REQUEST FOR PROPOSAL (RFP) ELECTRONIC DOCUMENT MANAGEMENT/WORKFLOW SOFTWARE

1525 Washington Street, West Charleston, WV 25387 REQUEST FOR PROPOSAL (RFP) ELECTRONIC DOCUMENT MANAGEMENT/WORKFLOW SOFTWARE Issued: February 12, 2016

Table of Contents PURPOSE OF THIS RFP:... 3 PROFILE OF THE AUTHORITY... 4 SPECIFICATIONS/STATEMENT OF WORK... 5 PROPOSAL CONTENTS: Proposals must include the following:... 6 CONTRACT EVALUATION... 6 CONTRACT REQUIREMENTS:... 7 PROPOSAL SUBMITTAL:... 8 Addendum A... 9 Specifications/Statement of Work... 9 CKHA Objectives and Requirements... 12 Addendum B... 16 Fee Schedule... 16 Addendum C... 17 DESIRED SYSTEM FUNCTIONALITY LIST... 17 Evaluation Criteria... 23 2

PURPOSE OF THIS RFP: Charleston Kanawha Housing Authority (CKHA) invites all interested vendors to submit proposals to provide software and services to meet the needs for a paperless electronic tenant record system. It is CKHA s intention to move to a paperless environment for all of its core processes. Since 85% of our paper documents relate to tenant processing, that is our primary focus. However, we expect to remove paper from most of our other processes as well, including Accounts Payable, Contract Administration, Procurement, Human Resources and other back office processes. Note that paperless refers to dramatically minimizing the use of paper in our processes. We do not expect to completely eliminate the use of paper. We do expect the solution to address process, and improve workflows, and therefore the objective is not simply to eliminate file cabinets by scanning documents after the fact. 3

PROFILE OF THE AUTHORITY The Charleston Kanawha Housing Authority is located in Charleston, West Virginia. CKHA is a public agency, which provides housing assistance to the low income residents of Kanawha, Putnam and Clay Counties. CKHA is governed by a five member Board of Commissioners appointed by the Mayor of the City of Charleston, with two commissioners being recommended by the Kanawha County Commission. A Chief Executive Officer is appointed by the CKHA Board and is responsible for managing the daily operations of the agency with a budget of approximately $25 million and a staff of 80. CKHA owns and/or manages 1,241 public housing units at 12 different sites. CKHA also has approximately 3,017 Housing Choice vouchers. The Housing Management software that CKHA uses is HAB. Attention is called to the Equal Employment Opportunity and Affirmative Action Provisions and Requirements of all contracts entered into by the Charleston Kanawha Housing Authority. All Proposals will be considered without regard to race, color, religion, sex, national origin, age, marital or veteran status, the presence of a non job related medical condition or handicap, or any other legally protected status. The Charleston Kanawha Housing Authority is an Equal Opportunity Employer. 4

SPECIFICATIONS/STATEMENT OF WORK Specifications that are applicable are attached in Addendum A. The proposed solution should address the key technologies and functionality, including but not limited to: Document Management o File creation o Document filing o Document indexing o File retrieval Electronic Records Management o Records and Information Management Alerts o Retention and Disposition Schedules Workflow o Document Routing o Serial and parallel task flows o Electronic Forms o Noticeboard/dashboard concept for task management and workflow balancing Imaging o Document Recognition Content Security Search Features Browsing/Folders Integration/Interoperability with our Housing Authority Management System (HAB) 5

PROPOSAL CONTENTS: Proposals must include the following: Price to complete the project (include attached FEE SCHEDULE) including System software and licensing, Equipment costs, Installation and configuration costs, Training costs, 1st through 3rd Year software maintenance, and all other costs. Project time line (anticipated start date and duration) Answers to all questions on attached document (DESIRED SYSTEM FUNCTIONALITY LIST). Housing Authority References (3) minimum Signed Certification and Representations of Offerors HUD form 5369c (attached); (see instructions HUD form 5369b.) These forms are available on line. Signed Non Collusive Affidavit and Hold Harmless Agreement (attached). Acknowledgement that the Bidder has read and will comply with the regulatory requirements in the General Conditions, HUD form 5970 EZ, which includes, but is not limited to the payment of wages and benefits in accordance with the Davis Bacon Act. Statement of Compliance with HUD Section 3 Original Proposal and three (3) copies must be submitted CONTRACT EVALUATION CKHA is exempt from sales and use taxes. Bidders may eliminate these taxes from the cost of supplies and materials included in their bids, if they will be purchased in our state. Only supplies and materials purchased specifically for the CKHA project are eligible for the tax exemptions. CKHA will provide a copy of its tax exemption certificate. CKHA only contracts with vendors that are qualified to perform the work at the sole discretion of CKHA. CKHA will not contract with any firm or person that is listed on federal debarment lists. References will be checked on the top bidders. Right to reject, waive, or terminate the RFP: CKHA reserves the right to reject any or all proposals, to waive any informality in the RFP process, or to terminate the RFP process at any time, in its sole and absolute discretion if deemed by CKHA to be in its best interests. 1. Right to Not Award. CKHA reserves the right not to award a contract pursuant to this RFP or to any firm or person with a history of poor performance on projects performed for CKHA at the sole opinion and discretion of CKHA. 2. Right to Terminate. CKHA reserves the right to terminate a contract awarded pursuant to this RFP, at any time for its convenience upon five (5) days written notice to the successful Bidder(s). 3. Right to Determine Time and Location. CKHA reserves the right to determine the days, hours and locations that the successful Bidder(s) shall provide the services called for in this RFP. 6

4. Right to Determine Financial Responsibility and Viability. CKHA reserves the right to require of Bidder information regarding financial responsibility and viability or such other information as CKHA determines is necessary to ascertain whether a proposal is in fact the lowest responsive and responsible proposal submitted. 5. Right to Retain Written Proposals. CKHA reserves the right to retain all written proposals submitted to CKHA by all Bidders in response to this RFP, and not permit withdrawal of same for a period of 60 calendar days subsequent to the deadline for receiving said proposals. CKHA may permit the withdrawal of proposals when requested in writing by the Bidder and such request is approved in writing by the CKHA Chief Executive Officer (CEO) in his/her sole and absolute discretion. 6. Right to Reject Any Proposal. CKHA reserves the right to reject and not consider any proposal that does not meet the requirements of this RFP, including but not limited to incomplete proposals and/or proposals offering alternate or non requested services. 7. No Obligation to Compensate. CKHA shall have no obligation to compensate any Bidder for any costs incurred in responding to this RFP. 8. Right to Prohibit. CKHA shall reserve the right to at any time during the RFP or contract process to prohibit any further participation by a Bidder or reject any proposal submitted that does not conform to any of the requirements detailed herein. In no event will CKHA permit modification to a Proposal after submission. CONTRACT REQUIREMENTS: The successful bidder will enter into a contract with CKHA. Contractors are responsible for compliance with CKHA s contract and all applicable local and federal regulations by themselves and by their sub contractors. The funds used for this project were derived from federal funds; therefore certain regulatory requirements will be included in the contract, including the requirement for the payment of Davis Bacon Wages, which are covered in the General Contract Conditions HUD form 5970 EZ. Contractors must obtain the minimum insurance requirements, including workers compensation insurance and show evidence of such coverage before a contract will be executed. Proposals submitted must remain open for a period of 90 days from the date of the opening of proposals. All blanks and certification in the RFP packet must be completed and the authorized representative must sign the proposal. All proposal prices shall be itemized and be on a firm fixed price and are not subject to adjustment based on cost incurred. Contractors are required to execute all forms in the RFP package. Contractor shall demonstrate professional qualifications of the firm/company and evidence of the ability to perform the work, as indicated by staff profiles, client lists and references. 7

Contractor shall obtain and pay for all permits, certificates and licenses required and necessary for the performance of the work specified herein, shall post notices required by law and shall comply with all laws, ordinances and regulations bearing on the conduct of the work. PROPOSAL SUBMITTAL: ALL PROPOSALS MUST BE RECEIVED IN WRITING BY March 4, 2016 2:00 p.m. EST Proposals may be submitted by mail or hand delivery in a sealed envelope to: Charleston Kanawha Housing Authority ATTN: Jeff Knight, Chief Operations Officer 1525 Washington Street, West Charleston, WV 25387 Questions regarding the RFP or scope of work may be submitted up to 4:00 p.m. EST. on February 26, 2016. A list of questions received and their answers will be provided to each firm that requested a RFP package. Submit questions to jknight@ckha.com. 8

Addendum A Specifications/Statement of Work Overview CKHA invites all interested vendors to submit proposals to provide software to meet the needs for a Document Management/Workflow System paperless Electronic Tenant Record system. The proposed solution should address the key technologies and functionality, including but not limited to: Document Management o File creation o Document filing o Document indexing o Document and Data Linking o File retrieval Electronic Records Management o Retention and Disposition Schedules Workflow o Document routing o Serial and parallel task flows o Electronic forms o Noticeboards/Dashboards for Task Assignment and Management (HAB) Imaging o Document Recognition Content Security Search Features Browsing/Folders Integration with our Housing Authority Management System CKHA initially plans to implement the selected system in its Housing Choice Voucher and Public Housing Programs. Current participant files Finance, including: o Requisitions o Contracts o Accounts Payable o Receiving Documents o Human Resources 9

CKHA is seeking a solution that will address the key requirements for the programs' processes including document management, imaging, content security, search, and folders; and can address broader Enterprise Content Management requirements in the future. One of the key requirements is the proven ability to integrate the proposed solution with our housing authority business software (HAB). It is expected that all proposals include formal training and include qualified software support for three (3) years following successful implementation as determined by CKHA. Current Environment Major Application Software o HAB Users o Housing Choice Voucher: Administrative Office o Public Housing: 12 sites o Finance/Administrative: Administrative Office o Maintenance: Administrative Office Documents CKHA currently stores documents on and off site. Estimated documents on site to be included in document management system: Housing Choice Voucher Program: Current participants, current year: 3,080 files o Initial lease up: 170 pages per new admission (estimate 400 number of new admissions per year) o Annual recertification: 90 pages per participant per year o Annual inspection: 15 pages per inspection per year o Other inspections: 15 pages per inspection per year o Interim certification: 25 pages per interim o Move: 130 pages per move o Termination: 15 pages per termination o Other actions/documents: 20 pages per participant o Annual Growth: 20% participants Backlog Scanning: 700 files o Current participants: Last action: 250 pages per participant Property Management: Current residents: 1245 files o Initial lease up: 150 pages per new admission (estimate 30 number of new admissions per year) o Annual recertification: 90 pages per resident per year 10

Annual inspection: 5 pages per inspection per year, 2 inspections per year o Interim certification: 25 pages per interim o Transfer: 100 pages per transfer o Eviction: 15 pages per eviction Backlog Scanning: o Current Residents: Last action: 250 pages per resident Finance: Invoices: estimate 1600/month 11

CKHA Objectives and Requirements CKHA s key objectives for the project are: Minimize or eliminate the use of paper in our key processes Automate and manage our key processes through configurable workflows Minimize or eliminate manual data entry tasks Ensure compliance with all regulatory, statutory and voluntary requirements The following are requirements to achieve our objectives. If selected as one of the top 3 bidders, vendor must anticipate demonstrating any or all of the following: The proposed solution should use nonproprietary file formats (documents are stored in an "open" format allowing us to connect it to another system) and be scalable (system can support 1 user or 1,000 users without major changes.) Streamline the processing of documents and information, including the ability to automatically capture the following document types: inbound emails and attachments, faxes, scanned images, existing electronic documents, other paper documents such as: applicant, client, resident and landlord records, requisitions, inspections, quotes, invoices, vouchers, employee records, etc. and to store the captured objects (image/documents) by indexing into a single, electronic repository which allows the retrieval of the objects from anywhere via WAN, LAN, VPN, intranet or internet (any TCP/IP Route) Automatically link/associate documents with related documents and data (i.e. 50058 s with supporting documents) Provide an Enterprise Content Management System (ECM) solution integrated with core business and operations applications without requiring additional programming. Provide options for both programmatic and non programmatic integration to other business and operations applications without requiring additional software. Provide direct access to documents from the display of business and operations applications (primarily, HAB but others possible) through some form of application enabler. Provide automated generation of document packets (i.e. recertification packets) Provide automated document checklists for key processes (applications, move outs, etc.) with alerts and checklists for late/missing documents Provide users with simple electronic access to documents, records and information using existing folder concepts. Retrieval sorting requirements include retrieval by name, social security number, tenant number, address, action and document, including but not limited to the following specific tasks: o Section 8 Programs New Lease Up o Application 12

o Request for Tenancy Approval o Landlord documents o Verifications o Calculation worksheet o HUD Form 50058 o HUD Form 9886 o HUD Form 92006 o Rent reasonableness o Rent burden o Lease o HAP Contract Annual recertification o Application o Verifications o Calculation worksheet o HUD Form 50058 o HUD Form 9886 o HUD Form 92006 Inspections o Annual o Booklet o Letters/certifications/extensions o HUD FORM 50058 o Initial o Booklet o Letters/certifications/extensions o HUD FORM 50058 o Special/complaint o Booklet o Letters/certifications/extensions o HUD FORM 50058 o Quality control o Booklet o Letters/certifications/extensions o HUD FORM 50058 Interim certification o Application o Verifications o Calculation worksheet o HUD Form 50058 o HUD Form 9886 Move 13

o Notice o Request for Tenancy Approval o Landlord documents o Calculation worksheet o HUD Form 50058 o HUD Form 9886 o Rent reasonableness o Rent burden o Lease o HAP Contract Rent increase o Notices o Rent reasonableness o Rent Calculation o HUD Form 50058 o Lease o HAP Contract (if applicable) Termination o Termination letter o Termination documentation o Hearing letters Other forms o Vouchers o Extensions o Birth certificates o Social security cards o Citizen forms o Reasonable accommodations Communication o Letters o Property Management Programs o Finance Provide our staff with access to documents from anywhere via WAN, LAN, VPN, intranet or internet (any TCP/IP Route). Print to any print device, a standard desktop or network printing service. Ability to import any document, report or other content that is printable from a Windows Application directly into the Document Management System Allow distribution of the captured objects via print, fax or email. Create quality images of handwritten or electronically created documents. Provide audit capabilities such as who viewed, deleted, changed, annotated, faxed, printed or re indexed an object, where the user connected from, and when the user performed the action. 14

Enabling filtering, searching and reporting for audits. Provide access control with internal security or Active Directory single sign on. Provide concurrent user licenses for accessing the Document Management System. Provide one (1) license for testing purposes for future use. Provide ability to create dynamic electronic forms to use as forms and as part of a workflow process. Provide scanning/imaging capability with automatic identification/recognition of different types of documents Provide desk side electronic signature capture Provide secure, digital signatures for HAP contracts, etc. Provide remote access to documents for specific processes from an ipad or Android tablet with the ability to capture signatures electronically 15

Addendum B Fee Schedule Contractor shall furnish all facilities, labor, materials, equipment, and perform all work as specified on the Fee Schedule and Specifications: ITEM UNIT PRICES: Imaging system software and licensing $ Equipment $ Installation and configuration $ Training $ 1st Year software maintenance $ 2nd Year software maintenance $ 3rd Year software maintenance $ Other costs (describe below) $ In addition to the above pricing, prompt cash payment discount of % days, or net 30 days is submitted. 16

Addendum C DESIRED SYSTEM FUNCTIONALITY LIST 1. Document Imaging and Capture 1.1. Does your system provide the ability to handle documents of mixed types, sizes and conditions? 1.2. Does your system provide support for leading scanners and input devices? 1.3. Does your system provide image enhancement features? 1.4. Does your system provide the ability to capture color documents? 1.5. Does your system provide the ability to integrate with leading capture systems? (PDF) 2. Indexing 2.1. Does your system support fielded indexing? 2.2. Does your system support full text indexing? 2.3. Does your system provide indexing from external data sources, in particular from our Housing Management system? (HAB) 2.4. Does your system provide for auto fills of index values? 2.5. Does your system support bar coding, both generation of the barcode and creation of the barcode? 2.6. Does your system provide heads up indexing support for images, i.e. split screen indexing, with image on one side and the index field on the other side? 2.7. Does your system provide automated data capture, i.e. zoned optical character recognition / intelligent character recognition support for index extraction, barcode recognition, etc., as well as manual indexing and data entry? 2.8. Does your system provide the ability to provide full audit trail for all changes to indexing information? 2.9. Does your system provide the ability to modify existing indexes? 3. Document Management 3.1. Does your system provide a single logical repository for documents (accessed by multiple users in multiple on site or remote locations? 17

3.2. Does your system provide the ability to store all object types, including document images, document and desktop files, PDF, JPEG, TXT RFT, photos, videos, audio, email? 3.3. Does your system support check in/check out? 3.4. Does your system offer version control? 3.5. Does your system provide for annotations and redactions with security? 3.6. Does your system offer major and minor versions? 3.7. Does your system provide the ability to support published versions (finalized available for public viewing) versus non published versions (editable, only available to users with rights)? 3.8. Does your system provide a missing documents checklist? 4. Records Management 4.1. Does your system provide support for reliable retention of documents in accordance with relevant regulations/best practices? 4.2. Does your system provide the ability to ensure timely disposition (disposal) of documents in accordance with relevant best practices (keeping an audit of all record destructions, providing certifiable proof of destruction)? 4.3. Does your system provide the ability to notify administrators or managers when disposition or migration is called for? 4.4. Does your system provide the ability to define retention and disposition schedules (which are monitored to ensure compliance)? 4.5. Does your system provide the ability for users (with rights) to declare documents or content as records, add them to the records repository, and assign status to prevent destruction? 4.6. Does your system provide security over electronic records to ensure trustworthiness so it can be upheld in court, i.e. appropriate backups, security, version control, retrieval capabilities, access control? 5. Content Security 5.1. Does your system provide the ability to set security at the user and group levels? 5.2. Does your system provide the ability to limit what users can see and to do based on security level? 5.3. Does your system provide the ability to provide access to previous document versions, based on security? 18

5.4. Does your system provide the ability to maintain audit log for user changes (i.e. index or document changes)? 5.5. Does your system provide support for single sign on environments? 5.6. Does your system provide support for security access control down to the document and annotation levels? 6. Search 6.1. Does your system support search and retrieval from browser based interfaces? 6.2. Does your system support search and retrieval from thick and thin client interfaces? 6.3. Does your system provide the ability to support multi attribute search? 6.4. Does your system provide the ability to save searches and to share saved searches with other individuals, groups and departments? 6.5. If your system has notes capability, are they searchable as well? 7. Integration with Existing Systems/Applications 7.1. Does your system provide integration with Microsoft Office Suite? 7.2. Does your system integrate with our housing authority management software (HAB ) at both the data and user interface levels? 7.3. Does your system provide documented, standards based application programming interfaces (APIs)? 7.4. Does your system integrate with X s letter and form generation module for automated filing and indexing? 8. Browsing/Folders 8.1. Do you allow the same document to be a member of multiple folders? 8.2. Can you replicate our existing physical file folder structure with sections depending on program type? (i.e. HCV, PH, FSS, Tax Credit, etc.) 8.3. If a document resides in multiple folders, is the document replicated or is it cross referenced? 8.4. Can folders and sub folders be auto created when new documents are added? 8.5. Can we search folders for a list of missing documents? 19

8.6. Can notes be added to folders? 8.7. Can folders be moved, copied and re ordered? 8.8. Can new folders be auto created based on dates? For example, a year 2017 folder will be created when we start the new year? 9. Workflow 9.1. Does your system provide the ability to support advanced routing logic within work processes? 9.2. Does your system support configurable workflows by program type (i.e. recertification process for PH vs HCV)? 9.3. Does your system provide the ability to route images, documents or work items based on any available index criteria? 9.4. Does our system provide the ability to support both serial and parallel routing? 9.5. Does your system provide the ability to generate notification for high priority, escalations, pending and overdue work items? 9.6. Does your solution provide the ability for users to draw from a shared queue of work tasks? 9.7. Does your solution provide the ability to integrate with other systems for notification of pending work tasks, i.e. email, etc.? 9.8. Does your system provide the ability for users to digitally sign a work item or document? 9.9. Does your solution provide the ability for users to specify delegates to complete their work tasks when they are unavailable? 9.10. Does your system provide visibility into different users tasks and workloads by managers for work balancing and metrics? 10. Licensing, Support and Maintenance 10.1. Is your support offered as a service on a subscription basis as well as a perpetual license? 10.2. Will your organization provide software maintenance? 10.3. What is included in the standard maintenance contract? 10.4. Is maintenance provided by third parties or your own personnel? 10.5. How often does your organization update and upgrade the software? 10.6. How long are previous releases supported? 20

10.7. Are new releases backward/forward compatible? 10.8. Do you provide customer support? 10.9. What level of support do you provide? 10.10. What hours is your Technical Support department available for support? 10.11. How quick are the normal response times? 10.12. Will you provide off hours support? 10.13. What if we need to contact you after regular business hours? 10.14. How do you solve problem isolation and identification procedures? 10.15. What are your problem escalation procedures? 10.16. How do you release new software versions and updates? 10.17. How are these new releases installed? 10.18. How often if the typical release cycle? 10.19. Is any third party software included in the system that is being proposed? 10.20. Does your system provide on line help? 10.21. Does it provide it at the field entry level? 10.22. Does your system provide a way for customers to create their own on line help? 10.23. What documentation is provided with your system: user, administration, operational? 10.24. What format is the documentation in? 10.25. Does your system have a backup/restore utility? 11. Training 11.1. Is training provided as part of the system? 11.2. Where is the training conducted? 11.3. What administrative training is required? 11.4. What user training is required? 11.5. What training courses are recommended before implementation? 21

12. Hardware Requirements 12.1. Where will the primary software (i.e. main database) be installed (server, web based server, individual PC s)? 12.2. What are the specifications for the server, if applicable? 12.3. What are the hardware (server, storage, scanner, other) requirements? 12.4. Can network scanners or multifunction printer/scanners be used? 12.5. What are the Third Party software requirements, (Server OS, Database, capturing software), for the initial projects? 12.6. Does the software have a client side? 12.7. If so, does each client need to be upgraded with each software release? 12.8. Can the software be upgraded / installed automatically? 12.9. Is consulting included as part of the purchase price? 12.10. What consulting is covered? 12.11. How many hours of consulting are included? 12.12. At what level can you recover: system, module, index, other? 12.13. How are installation and initial set up handled? 22

Evaluation Criteria The Charleston Kanawha Housing Authority reserves the right to accept or reject any or all proposals, or to waive any formalities. The Authority may, at its option, decide to reject all proposals. The Authority reserves the right to make an award based on the proposals for the software/system that in its determination best fits its needs and or to negotiate further with one or more vendors. The vendor selected for the award will be chosen on the basis of greatest benefit to the Authority, not necessarily on the basis of lowest price. To determine the vendors to further evaluate, the Authority will review and rank all proposals against the following criteria. Evaluation Criteria Points Possible Functionality a. Document imaging/capture 0 5 pts. b. Indexing 0 5 pts. c. Document management 0 5 pts. d. Records management 0 5 pts. e. Content security 0 5 pts. 0 55 f. Search functions 0 5 pts. g. Integration 0 10 pts. h. Browsing/folders 0 5 pts. i. Workflow 0 5 pts. j. Hardware requirements 0 5 pts. Cost 0 15 Licensing/Support/Maintenance/Training 0 15 Vendor Qualification/Experience/Capability 0 10 Implementation Work Plan 0 5 Score 100 23