposals. A contracting authority may award a contract in whole or in part to one or more offerors. The contracting authority shall include a written statement in the contract file stating the basis on which the award is made. 2. The contracting authority shall send a written notice to the offeror to whom it wishes to award the contract and shall make that notice available to the public. Within a reasonable time period after the award is made, the contracting authority shall notify all other offerors that the contract has been awarded to another offeror Cancellation and Reissuance of RFP 1. A contracting authority may cancel or reissue a request for proposal if any of the following apply: a. The supplies or services offered through all of the proposals submitted to the contracting authority are not in compliance with the requirements, specifications, and terms and conditions set forth in the request for proposals; b. The prices submitted by the offerors are excessive compared to existing market conditions or exceed the available funds of the contracting authority; c. The contracting authority determines that award of a contract would not be in the best interest of the county RFP Timetable The timetable listed below contains firm and anticipated deadlines. The anticipated deadlines are to be viewed only as projected time frames. The firm dates are actual milestones in the process. Firm Dates, No Extensions Request for Proposal Issued: 4/21/2015 Vendors' Conference: 5/11/2015 Proposals Due: 5/13/2015 Anticipated Dates Notification of Request for Interviews/Demos: 5/15/2015 Vendor Interviews: 5/18-20/2015 Geauga County efiling Request for Proposal Page 13

15 Vendor Selection: 5/26/2015 Contract Signed 6/2/2015 Purchase Order Assigned: 6/9/2015 Work Commencement No Later Than: 6/15/2015 Web Docket Image Availability 8/1/2015 efiling of Pilot Cases Types: 9/1/ Response Checklist 1) Response Packets Must Include a) a bond or certified check, cashier s check or money order on a solvent bank or savings and loan association in the amount of 5% of the proposal, conditioned that the respondent, if the respondent s proposal is accepted, shall execute a contract in conformity to the Request for Proposal. b) 6 bound copies of the proposal 2) Proposal Must Have These Sections a) Form of proposal statement as the first page of the Executive Summary b) Vendor profile c) References d) Proposed system overview e) Hardware components cost detail with specifications of proposed equipment Completed copy of all requirements sections f) One page cost summary g) Recommendations for system backup procedures h) Recommendations for support and maintenance i) Recommendations for system implementation, including training Manufacturers literature for any hardware proposed j) Exceptions in the proposal to this Request for Proposal k) Required forms - 1. Cover Page for Proposal Document 2. Delinquent Property Taxes Affidavit 3. Non-Collusion Affidavit 4. Campaign Contributions Affidavit 5. Certificate as to Corporate Principal 6. Civil Rights Compliance 7. Substitute W9 Form Geauga County efiling Request for Proposal Page 14

16 Geauga County efiling Request for Proposal Page 15

17 3. CURRENT ENVIRONMENT The following section describes the current system and business processes used in Geauga County. 3.1 CURRENT SYSTEM ASSESSMENT All PCs for this project will have been purchased in 2010 or later and will run Windows 7.0 at a minimum. The existing Geauga County system has the following components: Workstations currently consist of the following: o Hardware o Software All PC population is 2010 or newer HP models Windows 7.0sp1 64-bit with CourtView and/or NetDMS Office 2010 sp2 Adobe Acrobat reader 9.x or newer Symantec Endpoint Protection Java v27 Internet Explorer 9 or newer o Member of Geauga CourtsDomain system County LAN Minimum 100 Mbps to desktops County WAN Fiber 1G connectivity between sites and BGP bonded Internet connections (3) of 10Mbps each. Data Center Systems managed by County IT consists of the following: o MicrosoftSQL Server 2008 R2 database containing CourtView data o Microsoft Server SQL 2008 R2 database on Windows 2008 R2 server containing NetDMS data and images; Computing environment is hosted on Microsoft HyperV Geauga County Court IT in conjunction with Geauga County IT supplies and supports all Desktop and Data Center Services supplied to the operations of the Geauga County Courts and Clerk. It is generally accepted that existing hardware and software in use by the courts for their operation of their existing Courtview Case management, Document Management function, and general court operations, will support the addition of software and hardware needs related to the acquisition of an integrated e-filing system. RFP s are required include all costs of integration with the existing Court Management System. The efiling vendor is responsible for all costs of integrating Geauga County efiling Request for Proposal Page 16

18 with the exiting CourtView court management system and cannot cause licensing infraction with CourtView court management system. 3.2 CURRENT BUSINESS PROCESS FOR SUBJECT CASE TYPES The following information is intended to generally describe the functions and processes of the Clerk's current operations. It is not intended to be all-inclusive but to serve as a general guide. The party or parties selected to develop and implement the proposed Electronic Filing system will be required to use any and all information and/or personnel selected by the Clerk and the Courts to validate the current business model. In addition, the selected respondent will be required to present recommendations (upon approval by the Clerk and the Courts) to include in the design and functionality that mirror the best business practices for processing electronic filing transactions. Recommendations shall be based on the complete process flow from case initiation through docketing, case management, and compliance reporting for the case types included in the initial pilot. The majority of the civil cases filed with the Clerk are completed in over-the-counter transactions. A significant number of new civil cases are filed by mail. Upon receipt, all civil cases are assigned a case number. The documents are date-stamped and applicable deposits are paid. Documents filed at case initiation in a civil case include a complaint and instructions for service. The Clerk's office issues a summons for service upon each defendant listed in the case. Additional documents filed through a civil case life cycle may include, but are not limited to, the following: court orders, motions, briefs, supporting memoranda, discovery documents and other documents. After the initial set of transactions, the Clerk's staff continues office workflow and processing which includes manual data entry into the Clerk's case management system, completing service by certified mail, ordinary mail, or personal service as directed by the party filing the complaint, and creation of individual files for retention of the original documents filed in the case. For further general information on the structure of the Geauga County Clerk of Courts, please see An electronic filing pilot project will begin in September of 2015 with civil and probate case(s). The goal is to eventually include all documents in all case types (probate, civil, domestic relations and criminal) in the electronic filing process with the potential for use in Juvenile and Court of Appeals cases. The following chart indicates the case volume: Total Civil Filings Total Criminal Filings Total Domestic Relations Total Probate Filings Geauga County efiling Request for Proposal Page 17

19 4. BUSINESS REQUIREMENTS OF THE AUTOMATED ELECTRONIC FILING SYSTEM The system must include software and related equipment capable of processing electronic filing transactions (from case initiation through docketing, case management and compliance reporting) for the specified case types filed with the Courts. The detailed statement of work for any acceptable RFP must comply with the Ohio Advisory Committee on Technology and the Courts proposed standards. In addition, the RFP response must also specifically demonstrate how the proposed electronic filing system will meet requirements specific to the Clerk and Courts as set forth in the remaining subparts of this Section. Respondents must provide an explanation to any requirements included in this RFP that is not doable from their perspective or expertise. 4.1 DESCRIPTION OF E-FILING APPLICATION In addition to their responses to the Ohio Supreme Court's standards and the Clerk s and Courts specific requirements as stated in this section, respondents shall also describe their general approach to, and methodology for electronic filing, and then describe the electronic filing application in detail Understanding of RFP Objectives The respondent should concisely describe the respondent's understanding of the goals and objectives to be accomplished under this RFP and the respondent's understanding of the purposes for electronic filing in the trial courts Proposed Hardware Architecture The RFP response must supply a complete description of the hardware platform(s) that the vendor would use to support the system, including an architectural diagram Proposed Network/Telecommunication Requirements The proposed electronic filing system must be designed and implemented to operate successfully in the County's computing environment, including but not limited to the Clerk, the Courts, the County LAN, the County WAN, and County IT. Respondent must supply a complete description of the network/telecommunications that it would require for the system - including a network diagram. The Respondent shall also identify the specifications of any networking/telecommunication requirements that the Clerk, Courts, attorneys or other filers would need in order to support the system. It is important that the proposed e-filing solution including the interface to existing CourtView and NetDMS systems - not detract from user response time for the Clerk and Courts. The respondent must specify how the system utilizes the Internet and Proposed Software/Application Requirements The respondent must supply a complete description of the software that it will require to operate the system. Geauga County efiling Request for Proposal Page 18

20 4.1.5 Respondent Software/Application Requirements The Respondent must describe how the electronic filing system shall connect to the County's CourtView and NetDMS systems. The Respondent must specify details about the format to be used in sending and reading the metadata associated with each filing. The proposed system must meet the document encoding standards specified by the Supreme Court of Ohio. The efiling vendor is responsible for all costs of integrating with the exiting CourView court management system and cannot cause licensing infraction with CourtView court management system. The proposed system must be able to post to CourtView and NetDMS, and the Clerk must be able to approve/disapprove each posting. The proposed system must allow the Clerk to correct erroneous entries before they populate the CourtView Docket Proposed Accounting System The vendor must describe in detail the method used by the accounting system to track how court ordered filing fees would be transferred to the Clerk Respondent's Proposed Document Storage and Retrieval System The respondent must fully describe the proposed document storage and retrieval system including integration with the NetDMS document management system. This description must also include how documents would be indexed and retrieved by the users Proposed Electronic Signature Solution(s) The respondent must provide industry standard authentication solution(s) for electronic filing. These solutions could range from a simple user ID and password to digital signature certification with encryption. (If more than one solution is supported, respondents should specify and justify the one they recommend) Pro se Litigant Filings The vendor must identify how pro se litigants could be provided access to this system General Public Access to the Electronic/Imaged Files The vendor must identify how the general public would be able to gain (authorized) and maintain current access to the electronic/imaged files. The vendor must identify: a. How paper copies will be produced; b. How certified copies will be produced including how the certification seal will be applied to the document; c. Any fees for general public access; d. How the information would be protected from changes while the public is accessing the information; e. Whether the persons accessing the documents would have a capacity to print; f. Whether the Clerk would have a capacity to add a cost recovery fee onto these Geauga County efiling Request for Proposal Page 19

21 transactions. g. Security model for authentication (if required for general public) and any access level capability to certain sensitive information; h. Registration process (if required for general public); Proposed Security System The respondent must provide a complete description of the security that will protect the system. This description should include hardware and software (including firewalls), the control over user IDs and passwords and how the security would function within the Clerk's current computing environment. The respondent must also fully describe how the system would handle cases that are sealed or expunged. It should also include a description of the security employed in the transmittal of documents and associated metadata between outside filers and the Clerk User Response Time The respondent must indicate the average user response time for the various functions of the system. The user response time refers only to server and network response time (i.e., transaction time) - not to the functional time required to process a case. Please include information concerning the time needed by a user to download via and print a 20-page document Warranty Designation and Service The respondent must supply a complete plan for how the vendor will support the system for the Clerk, Courts, and the private subscribers. The vendor must provide an accurate and complete statement designating the promises and warranties, and any disclaimers of warranties, limitations or modifications of remedies, of liquidated damages, of any third party, such as the manufacturer of the equipment, to be provided either directly or indirectly to the purchaser of the goods Training All costs for training must be included as part of the submission, including but not limited to the following: a. Provide appropriate hands-on training for employees of Geauga County. b. Provide limited hands-on training for designated local legal community users. c. Provide an on-screen help guide. d. Provide a written, step-by-step operation guide. e. Provide training materials to support future in-house training. f. Create test scripts/plans Recording Time Stamp on Documents The system shall affix or attach on the first page of any document or paper filed the following information: Geauga County efiling Request for Proposal Page 20

22 a. Time and date of filing. b. Case number. c. Clerk identification code. d. Attorney code number. 4.2 CLERK AND COURTS MANDATORY REQUIREMENTS Respondents must identify how they will meet each of the following requirements. Submissions should provide responses in the order shown below, and reference the particular item(s) being addressed (i.e., "4.3.1 (a)", etc.). The proposed system should also comply with the Supreme Court of Ohio's proposed standards as outlined in Appendix B General Policies The electronic filing system must be able to handle filings of the identified case types for the Courts and Clerk, inclusive of the following features: a. Electronic receipt and transmission by Clerk of case filings, pleadings, and related forms and documents. b. Indexing and storage of case pleadings, journal entries, orders, and related forms and documents filed electronically within the county NetDMS document management system. c. Automated extraction of data from electronically filed pleadings and related forms to populate the County's existing CourtView case management system. d. Electronic transmission by Clerk, Courts, and filers of notices to parties. System electronically serves documents and notices to other parties participating in the electronic filing system, in accordance with statutes and rules. e. Judicial interface/review in which judges can review proposed orders and pending documents not yet accepted by the Clerk with the ability to accept, reject, or modify the proposed order and then sign and file electronically. f. Ability to integrate non-electronically filed documents through electronic imaging or other means. The system should include the capability to process and handle the imaged documents in the same manner as those originally filed electronically. g. System generates a record of the non-electronic filing parties to whom service must be provided. h. Filing status tracking and statistical information reporting. i. Internet access to electronically filed case information for authorized persons (including interfacing with an existing public records system and maintaining current public access capabilities). The Clerk and/or Court has the ability to seal cases or a pleading in whole or in part. j. Electronic billing and collection of court filing fees for electronically filed cases and electronically reopened cases. k. A program for user training (for the Attorneys, the Judges, and Clerk and Courts staff). This program may be classroom-based, computer-based, or a mix of approaches. Geauga County efiling Request for Proposal Page 21

23 l. User manual(s) supporting each group of end users, including Attorneys, Judges, and Clerk and Courts staff. The submissions should also include a complete description of end user manuals, on-line help, availability of a toll-free help line and any special help for self-represented litigants General Operational Requirements The system must otherwise replicate, enable, or provide equivalents to all of the standard procedures and steps in the current filing process including: a. Clerk review and acceptance of the filing. b. Judicial review to assist judges to process proposed orders, entries, etc. c. The ability to mark documents as filed and to certify documents. d. The system must include a process for automated case initiation of electronically filed cases. e. The system should provide the following process controls: i. Comprehensive edit controls that, for example, prevent incomplete or incorrect data from being processed. ii. iii. iv. Programmatic control of the process flow to prevent information from being processed in the wrong sequence. Processing cycles completed in a logical, prescribed order. Integrity of data entering the database safeguarded through editing criteria. f. The system must provide capabilities for high volume filers to transfer large numbers of documents, attachments, and envelopes at one time (mass filings). g. The system must be capable of handling certificates of service, signature blocks, sealed documents, and confidential documents. h. The data must at all times belong to the Clerk. i. Clerk records management (including litigant and public access; and the ability of a Judge to seal cases in whole or in part, individually or by case type or category of user, and to restrict access to case information to authorized persons) General Technical Requirements a. The system must be operational on the current average Geauga County desktop platform, or the respondent must identify all hardware and software that would be required in addition to, or as an enhancement of, this average platform. In this latter case, the respondent must also identify PC and server system requirements: Include processor speed, memory, hard disk storage required, operating systems supported, and acceptable versions of word processing software. i. Specify the types of printers and print drivers needed. ii. Detail any other Clerk, Courts, County IT or user hardware (such as scanner) or software (such as Adobe Reader, etc.) that is required iii. The minimum Internet requirements for a single user accessing the system for filing Geauga County efiling Request for Proposal Page 22