Request for Proposal. Electronic Document and Records Management System (EDRMS)

Request for Proposal for an Electronic Document and Records Management System (EDRMS) Oct 2012 Last printed 10/16/2012 4:20:00 PM

1 Purpose of this Document The purpose of this RFP is to identify a company with the experience and resources to effectively provide an enterprise Electronic Document and Records Management System (EDRMS). It is proposed the company will supply, install, configure, and train all staff in the use of the EDRMS. The Submitter must be able to provide ongoing software support and be able to potentially provide future professional services/ software development. Key drivers for this initiative are business efficiency, effectiveness and compliance with Archives New Zealand recordkeeping standards and the provisions of the Public Records Act 2005. We are looking to more efficiently capture, store and collaboratively use documents/records in business processes across the organisation and with the public. 2 Background The GDC is a unitary authority and services an area of 83,600 km 2 with a population of 45,000. The GDC currently employs 275 staff. The Gisborne District Council is currently using the OpenText e-docs EDRMS, first implemented in 2007. Due to a merging of OpenText product lines, e-docs 6 will not be supported in the future. Gisborne District Council is part of the Bay of Plenty Local Authority Shared Services (BOPLASS) group of nine Councils. A key strategy of the BOPLASS group is technological alignment. Six of the nine BOPLASS Councils use the Objective EDRMS and one uses the TRIM system. Council wishes to ensure that the EDRMS chosen for implementation is compatible with other systems in use in other BOPLASS Councils. Council sees value in working collaboratively with other organisations/user groups to share knowledge and expertise, process workflows and software development. Council will work with the preferred supplier to develop a detailed project plan and schedule to implement the EDRMS. It is anticipated this will occur over the first six months of 2013. 3 Outline of EDRMS requirements In general, Council is looking for a core enterprise wide system that will: ensure compliance with legislation and good practice support full capture and management of electronic and physical records allow enterprise searching for physical and electronic records by metadata and/or document content ensure effective access and security control over records allow flexibie integration with major business systems provide unalterable history/audit trail of EDRMS actions allow effective lifecycle management for all records from creation to disposal include a workflow system to allow user defined workflows to be built around document processes manage inwards correspondence scanning and distribution (perhaps an instance of a workflow) Council is also looking for efficiency gains through use of complementary modules/software, including: website publishing support DOCS_n257193_v6_Request_for_Proposal_(RFP)_EDRMS_Replacement.doc Page 1 of 13

large/complex document management cloud storage or other services mobility The Submitter providing the EDRMS will: have an extensive track record in implementing and supporting enterprise EDRMS systems, preferably in local government support an active user group to share development, ideas and expertise. 4 Council Systems The following is a summary of Council systems currently in use. Submitters should highlight any potential issues related to the installation, operation or management of the proposed EDRMS. Gisborne District Council has approx 275 staff, 250 of which work in the main Fitzherbert St office in Gisborne. Other remote sites that will connect to the EDRMS via radio link include: Gisborne Vehicle testing station (3 admin staff) Olympic Pool complex (2 admin staff) HB Williams Memorial Library (8 staff) Te Puia Service centre (3 staff) Waikanae Holiday Park (4 staff) Councils file/print services are managed by Windows Server 2008R2 and user authentication is managed by Active Directory. Council s current EDRMS is Opentext 6.04 CU 4. This system stores metadata in a SQL server database and individual documents on a Windows file server. All components run in a VMWare VSphere 5 virtual environment (including SAN storage). Archives data is managed by a custom written Access database. Large format scanner and software are from Contex (Wideimage), and scanning/viewing software is from Onstream Trapeze. Council is currently undertaking a PC replacement programme and all PCs should be using Windows 7 and Office 2007 at the time of implementation. Email is managed using Microsoft Exchange Server 2007 with Outlook 2007 as the email client. Approximately 110 Wyse thin clients running VMWare View 5.1 will also be in use (Win7/Office 2007) although this number is likely to rise. Origen Ozone is Council s ERP system. It currently uses a Universe database (a full SQL version is being developed) but includes Ozone BI, a SQL Server 2005 data warehouse used for query and reporting. Ozone has 2 core databases contacts and parcels. Most information relating to Council s relationships with its citizens and ratepayers are associated to these core databases. Web services are the preferred method for integration with Ozone. Council s Geographical Information System (GIS) is based on ESRI s Arc suite of software. Council has also recently implemented the Geocortex Essentials web mapping system which uses ESRI ArcGIS Server technology. The intranet is built using the Sitecore Content Management System. Intranet documents are not duplicated but have EDRMS URL links embedded in intranet pages. DOCS_n257193_v6_Request_for_Proposal_(RFP)_EDRMS_Replacement.doc Page 2 of 13

5 Proposal information 5.1 Submitters are required to provide the following information in their response: A. Company details, experience and track record Including: Relevant, recent experience in implementing enterprise EDRMS systems o provide 3 examples of work of similar scope over last 5 years o provide 3 examples of managing projects on time, within budget with satisfied customers software support services o describe how user reported software faults and development requests are managed staff skills and experience research and development / future software road map reference site contact details user group o describe how different customers collaborate with each other to share expertise, training and provide input to product development. Also describe your company s role in this. B. Core functional requirements Appendix 1 is a list of functional requirements for the EDRMS. Submitters should provide relevant information for each category. An electronic copy of this RFP (including the appendices) is available on request. C. Complementary module/software requirements Appendix 2 is a list of additional requirements for the EDRMS. Submitters should provide relevant information for each category. D. Core EDRMS indicative pricing Estimates to fulfill core functional requirements should be based on 275 staff using the system. Approx 250 are full time staff, the rest part time and job share. Price should be broken down by: software project management data migration consultancy training disbursements. E. Complementary module/software requirements indicative pricing Price estimates to fulfill additional complementary requirements should be based on based on the same staff numbers and price categories as in D) above. F. Appendices Please provide relevant supporting documentation. DOCS_n257193_v6_Request_for_Proposal_(RFP)_EDRMS_Replacement.doc Page 3 of 13

6 Proposal Terms and Conditions 6.1 This document and subsequent correspondence from GDC that may vary/extend this document will be regarded as the the proposal in any contract that may be agreed upon between the GDC and the successful Submitter. 6.2 The submission of a Proposal will indicate that your company has agreed to abide by the conditions set out in this RFP. 6.3 Gisborne District Council reserves the right to: extend the time for lodgement of responses and/or to vary the timings and processes for this RFP invite new proposals and/or reject any proposals clarify requirements/responses with all or individual Submitters enter into discussions and /or negotiations with any one or more Submitters at any time and upon any terms and conditions. not accept the lowest price proposal. 6.4 Submitters Responsibilities: Failure to respond in the required format may render your proposal invalid and result in it being excluded from consideration. All costs associated with a Submitter s participation in the evaluation process are the sole responsibility of the Submitter. Responses must be received by the required dates. Responses received after these dates may be rejected and excluded from the evaluation process. Combinations of solutions or joint submissions are acceptable, but details of all parties, their roles, experience and track record must be clearly indicated in the response. The responding company must be prime Submitter Council will not deal with multiple parties for one proposal. 6.5 No advertisement, copy or statement relating to the submission, consideration, rejection or acceptance of any Proposal shall be published in any newspaper, magazine, journal or other medium without the prior approval of GDC. 6.6 All information contained herein is to be considered commercial in confidence. The Submitter must not disclose any confidential information to any other person without prior written consent from GDC. 6.7 Responses will be held in confidence, however Submitters should be aware that Council may be required to provide confidential information under the Local Government Official Information Act 1987. DOCS_n257193_v6_Request_for_Proposal_(RFP)_EDRMS_Replacement.doc Page 4 of 13

7 Proposal format and delivery 7.1 RFP responses must be received at Council no later than 4.00 pm, Friday 2 nd Nov 2012. 7.2 Proposals will be accepted in hard copy or electronic form. Hard copy should be addressed to: REQUEST FOR PROPOSAL: EDRMS Simon Jeune Gisborne District Council 15 Fitzherbert Street GISBORNE 4010 Electronic proposals should be sent via email to simonj@gdc.govt.nz It is the responsibility of the Submitter to ensure successful receipt of proposals before the closing date/time. 8 Timetable 8.1 The following timetable is included to provide an overview of the process GDC will follow to select a Submitter, and the key milestone dates. Note that dates are indicative and Council reserves the right to vary the timetable. RFP issued Tue 16 Oct 2012 RFP responses close (3 weeks) 4pm Fri 2 Nov 2012 Evaluation of responses, preferred Submitter shortlist By Thu 15 Nov 2012 Shortlisted and unsuccessful Submitters notified by phone Submitters product demo/ presentations, site visits and/or reference calls By Thu 15 Nov 2012 By Thu 29 Nov 2012 Final selection and preferred Submitter notified By Tue 4 Dec 2012 Details discussions and contract preparation with preferred Submitter By Thu 12 Dec 2012 Final approval and contract signed By Mon 17 Dec 2012 Implementation phase starts Mid late Jan 2013* # assumes management team approval * to be discussed with successful Submitter DOCS_n257193_v6_Request_for_Proposal_(RFP)_EDRMS_Replacement.doc Page 5 of 13

9 Evaluation and Selection Process 9.1 Responses will be evaluated using Weighted Attribute Method. 9.2 The evaluation process requires that each Submitter provide attribute information relating to categories nominated by the GDC. Each Submitter s attributes will then be graded and weighted according to the criteria list below. 9.3 The attributes and weightings are as follows: Attribute Weighting A. Company details, experience and track record 20% B. Core functional requirements (Appendix 1) 50% C. Additional complementary module/software requirements (Appendix 2) and product roadmap 5% D. Price (Core requirements, (Appendix 1) 20% E. Price (Additional module/software requirements (Appendix 2) 5% 9.4 Having scored the responses a short list of preferred Submitters will be created. This is expected to be three or less. All Submitters will be notified of this process by phone call and letter. 9.5 Shortlisted Submitters will be asked to prepare a demonstration of their software to management and staff. A detailed technical question and answer interview with the GDC EDRMS project team will also need to be scheduled. It is expected the demo/s would take one day and the interview at least half a day. 9.6 The GDC project team will reevaluate all information, including feedback from the demonstrations against the evaluation criteria. 9.7 Council may then select a preferred supplier(s) to commence negotiations with. 10 Acceptance of Proposal 10.1 Negotiations with the preferred Submitter do not imply nor commit Council to proceeding to a signed contract. Council reserves the right to stop negotiations at any time. Negotiations may then start with the next preferred Submitter. 10.2 If satisfied with a proposal, Council may then enter into a contract with the supplier. 11 Contacts 11.1 All queries relating to this RFP should be directed to: Simon Jeune Mike Drummond Email: simonj@gdc.govt.nz or mike.drummond@gdc.govt.nz Ph (06) 8672049 extn 8322 Ph (06) 8672049 extn 5424 11.2 Contact is only permitted with the staff listed above. Other contact with management, other staff members or elected members without permission is not allowed and may result in the proposal being rejected. DOCS_n257193_v6_Request_for_Proposal_(RFP)_EDRMS_Replacement.doc Page 6 of 13

Request for Proposal Electronic Document and Records Management System (EDRMS) 12 Appendix 1: Core functional requirements 1. Records Management 1.1 Describe the difference between documents and records (if any) and what this means for the design and operation of the system. 1.2 Describe the records management functionality of your software and how it meets the requirements of the Public Records Act 2005. 1.3 Describe how your software provides for the management of physical records (e.g. archives). 1.4 Describe how the system supports use of Council s records file plan. 1.5 What mechanisms are available to provide simpler/customized user views of a complex file plan? 1.6 Describe how the system supports restructuring folders (with existing documents) in an existing file plan to another area. 1.7 Describe the mechanisms by which metadata is/can be captured for hardcopy and electronic records. 2. Document processes 2.1 Describe the process for creating, drafting versions and storing a final document. 2.2 How is document collaboration/versioning/multi user editing managed by the system? 2.3 Describe how your system handles objects embedded in documents and documents linked to other documents e.g. Word document with linked Excel spreadsheets. 2.4 How does your software cater for bulk import of electronic documents? Please specify in terms of either importing from the network file system and e-docs (our existing EDRMS). 2.5 Describe how the system provides support for importing, describing and viewing images e.g. photographs on a camera. 3. Lifecycle Management 3.3 Describe how your software manages the lifecycle of records from creation to disposal. 4. Searching and Retrieval 4.1 Describe the search functionality in your software in detail. 4.2 Describe how security settings influence the result set e.g. would a user know a restricted file exists even if they cannot view it. 4.3 Describe how other web based systems can request a search and what is returned as a result of the search. 5. Access and Security 5.1 Describe the access control mechanisms available in your software. 5.2 Describe the security model/s available in your software e.g. container inheritance, individuals document, user/group etc. 5.4 Describe how your software provides access to documents based on security groups in Active Directory. 5.5 How does your software enable integration with our Active Directory to provide a single sign on? 5.6 How does your software record all actions and ensure unalterable audit/history functionality and reporting. 5.7 Describe any issues relating to staff changing roles/group or leaving the organisation in terms of access rights. 5.8 How does your software manage electronic signatures? 6. Integration 6.1 Describe what mechanisms are available to integrate with other systems/software. GDC require integration with Microsoft Office and a wide range of non Microsoft software. Other core system integrations required include Origen Ozone (Contacts, parcels, building consents), Geocortex DOCS_n257193_v6_Request_for_Proposal_(RFP)_EDRMS_Replacement.doc

Request for Proposal Electronic Document and Records Management System (EDRMS) Essentials web mapper, and SiteCore intranet. 7. Workflow 7.1 Describe all aspects of the proposed workflow system 7.3 Describe system monitoring available on workflow items 7.4 What reports are provided as part of the workflow? 8. System and Admin 8.1 What database does EDRMS use? What does the system store inside the database and what does it store outside the database and where? 8.2 What physical or logical limits does the system have e.g. file sizes, number of folders/containers/files 8.3 Please provide details on the server and workstation hardware and operating system software (including version and point release) configuration you recommend, based on a potential number of 275 users at the Council. 8.4 Describe any limitations/advantages on running the EDRMS in a virtual environment? GDC uses a VMWare VSphere 5 (including SAN storage) virtual server environment and VMWare View 5.1 virtual desktops. 8.5 What reporting functionality is available for users and system administrators without custom written SQL reports against system databases Appendix 2: Complementary modules/software requirements 1. Complementary modules/software 1.1 Describe how publishing documents to the web from the EDRMS is supported. 1.2 Describe how the system supports the user with authoring of very large complex documents. 1.3 Describe how your system can manage import/export and display of documents to users outside of EDRMS e.g. cloud. 1.4 How does the system allow for check out/ editing / versions when disconnected and reconnected to the EDRMS? 1.5 How does the system support use other devices remotely via internet or cellular networks? 1.6 Describe any other applications/modules relating to the core EDRMS that may offer value to Council in the future. DOCS_n257193_v6_Request_for_Proposal_(RFP)_EDRMS_Replacement.doc