Request for Proposal ******************

Transcription

1 Request for Proposal ****************** Document Scanning and Imaging Project MAY 2014 Project# 14/0012 MHMRA of Harris County Purchasing Department 7011 Southwest Freeway Houston, Texas 77074

2 INVITATION Mental Health Mental Retardation Authority of Harris County (MHMRA) is accepting Proposals from vendors Registered, State Certified, and capable to provide Document Scanning and Imaging Project. Mental Health Mental Retardation Authority of Harris County invites your firm to submit a Proposal. If you are interested in submitting a proposal, please adhere to the General Instructions and Requirements as outlined in the enclosed Request for Proposal. Vendors shall pay particular attention to all INSTRUCTIONS, REQUIREMENTS and DEADLINES indicated in the attached documents and should govern themselves accordingly. In accepting Proposals, MHMRA reserves the right to reject any and all Proposals, to waive formalities and reasonable irregularities in submitted documents, and to waive any requirements in order to take the action, which it deems to be in the best interest of MHMRA, and is not obligated to accept the lowest proposal. At the time and place established for receipt of the Proposal, MHMRA of Harris County will only release the names of the Independent Provider(s) and/or Provider Firm(s). No other information will be released until after MHMRA s Evaluation Team has evaluated the Proposals, and an award has been made and approved by Executive staff and MHMRA s Board of Trustees. We greatly appreciate your efforts and look forward to reviewing your submission. Nina Cook Nina M. Cook, MBA, CPPB Purchasing Manager MHMRA, Harris County Joycie Sheba Joycie Sheba Buyer II

3 Table of Contents Section Page I. Overview 1 II. Request For Proposal (RFP) Time 2 Line & Events III. General Instructions 3 IV. Proposal Stipulations & Requirements 6 V. Insurance Requirements 9 VI. Proposal Evaluation Process 11 VII. Specialized Services To Be Performed 12 VIII. Proposal Contents 20 IX. Proposal Reply Page 21 X. Signature Page 22 XI. Attachment(s) 23 A. HUB Subcontracting Plan (Historically Underutilized Business) B. Deviation Form C. Notice Not to participate form D. Form W-9 - Request for Taxpayer Identification Number and Certification E. Sample Contract F. Business Associate Agreement

4 SECTION I OVERVIEW BACKGROUND AND OBJECTIVES The Mental Health Mental Retardation Authority of Harris County (MHMRA) is a Community Center in Houston, Harris County, Texas providing Behavioral Health Services to approximately twenty-five (25) to (30) thirty thousand Harris County residents each year. MHMRA is the largest community based provider of clinical services to Mental Health and Intellectual Developmental Disabilities consumers in the United States. It maintains operations at over 25 facilities throughout all parts of Harris County and operates on an annual budget in excess of $231million. Our goal is to employ best practices and cost effectiveness. The Mental Health Mental Retardation Authority of Harris County (MHMRA) invites interested and qualified vendor(s) / firm(s) to respond to this RFP for the Document Scanning and Imaging Project. The Agency has fixed pricing budgets and all pricing quoted should remain fixed for the duration of the contract. Our goal is to employ best practices and cost effectiveness.

5 SECTION II - PROPOSAL (RFP) TIME LINE OF EVENTS Solicitation Packet issue date: Monday, May 05, 2014 Mandatory RFP Project Meeting Monday, May 12, 2014 (Prospective Participants are invited 1:30 2:30 pm. Meeting to be held Attend a project discussion session with at 7011 Southwest Freeway, Houston, TX Representatives from MHMRA s Project Team) Receive Questions from Prospective Proposer: Deadline to response to questions: Deadline for submission of RFP: Proposal Opening: Anticipated Award Date: Monday, May 19, 2014 by COB Wednesday, May 21, 2014 by COB. Wednesday, May 28, 2014 at 10:00am Wednesday, May 28, A public Proposal opening will be held at 10:15am, 7011 Southwest Freeway, Houston, Texas Contingent upon Board Approval Page 2 of 39

6 SECTION III - GENERAL INSTRUCTIONS A. Mandatory Project Meeting A mandatory project meeting will be held on: Monday, May 12, 2014 Time: 1:30 2:30 pm Location: MHMRA of Harris County 7011 SW Freeway, Houston, TX Upon arrival, all vendors/prospective participants to this RFP are required to: Check-in at the front desk in the lobby of 7011 Southwest Freeway, Houston, Texas Obtain a visitors badge Remain in the lobby area until an MHMRA project team representative greets you B. Questions Deadline for questions from Providers: Monday, May 19, 2014 by 5:00 pm Deadline for Response to Questions: Wednesday, May 21, 2014 by 5:00 pm All questions concerning the PROPOSAL specifications must be submitted in writing and ed to the below listed team members. To ensure receipt of all questions in a timely manner, the preferred method is via . C. Submittal Procedure Joycie Sheba, Buyer II Office: (713) joycie.sheba@mhmraharris.org CC: Sharon Brauner, Buyer III Office: (713) sharon.brauner@mhmraharris.org MHMRA Purchasing Department Fax: (713) The Proposal, subject to all conditions and specifications attached hereto, must be signed in INK by a person or officer of the company submitting the Proposal that is authorized to enter into contractual agreements on behalf of the company. Proposals received unsigned will be deemed non-responsive and therefore; will not be accepted. Deadline to submit Final Proposal is Wednesday, May 28, 2014 by 10:00am. The original Proposal, signed in ink, five (5) additional photocopies and an electronic copy (Flash Drive) should be submitted in a SEALED ENVELOPE and delivered to the attention of: MHMRA of Harris County Purchasing Department Attn: Joycie Sheba, Buyer II 7011 Southwest Freeway, Houston, Texas Data Scanning and Imaging Project DO NOT OPEN UNTIL WEDNESDAY, MAY 28, 2014 AT 10:00AM. Page 3 of 39

7 No Proposal will be accepted after the stated deadline. Respondents may mail or personally deliver their Proposals to the Purchasing Office of MHMRA at the above address. MHMRA will not be responsible for any Proposal(s) that is (are) lost in the mail or not delivered to the Purchasing Department by the stated deadline for any reason. Proposals shall include all documentation as requested in the Request for Proposal. D. Proposal Opening A Public Proposal Opening will be held at 10:15AM immediately following receipt of Proposals on Wednesday, May 28, 2014 at 7011 Southwest Freeway, Houston, Texas E. Non-Discrimination Policy Statement The Mental Health Mental Retardation Authority of Harris County does not discriminate against any individual or Vendor/Provider with respect to his/her compensation, terms, conditions, or award of contract because of race, color, religion, sex, national origin, age, disability, political affiliation, or limit, segregate, or classify candidates for award of contract in any way which would deprive or tend to deprive any individual or company of business opportunities or otherwise adversely affect status as a Vendor/Provider because of race, color, religion, sex, national origin, age, disability, or political affiliation. F. Immigration Reform and Control Act Of 1986 By submitting their proposals, Offerors certify that they do not and will not during the performance of this contract employ illegal alien workers or otherwise violate the provisions of the federal Immigration Reform and Control Act of G. References and Experience All interested parties are required to submit with their Proposal a comprehensive list of references. Interested parties are required to provide a minimum of three (3) references where interested party has provided services (within the last six months) that pertain to this type of service. References shall include company name, address, telephone number, fax number, contact person and address. The interested parties must agree to authorize clients to furnish any information required by MHMRA to verify references provided, and for determining the quality and timeliness of previous work performed. Vendor/Provider shall submit with their Proposal, documentation of past performance in projects of similar magnitude and resulting customer satisfaction particularly in the areas of professionalism, contract performance, quality of the personnel, responsiveness and flexibility, etc. H. Proposal Guarantee/Award Procedure It is anticipated that a recommendation for award for this Proposal will be made no more than thirty (30) days after the PROPOSAL DUE DATE. All interested parties are required to guarantee their Proposals as an irrevocable offer valid for one-hundred and twenty (120) days after the Proposal due date. Mental Health Mental Retardation Authority of Harris County in its sole and absolute discretion shall have the right to award Proposal(s) for any or all items/services listed in each Proposal, shall have the right to reject any and all Proposal(s) as it deems to be in its best interest, to waive formalities and reasonable irregularities in submitted documents, shall not be bound to accept the lowest Proposal and shall be allowed to accept partial or total Proposal(s) of any one vendor. Page 4 of 39

8 I. Permits Any and all permits as required by authorities having jurisdiction; local, state, county, and/or federal, are the total responsibility of the interested parties/vendor and must be obtained prior to commencement of any work or service. Any and all expense/cost related to obtaining required permits is the sole responsibility of the vendor J. Financial Information Vendor/Provider must submit a copy of their last AUDITED financial statement. A letter from your CPA is an acceptable alternative for Non Public companies, but must include a statement that financial solvency is adequate to meet expenditures for at least one year. K. Payments Vendor/Provider is to submit properly completed invoice(s) to the address specified on the purchase order. To insure prompt payment, each invoice should indicate purchase order number, discount terms and include Vendor/Provider's name and return remittance address. L. Price Adjustments Vendor/Provider will be required to honor their proposed prices for the term of the contract period. M. Historically Under-Utilized Business (HUB) This Agency shall make a good faith effort to utilize Historically Underutilized Businesses (HUB S) in contracts for construction, services, (including professional and consulting services), and commodities. Please submit proof of Historically Underutilized Business HUB state certificate. If your firm is not certified, please submit Attachment A, if you intend to subcontract services. If not, write none on Attachment A and submit it. N. Minority / Women and /or Disadvantaged Business This Agency shall make a good faith effort to utilize Minority/Women and/or Disadvantaged Businesses (M/W/DBE s) in contracts for construction, services, (including professional and consulting services), and commodities. Please submit proof of City of Houston M/W/DBE certificate. O. Direct or Indirect Assignment The successful Vendor/Provider will not be permitted to directly or indirectly assign rights and duties under the contract without express approval by MHMRA. P. Form W-9 Offerors are to complete Form W-9 and Submit with their Proposal documents. (Attachment D) Page 5 of 39

9 SECTION IV - PROPOSAL STIPULATIONS AND REQUIREMENTS A. Modification or Withdrawal of Proposals Any Proposal may be modified or withdrawn prior to the deadline, provided such modification or withdrawal is submitted prior to the deadline. Any modification received after the deadline shall be deemed late and will not be considered. B. Offer and Acceptance Period All Proposals must be an irrevocable offer valid for one-hundred and twenty (120) days after the Proposal opening. C. Late Proposals Proposal received after the stated deadline shall be deemed late and will not be considered. D. Irregularities in Proposals Except as otherwise stated in this Request for Proposal, evaluation of all Proposals will be based solely upon information contained in the Vendor/Provider's response to this Proposal. MHMRA shall not be held responsible for errors, omissions or oversights in any Vendor/Provider's response to this Proposal. MHMRA may waive technical irregularities, which do not alter the price or quality of the services. MHMRA shall have the right to reject Proposals containing a statement, representation, warranty or certification which is determined by MHMRA and its counsel to be materially false, incorrect, misleading or incomplete. Additionally, any errors, omissions, or oversights of a material nature may constitute grounds for rejection of any Proposal. The inability of a Vendor/Provider to provide one or more of the required components or specified features or capabilities required by this Proposal does not, in and of itself, preclude acceptance by MHMRA of the Proposal. All Proposals will be evaluated as a whole in the best interest of MHMRA. E. Oral Presentations Any Vendor/Provider that submits a Proposal in response to this request may be required to make an oral presentation for further clarification upon MHMRA s request. F. Amendments to the Proposal If it becomes necessary to revise any part of this Proposal package or if additional information is necessary to clarify any provision, the revision and/or additional information will be provided to each Vendor/Provider via faxed amendment or . G. Availability of the Proposal After opening, each Proposal, except those portions for which a Vendor/Provider has included a written request for confidentially (e.g., proprietary information), shall be open to public inspection. Page 6 of 39

10 H. Retention of Proposals All Proposals considered by MHMRA shall become the property of MHMRA and shall not be returned. I. Notice Not to Participate Form Vendors must respond to the Proposal request whether they can or cannot provide the products, supplies and/or services listed in the Proposal request. (See Attachment C Notice Not to Participate Form) J. Incurred Expenses MHMRA shall not be responsible for expenses incurred by a Vendor/Provider in the preparation and submission of a Proposal. This provision also includes any costs involved in providing an oral presentation of the Proposal. K. Deviation Form Each Proposal shall contain a Deviation Form, which states the perspective Provider s commitment to the provisions of this Request for Proposal. An individual authorized to execute contracts shall sign the Deviation form. Any exceptions taken to the terms and conditions identified in this Proposal Package including the sample contract must be expressly stated in the Deviation Form. (See Attachment B) L. Subcontractors All provisions and/or stipulations within this Request for Proposal also apply to any authorized subcontractors. M. Term of Contract The intent of the RFP is to award this contract to the qualified vendor who can provide and meet all specified requirements of this request for proposal. The contract shall commence with a tentative award date for a two (2) years base period with three (3) years one-year renewal options at the sole discretion of MHMRA based upon satisfactory performance, which will be reviewed on an annual basis. N. Licensure The vendor shall submit, with their Proposal, a copy of any other license(s), certification(s), registration(s), permit(s), etc. as required by authorities having jurisdiction; local, state, county, and/or federal. O. Pricing Each vendor shall provide responses to Proposal Reply page with total pricing. P. Conflict of Interest Provision The Health and Human Services Commission organizational conflict of interest provision is applicable, in that vendors who develop of draft specifications, requirements, statements of work and/or RFP for a proposed procurement shall be excluded from Proposal or submitting a proposal to compete for the award of such procurement. (HHSC Uniform Contract Terms & Conditions Version 1.3). Q. Indemnification To the extent permitted under the Constitution and the laws of the State of Texas, Contractor hereby agrees to indemnify and hold harmless the Agency and all of its directors, officers, employees, and agents from all suits, actions, claims, or cost of any character, type, or description brought or made on account of any injuries, death, or damage received or sustained by any person or persons or property, including but not limited to clients, arising Page 7 of 39

11 out of or occasioned by any acts or negligence of Contractor or Contractor's personnel, if any, or its agents or employees whether occurring during the performance of the services hereunder or in the execution of the performance of any of its duties under this Agreement. R. Vendor Requirements and Responsibilities The Vendor agrees to perform all work and to take any required actions, including the furnishing of all supervision, labor, insurance, services, and transportation required for the accomplishment of Document Scanning and Imaging Project as described in these specifications. Services are to be rendered in a workmanlike manner, and in accordance with the provisions of this contract. Page 8 of 39

12 SECTION V - INSURANCE REQUIREMENTS A. Policies, Coverages, and Endorsements. Vendor agrees to maintain, or to cause its personnel providing services under this Agreement to maintain, at its sole cost and expense or the cost and expense of his personnel, the following insurance policies, with the specified coverages and limits, to protect and insure the Agency and Vendor against any claim for damages arising in connection with Vendor s responsibilities or the responsibilities of Vendor's personnel under this Agreement and all extensions and amendments thereto. 1- Commercial General Liability General Aggregate $1,000,000 Each Occurrence $500, Professional Liability General Aggregate $2,000,000 Each Occurrence $1,000, Business Automobile if transporting our consumers if applicable Combined Single Limit Bodily Injury & $500,000 Property Damage 4 - Workers Compensation & Employers Liability if applicable Medical & Indemnity Bodily Injury by Accident Bodily Injury by Disease Bodily Injury by Disease Statutory Requirements $500,000 Each Accident $500,000 Each Employee $500,000 Policy Limit A CURRENT CERTIFICATE OF INSURANCE MUST ACCOMPANY ALL PROPOSALS B. Insured Parties All policies shall contain a provision naming the Agency (and its officers, agents and employees) as Additional Insured parties on the original policy and all renewals or replacements during the term of this Agreement. C. Subrogation All policies must contain a Waiver of Subrogation endorsement to the effect that the issuer waives any claim or right in the nature of subrogation to recover against the Agency, its officers, agents or employees. D. Proof of Insurance The policies, coverages and endorsements required by this provision shall be shown on a Certificate of Insurance on which the Agency must be listed as an Additional Insured party and the Certificate Holder and which should be furnished to the Agency prior to the commencement of this Agreement. All such insurance shall be secured and maintained with an insurance company, or companies, licensed to do business in the State of Texas. The Agency may withhold payments under the terms of this Agreement until the Contractor furnishes the Agency copies of all Certificates of Insurance from the insurance carrier, or carriers, showing that such insurance is in full force and effect. Page 9 of 39

13 E. Cancellation. New Certificates of Insurance shall be furnished to the Agency at the renewal date of all policies named on these Certificates. Contractor shall give the Agency thirty (30) days prior written notice of any proposed cancellation of any of the above described insurance policies. Page 10 of 39

14 SECTION VI PROPOSAL EVALUATION PROCESS Not all evaluation factors are equal in importance and each factor is weighted in accordance with its importance to MHMRA. Each item has been assessed a percentage upon which the final score will determined. A total of 100 percentage points for the following items will be considered a perfect score. The following will be significant factors in evaluating proposals, but the evaluation will not be limited to these items when making a final recommendation. A. B. Understanding of Agency and Project Experience and Capacity/ Coordination and Project Management Services 25% 30% Indication that the vendor understands the nature of MHMRA services and constraints in providing those services. In addition, that the vendor has thoroughly analyzed MHMRA's needs and requirements. Evidence that the vendor has successfully completed work of comparable magnitude, complexity, scope, and has personnel who have demonstrated experience in completing a project of this size and magnitude. C. Financial Condition 10% D. References 20% E. Cost 15% Verifiable proof of company financial viability and solvency. Provide the names, telephone numbers, s, and addresses of at least 3 business references that the vendor has provided the same or comparable level of service as described in this RFP. Particular attention will be given to the quality of the response from those references, particularly in the Houston area. Final cost may be negotiated with the successful proposer. Cost will only become a determining factor when all other conditions are equal. Page 11 of 39

15 SECTION VII SPECIALIZED SERVICES TO BE PERFORMED Scope of Services: SECTION 1. GENERAL TERMS AND CONDITIONS CONTRACT TERM: The contract shall commence with a tentative award date for a two (2) years base period with three (3) years one-year renewal options at the sole discretion of MHMRA based upon satisfactory performance, which will be reviewed on an annual basis. SUBCONTRACTING: No subcontracting is allowed. OPTION TO EXTEND THE CONTRACT TERM: The Mental Health and Mental Retardation Authority of Harris County (MHMRA) has the option to extend the term of this contract for a period of 12 months by written notice to the contractor not later than 60 days before the contract expires. If MHMRA exercises this option, the extended contract shall be considered to include this clause, except, the total duration of the contract may not exceed 5 years as a result of, and including, any extension(s) added under this clause. PRE-AWARD SURVEY: In order to determine the responsibility of the prime contractor, MHMRA reserves the right to conduct an on-site pre-award survey at the contractor's facility or to require other evidence of technical, production, managerial, financial, and similar abilities to perform, prior to the award of a contract. Bidders to Note: The security and confidentiality of MHMRA documents handled and stored by the contractor during the execution of this contract are of critical importance. Accordingly, MHMRA representatives will be especially attentive to how MHMRA documents will be handled, processed and stored during any pre-award survey(s) initiated by the MHMRA. Should the pre-award survey reveal a security deficiency that jeopardizes or otherwise compromises the secure and the confidential operation of this contract as specified herein, MHMRA reserves the right to declare the contractor non-responsible if such a deficit cannot or will not be remedied by the contractor in a timely fashion at no additional expense to MHMRA. SECURITY: This contract requires the reproduction of confidential MHMRA documents such as patient records, PHI and other documents protected by state and federal law. The contractor shall provide the necessary means, methods and facilities to ensure secure custody and strict accountability of all job materials while in the contractor s possession. All work performed (scanning, copying, binding, and packing, etc.) must be done in a secured area accessible only to authorized personnel to ensure strict confidentiality of sensitive documents. See Contractor to Furnish section. MHMRA reserves the right to conduct both on-site pre-award and post-award Safeguard Reviews at any time during the term of the contract. The contractor s employees must have background checks and have signed annual non-disclosure and confidentiality agreements. The contractor must have had a physical address in the Houston area for at least 2 years. The contractor will be able to maintain 3 shifts running a minimum of 4 scanners during those 3 shifts. Contractor must submit a current Service Organization Controls (SOC) Type 2 Audit Report with their bid submission. The work area should be located in a commercial facility that is in full compliance with all local building and fire codes. For offices located on the ground floor with glass windows, security glass breaks must be incorporated in the intrusion system. The contractor production facility must have digital surveillance with an off-site corporate security team to monitor the facility, employees and visitors 24 hours a day, 7 days a week and 365 days a year. All access doors should be equipped with high security locks that are not easily Page 12 of 39

16 compromised. The locking devices should be high-security, pin-tumbler cylinder locks that are key operated mortised or rim-mounted dead-bolt lock. The locks should have no less than one-inch throw and at least five pin tumblers. If bolt is visible when locked, it must contain hardened inserts or be made of steel. Both the keys and the lock must be "off master". All keys issued to this space must be accounted for and controlled, even when not in use. If combination locks are used, they should have no less than four digits in the combination with a recorded audit trail. Electronic security/locking systems which meet or exceed the specifications above will also be considered acceptable. The space must also have a current access list of employees allowed to access the space. All perimeter doors must be solid cored or metal. The door hinges must be non-removal or installed on the interior of the door so that they cannot be removed from the outside of the space. If the door has a glass insert it must have wire mesh sandwiched between the glasses to prevent unauthorized access into the space. The space should be cleaned during daytime hours in the company of the contractor employees. If daytime cleaning is not possible, the cleaning personnel will be advised of nondisclosure of information requirements set out in MHMRA. Due to the sensitivity of the MHMRA furnished materials, all pick-up and return of MHMRA furnished materials must be made by an employee of the contractor in a contractor-owned vehicle. During transportation, the contractor will ensure that MHMRA documents are not co-mingled with other non-mhmra documents. The documents should be transported in marked containers and segregated from other documents during transportation. The markings should not disclose the name or any other identifying information of the records. Records/materials requiring pre-production or non-working hour storage must be stored in locked containers within a secured area with the access controlled. The vehicle that the contractor uses to transport the furnished job materials must be locked at all times unless loading and unloading cartons. If authorized personnel must make more than one trip to load or unload cartons, the contractor must have another authorized person guarding the cartons in the vehicle. Cartons in a locked vehicle left unattended by an authorized person are in direct violation of the contract. The only time the cartons can be left unattended is in the secure area of the plant. MHMRA shall have the right to send its employees into the offices and plants of the contractor for inspection of the facilities and operations provided for the performance of any work under this contract. On the basis of such inspection, the Contracting Officer of MHMRA, may require specific remedial measures in cases where the contractor is found to be non-complaint with the required contractor safeguards. SECTION 2. - SPECIFICATIONS SCOPE: These specifications are designed for digital scanning/copying of sensitive MHMRA medical record documents, requiring such operations as pickup of the furnished materials by the contractor in a contractor-owned vehicle, disassembly and hand-feeding of original documents, digital scanning, OCR document processing, electrostatic thermal or other copying process, Bates serial numbering, Xerographic generation of blowback hardcopies from furnished digital copy, archiving onto (as well as copying of) DVD-R, CD-R disc(s), hard drives, reassembly of furnished documents into their original state, packing, delivery of the reproduced copy, and return of the furnished materials by the contractor in a contractor-owned vehicle. QUANTITY: Approximately 5,000,000 documents will require scanning and digitization to MTIF, TIFF, and/or PDF files onto CD/DVD or other optical media. The MTIF/TIFF/PDF files will typically not need to be text-searchable ( Bates numbered) nor require blowback hard copies. However, an occasional order may require one or more of the following: (1) OCR scanning with conversion to text-searchable PDF files, electronic Bates numbering; (2) Producing blowback hard copies from PDF files generated: One to three (avg. 1) copy per order. (3) Copying/duplicating of furnished originals (no digital capture), Bates numbering: One to three (avg. 1) copy per order; (4) Conversion of digital files (usually Microsoft Office files) to PDF, and/or production of blowback hard copies from the original digital files or from the PDF produced: One to three (avg. 1) copy per order. Page 13 of 39

17 FURNISHED ORIGINALS: It is estimated that the order will consist of approximately 5,000,000 documents. Trim Sizes: Format A : Up to and including 8-1/2 X 11 Format B : Over 8-1/2 X 11 up to and including 8-1/2 X 14 (Legal Size) Format C : Over 8-1/2 X 14 and up to and including 11 X 17 It is anticipated that most of the pages will be Format A. MHMRA TO FURNISH: Original MHMRA documents packed in cartons including patient records, PHI, and other HIPAA documents, etc. on various sizes and colors of stock to be reproduced at 100% or 95% and occasionally at other rates of reduction. It is estimated that less than one percent of the furnished originals will include color elements. The individual print order will specify the rate of reduction, if applicable. Furnished material may be single and/or multiple leaf documents held together with numerous staples or other fasteners in envelopes, folders, binders, boxes, etc. Reproduce same size or at various focuses as indicated. Based upon past performance, it is estimated that: Approx. 10% of the total furnished source materials shall consist of stapled or clipped documents, requiring slight deconstruction and reconstruction of attachments, including removal of affixed Post-It slips. Approx. 5% of the total furnished source materials shall consist of stapled or clipped letter and legal size documents, requiring folder tabs and/or tab dividers to be copied or inserted, moderate deconstruction and reconstruction of attachments. Approx. 5% of the total furnished source materials shall consist of variable-contrast stapled or clipped letter and legal size documents plus odd-sized receipts, envelopes, etc, requiring folder tabs and/or tab dividers to be copied or inserted, frequent machine adjustments, extensive deconstruction and reconstruction of attachments. CONTRACTOR TO FURNISH: All materials and operations, other than those listed under "MHMRA to Furnish," necessary to produce the product(s) in accordance with these specifications. This will include but not be limited to all boxes needed for records transportation. The contractor shall also furnish the means and measures to ensure that the furnished MHMRA materials will be handled in a secure fashion to ensure strict confidentiality of their contents, as specified hereafter: Collection of Employee Information: All contractor employees authorized to work on MHMRA documents must have completed a background check and drug testing as well as signed annual non-disclosure and confidentiality agreements prior to any work being performed. Secured Area: The contractor must be able to store all of the 5,000,000 MHMRA documents at their production facility and work performed (scanning/duplicating/copying, binding, and packing, etc.) must be accomplished in a secured area within the contractor s facility that the general public is unable to access or view any documents being processed. All retained copies/furnished materials shall be stored in locked containers, and shall be located in a locked or secured area during non-duty hours. MHMRA will make periodic unannounced site visits to confirm that security measures are in compliance with contract requirements. Accordingly, the release of any MHMRA file materials to any person or party not expressly authorized by the MHMRA is strictly prohibited. The contractor shall take all appropriate action and measures to minimize exposure of the furnished materials to a minimum number of employees. The contractor will be required to account for all furnished originals and manufactured copies. Unless otherwise indicated, all extra copies (in any format), waste, spoilage sheets, and so forth are to be destroyed beyond recognition Page 14 of 39

18 and reconstruction. All electronic files and data shall be completely purged from all data storage components of the contractor's computer facility. Pursuant to the Privacy Act, any contractor employee who willfully discloses the content of the retained MHMRA material to any person or agency not entitled to receive it shall be subject to criminal penalty and a fine. Safe Custody: The contractor has the responsibility to ensure that all copy materials constantly remain in safe custody from the time they are picked-up until the time they are returned. Safe custody ensures the legal documents remain in the sealed cartons until they arrive at the contractor's secure area within contractor s plant. The legal document cartons and litigation copy cartons must always remain in view of authorized personnel. No unauthorized personnel are to handle the cartons. The vehicle that the contractor uses to transport cartons must be locked at all times unless loading and unloading cartons. If authorized personnel must make more than one trip to load or unload cartons, the contractor must have another authorized person guarding the cartons in the vehicle. Cartons in a locked vehicle left unattended by an authorized person are in direct violation of the contract. The only time the cartons can be left unattended is in the secure area of the plant. The contractor must provide a procedure for safeguarding documents and chain of custody. The procedure should set forth all precautions that will be taken to ensure integrity of documents. Chain of Custody form is required to be signed by contractor upon receipt of materials to be copied. DIGITAL SCANNING: Contractor must have experience in the digital scanning of paper source documents utilizing equipment and techniques consistent will all of the specifications below: ADF (Automated Document Feeder) minimum capacity of 100 pages; Paper size up to and including 432 x 279 mm (17 x 11 ); Resolution range up to 300 dpi; Frame/border control on all sizing perimeters; Skew detection feature available on scanners; Contrast and brightness manipulation for client image viewer; All scanning shall be performed in accordance with ANSI/AIIM MS , Recommended Practice for Quality Control of Image Scanners, including frequent use of calibration test targets to optimize gray scales, resolution, continuous tones, precision measurement marks, linearity, scan size, alignment of page and text characters. Contractor must also be able to also capture data during the scanning process (typically one global identification field, at no additional cost to MHMRA of Harris County). The contractor shall maintain optimum image quality with continual monitoring and adjustment of the imaging process by the scanning technician to accommodate the varying characteristics of different document populations (including medical X-rays and high-quality photographs requiring individual attention and equipment adjustment for best results). The contractor will be required to scan the furnished black-only and any color documents at 300 dpi. Contractor shall archive the scanned contents as single-page or multiple-page files (as specifically instructed) CCITT Group IV TIFF files. Unless otherwise instructed, color images (not more than 1% of the total furnished originals) will be scanned and archived as RGB files. Contractor shall name the created TIFF/PDF files in accordance to furnished instructions and/or naming convention. Page 15 of 39

19 Unless otherwise instructed, if a source document includes a Post-It note the contractor shall scan the applicable page twice: Once with the Post-It affixed to the parent sheet, and a second time with the Post-It removed from the parent sheet. Scanned documents must not be split across directories or archival CD-R and/or DVD-R discs. Second-pass verification will be required on all orders, and is defined as a visual comparison to verify that 100% of the document(s) were captured in scanning. The contractor shall maintain the document integrity and security throughout the scan processing cycle. The proper collation and integrity of documents, document packets (several documents fastened together), file folders and file drawers must not be lost. DOCUMENT PROCESSING: Contractor will be required to remove all fasteners from furnished material prior to reproducing, with the exception of perfect and case bound spines. Contractor to scan/copy any image on envelope(s), file folders and etc. that contain furnished material. Material furnished on unusually small stock (receipts, match book covers, personal checks, etc.) must be reproduced individually on 216 x 279 mm (8½ x 11 ) sheets unless otherwise indicated. Contractor may image more than one small stock item per sheet as appropriate. Furnished originals will include documents with Post-It style note(s) affixed. The contractor is make two copies of such documents: One copy of the original document with the Post-It note(s) affixed; and one copy of the original without the Post-It note(s) affixed. Tab dividers: Contract orders may require the contractor to copy the tab and/or body areas of furnished dividers. At contractor s option, contractor may use preprinted tab divider sets consisting of: (a) one bank of 1/26 th -cut tabs alphabetically printing A through Z, and/or; one bank of 1/25 th -cut tabs numerically printing nos. 1 thru 25, and/or; (c) one bank of 1/25 th -cut tabs numerically printing nos. 26 thru 50. Some orders may require additional imaging on the face-side of the body of the divider. Reproduced files may require the contractor to substitute a blank or printed colored 216 x 279 mm (8-1/2 x 11 ) sheet of paper for each original tab divider, as instructed by MHMRA. COPYING, GENERATION OF PAPER COPIES: An occasional contract order will require blackonly Xerographic copying of furnished originals not requiring digital capture by the contractor. Unless otherwise expressly indicated, all documents (including color documents) reproduce single-sided in black only. All furnished two-sided originals (including color documents) shall be reproduced and delivered as two single-sided sheets in black. MARGINS: Various. Follow copy furnished. Original documents smaller than 216 x 279 mm (8-1/2 x 11") should be centered. BINDING: Unless otherwise indicated, the contractor shall return all furnished material and deliver contractor-furnished copies as follows: When stapled originals have been furnished: Assemble the reproduced copies in the same sequence as the furnished originals and band with a minimum of one rubber band around the short dimension, with one wire stitch (staple) at upper-left corner or loose as specified on the Purchase Order. After copying the contractor shall staple (at upper left corner) the original documents in the same sequence and manner as furnished. When loose-leaf originals, bound with a rubber band, have been furnished: After copying, the contractor shall rubber band both the originals and the contractor-produced copies in the same sequence and manner as the furnished originals, unless otherwise indicated. Page 16 of 39

20 When loose-leaf originals within a folder or binder have been furnished: After copying, contractor shall insert the originals back into the furnished folder or binder in the same sequence and manner as furnished. Contractor shall rubber band the contractor-produced copies of the originals that were furnished in a folder or binder. When case bound, perfect bound, saddle-stitched originals have been furnished: After copying, the contractor shall rubber band the contractor-produced copies in the same sequence as the furnished bound publication. Combing or intermixing of separate publications is not permitted. DIGITAL ARCHIVING: All duplicate (burned) CD-R discs shall be manufactured in accordance with the Phillips Orange Book, Part II: CD-R, Vols. 1 and 2 (Version 3.1, 1998). Duplicate CD-R discs manufactured under the terms of this contract will be 650 MB (74-minute) or 700 MB (80 minute) capacity discs, to be used on consumer quality target CD-ROM drives within a Microsoft Windows operating system environment. All duplicate (burned) DVD-R discs shall be manufactured in accordance with DVD Forum Book D (using applicable version) specifications. Duplicate DVD-R discs manufactured under the terms of this contract will be single-layer 4.7 GB capacity (DVD-5) discs, to be used on consumer quality target DVD-ROM drives. Warning: All electronic media made by the contractor must be kept accountable and under reasonable security to prevent their unauthorized release. Disks are not to be duplicated in whole or part for any other purpose than to create material to be used in the performance of this contract. All duplicate media shall be degaussed or securely overwritten and any printouts and non-erasable media shall be destroyed by the contractor. Disc labeling: Before labeling the DVD/CD-R master(s), the contractor shall call the MHMRA contact(s) cited on the Purchase Order to discuss the DVD/CD-R naming convention(s) to be used for any given order. Unless otherwise indicated by the MHMRA, the contractor shall label each DVD/CD-R in a professional manner to most accurately reflect the contents archived thereon. Disc packaging: The contractor shall first slip each DVD/CD disc into a common commercially available DVD/CD-R jewel case with the labeled side of the disc facing up. The contractor shall then insert each jewel case with disc into a common commercially available DVD/CD mailer suitable for USPS mailing purposes. REASSEMBLY OF ORIGINALS: Unless otherwise instructed, the contractor will be required to reassemble, refasten and return the original documents in the same sequence and same condition as furnished. (See preceding BINDING section.) PACKING: Furnished originals: Contractor shall re-box, re-pack and seal the furnished originals within the original container(s) in exactly the same way that they were furnished. Reproduced copy (ies) of furnished originals: Contractor shall pack copied contents in sealed shipping carton(s) suitable for secure handling and delivery. Each shipping container must not exceed pounds when fully packed. Shipping containers must be corrugated or solid fiberboard containers with a minimum bursting strength of 275 p.s.i. Note: The title of the case file or documents must not appear on the exterior surface of any shipping container. Reproductions shall be packed in the same manner as the furnished originals. DISTRIBUTION: Pickup and delivery of furnished materials: Agency furnished materials provided for reproduction shall be picked-up and returned by the contractor using a contractor-owned vehicle, as indicated within the following contract categories. Page 17 of 39

21 Furnished materials picked up from, and returned to MHMRA of Harris County, 7011 Southwest Freeway, Houston, Texas This is subject to change depending on location of documents to be digitized. All locations will be located within boundaries of Harris County. The contractor will be required to deliver the reproductions to MHMRA of Harris County, 7011 Southwest Freeway, Houston, Texas This is subject to change depending on location of documents to be digitized. All locations will be located within boundaries of Harris County. A specific point of contact and telephone number for each of the pickup sites will be furnished with issuance of the Purchase Order. All expenses incidental to pick up and return of the MHMRA furnished materials must be borne by the contractor. Delivery of document reproductions: Delivery shall be made via traceable means, including an overnight delivery service. SCHEDULE: Adherence to this schedule must be maintained. Furnished material must be picked up from and returned to the facility listed under "DISTRIBUTION". If the contractor is notified of the availability of the furnished materials for pickup by the contractor before 11:00 AM, the following schedule begins on the day and at the time notified. If the contractor is notified of the availability of the furnished materials for pickup after 11:00 AM, then following schedule begins on the following day notified at 9:00 AM. Procurement under this solicitation will be as follows: SECTION 3. - Pricing The award for this request for proposal will be determined by applying the prices offered to the following units of production which are the estimated requirements to produce orders under this contract. These units do not constitute, nor are they to be construed as a guarantee of the volume of work which may be ordered under this contract. Prices quoted shall include the cost of all required materials and operations (including scanning of RGB elements, provision of paper, and boxes for transportation) necessary for the complete production and distribution of the products listed in accordance with these specifications. 1 Scanning of Furnished 8-1/2'' x 11'' or 8-1/2'' x 14'' originals: (a) Digital Scanning, MTIF conversion - no auditing - price per scanned page (b) Digital Scanning, MTIF conversion - 50% auditing - price per scanned page (c) Digital Scanning, MTIF conversion - 100% auditing - price per scanned page (d) Digital Scanning, PDF conversion - no auditing - price per scanned page (e) Digital Scanning, PDF conversion - 50% auditing - price per scanned page (f) Digital Scanning, PDF conversion - 100% auditing - price per scanned page (g) OCR processing, creation of text-searchable content per scanned page (h) Burning, labeling, packing DVD-R disc(s) - per disk (i) Burning, labeling, packing CD-R disks - per disk (j) Copying scanned files to provided hard drive, per hard drive Page 18 of 39

22 2 Scanning of Furnished 11'' x 17'' originals: (a) Digital Scanning, MTIF conversion - no auditing - price per scanned page (b) Digital Scanning, MTIF conversion - 50% auditing - price per scanned page (c) Digital Scanning, MTIF conversion - 100% auditing - price per scanned page (d) Digital Scanning, PDF conversion - no auditing - price per scanned page (e) Digital Scanning, PDF conversion - 50% auditing - price per scanned page (f) Digital Scanning, PDF conversion - 100% auditing - price per scanned page (g) OCR processing, creation of text-searchable content per scanned page (h) Burning, labeling, packing DVD-R disc(s) - per disk (i) Burning, labeling, packing CD-R disks - per disk (j) Copying scanned files to provided hard drive, per hard drive NOTE: Please be advised that MHMRA is permitted by its Policies and Procedures to expedite the contracting process by piggybacking/tagging on existing contracts a firm might have with other governmental entities. **PLEASE INCLUDE ANY ADDITIONAL DESCRIPTIVE LITERATURE, WHICH MIGHT BE OF ASSISTANCE IN THE DECISION-MAKING PROCESS. ** Page 19 of 39

23 SECTION VIII- PROPOSAL CONTENTS Title Page: Name of Vendor/Provider, local address, telephone number, fax number, address and contact name. Table of Contents: All Proposals must include the following information: Clear identification of information by section and page. List of at least three (3) references, including contact person, telephone number, fax number and address. Identification of all services provided. Proposal: Vendor/Provider must provide a brief history of company and ownership, date started business, current total number of employees, and include any special accommodations/services that could be provided. Description of services available under this Proposal. Must bear the original signature of a principal or authorized officer of the interested party. Must be typed. Must make provision to meet and comply with all applicable laws and regulatory criteria. Interested parties are encouraged to submit along with their Proposal any additional descriptive information about their services, which they believe, might be helpful. All Proposals must be submitted with one original and five (5) copies and an electronic copy (Flash Drive), mailed or delivered in a sealed envelope to MHMRA of Harris County. Additional documents to be submitted: Please provide a sample copy of your purchase, contract, warranty and extended warranty agreement. Vendor must submit a copy of their latest AUDITED financial statement. A letter from your CPA is an acceptable alternative for Non Public companies, but must include a statement that financial solvency is adequate to meet expenditures for at least one year. Reference list must be comprehensive Reference List must be inclusive of contact name, telephone number, fax number and address. (Local and or Non-local) Documentation of experience addressing professionalism, contract performance, quality of personnel, responsiveness and flexibility, etc. to achieve overall customer satisfaction. Proof of Insurance Submit proof of Historically Underutilized Business HUB State Certificate and/or City of Houston M/W/DBE Certificate. (Attachment A) If your firm is not certified, provide a statement to the effect if you intend to subcontract or affiliate with a certified firm and what percentage of work will be given to them. Deviation Form (Attachment B) Notice not to participate Form (Attachment C) Policy & Procedure for criminal background checks of personnel or subcontractor that would gain entrance to or provide service to MHMRA properties. Completed Form W-9 Completed Business Associate Agreement Page 20 of 39