Transcription
Document Management SystemRequest for ProposalOn Behalf of a Dataprise Client
1Statement of Work . 41.1Purpose . 41.2Coverage & Participation . 42General Information . 42.1The Company. 42.2General Requirements . 42.3Existing Technology Environment . 52.4Schedule of Events . 63Proposal Preparation Instructions . 73.1Vendor’s Understanding of the RFP . 73.2Good Faith Statement . 73.3Communication . 73.4Proposal Organization . 93.5Proposal Submission . 103.6Method of Award . 103.7Selection and Notification . 104Scope of Work, Specifications & Requirements. 114.1Compliance and Litigation Defense Requirements . 114.2IT Efficiency Requirements . 124.3Process-Oriented Business Efficiency Requirements . 124.4Knowledge-Oriented Efficiency Requirements . 134.5Architecture . 144.6Operations & Support . 145.Budget & Estimated Pricing. 156.Vendor Certification . 16Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/20202
7.8.Appendix A: Instructions for Completing the Requirements Worksheet . 177.1.Vendor Responses . 177.2.Priorities . 177.3.Expectations . 17Appendix B: Instructions for Completing the Cost Breakdown Worksheet . 17Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/20203
1 Statement of Work1.1PurposeThe purpose of this Request for Proposal (RFP) is to invite prospective vendors to submit a proposal tosupply Document Management Solution(s) (DMS) to a Dataprise client (the “Company”). The RFP providesvendors with the relevant operational, performance, application, and architectural requirements of the system.1.2Coverage & ParticipationThe intended coverage of this RFP, and any agreement resulting from this solicitation, shall be for the use ofall departments at the Company along with any satellite offices. The Company reserves the right to addand/or delete elements, or to change any element of the coverage and participation at any time without priornotification and without any liability or obligation of any kind or amount.2 General InformationIndustryProducts/Services OfferedCustomer TypesSectorMajor Drivers for DMSRelevant ComplianceRegulationsPower, ElectricityResearch & Development; FuelsB2B, B2G, GPrivate Compliance Improved collaboration Automation of business processes Sarbanes-Oxley NQA1 NRC, 10CFR50 Appendix B2.1 The CompanyThe Company name and any further detail will be withheld until the final round and will be preceded by anexecuted nondisclosure agreement.The Company has a remote staff of less than 50, located domestically and abroad.2.2 General RequirementsCurrently, document management is inefficient and difficult to standardize at the company. Workflowsdepend on individual staff members knowing which business process to follow and what function they performfor each workflow. Regulatory audits take place annually, but due to current state, the audits take too muchtime away from staff which could be better spent carrying out their regular job functions.Company stakeholders are looking to improve business efficiency, better assure regulatory complianceacross all aspects of the business, and to have a more transparent view of their documents and workflows.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/20204
The Company is looking for a Document Management System that partially automates workflows, maintainsrigorous security standards, has an ability to provide requisite reporting that supports audits, and can becustomized to meet the Company’s needs.2.3Existing Technology EnvironmentThe following is a listing of our current technology environment as it relates to this RFP and includesassociated data where pertinent. The Company follows a “cloud-first” strategy; as a result, the Company isnow a serverless environment.EmailFile StorageFile TypesProductivity AppsDesktop OSMobile StandardIdentity &AuthenticationSecurity Standards O365 E3 Exchange Online O365 E1 OneDrive (utilizing 25 GB) SharePoint (utilizing 5 GB) Egnyte Microsoft Suite AutoCAD Computer Simulation Outputs O365 E3Windows 10No standard & BYODAzure AD (as leveraged by O365) & Single Sign On (SSO) also implementedNo formally adopted standard. Current measures include managed patching, antivirus, anti-malware, anti-spam; end-to-end encryption for cloud applications andservices; multifactor authentication; centralized identity managementDataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/20205
2.4 Schedule of EventsThe following is a tentative schedule that will apply to this RFP but may change in accordance with theorganization’s needs or unforeseen circumstances.Dates are effective through 11:59pmEVENTIssue RFPIntention to BidDeadline for Submitting QuestionsQuestion ResponsesDeadline for Submission of ProposalsProposal EvaluationsOral PresentationsVendor SelectionAward of ContractDataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/2020DATEOctober 25, 2021Friday, November 12, 2021Monday, November 15, 2021Wednesday, November 17, 2021Sunday, December 5, 2021Monday, December 6 – Friday, December 17, 2021Monday, December 27, 2021 – Friday, January 7, 2022Friday, January 14, 2022Friday, January 21, 20216
3 Proposal Preparation Instructions3.1Vendor’s Understanding of the RFPIn responding to this RFP, the vendor fully accepts the responsibility to understand the RFP in its entirety, andin detail, including making any inquiries to the Company’s representative as necessary to gain suchunderstanding. The Company reserves the right to disqualify any vendor who demonstrates less than suchunderstanding. Further, the Company reserves the right to determine, at its sole discretion, whether thevendor has demonstrated such understanding. That right extends to cancellation of award if award has beenmade. Such disqualification and/or cancellation shall be at no fault, cost, or liability whatsoever to theCompany.Each proposal must state that it will remain valid for a minimum of sixty (60) days after the submittal deadlineto allow time for evaluation, selection, and any unforeseen delays.3.2Good Faith StatementAll information provided by the Company in this RFP is offered in good faith. Individual items are subject tochange at any time. The Company makes no certification that any item is without error. The Company is notresponsible or liable for any use of the information or for any claims asserted therefrom.3.3CommunicationVerbal communication shall not be effective unless formally confirmed in writing by the Company contact incharge of managing this RFP process. In no case shall verbal communication govern over writtencommunication.Vendors’ inquiries, questions, and requests for clarification related to this RFP are to be directed via email to:Attention:E-mail:Tara BartelsRFP-DMS@dataprise.comApplicable terms and conditions herein shall govern communications and inquiries between the Company andvendors as they relate to this RFP.Informal Communications shall include, but are not limited to: requests from/to vendors or vendors’representatives in any capacity, to/from any Company employee or representative of any kind or capacity withthe exception of Tara Bartels for information, comments, speculation, etc. Inquiries for clarifications andinformation that will not require addenda may be submitted verbally to the party named above at any time.Formal Communications shall include, but are not limited to: Questions concerning this RFP.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/20207
Errors and omissions in this RFP and enhancements: Vendors shall bring to the Company anydiscrepancies, errors, or omissions that may exist within this RFP. With respect to this RFP, vendorsshall recommend to the Company any enhancements that might be in the best interests of theCompany. Inquiries about technical interpretations must be submitted in writing. Verbal and/or written presentations and pre-award negotiations under this RFP. Addenda to this RFP.The Company will make a good-faith effort to provide a written response to each question or request forclarification within 2 business days.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/20208
3.4 Proposal OrganizationThe following information must be submitted with the response, presented as a checklist for yourconvenience:oIntroduction and respondent informationoVendor NameoVendor DescriptionoPhysical AddressoMailing AddressoPhone NumbersoEmail address for primary contactoProposed servicesoProposed project teamoExperience and qualificationsoRequirements ValidationooCost proposalooThe proposal must include a section validating that all documented requirements containedwithin this RFP have been considered and addressed. Documented requirements areidentified in Appendix A: Requirements, which includes instructions.The proposer must submit a comprehensive cost proposal. The proposal should addresscosts associated with this implementation and note the milestones upon which paymentwould be anticipated. The proposer is to include any relevant services or products that couldbe provided to the Company that is not priced in this proposal but that will enhance the valueadded. A fixed-price engagement is strongly preferred and assumptions necessary toprovide the cost breakdown should be clearly identified.TimelineoThe proposer must submit a comprehensive schedule for implementation. The proposalshould address all high-level tasks and milestones. Please provide specific dates wheneverpossible. If specific dates cannot be identified, please include the duration of each task. Allassumptions necessary to provide the schedule breakdown should be clearly identified.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/20209
oReferenceso3.5Please provide three (3) references for previous customers who generally fit the Company’sdemographic and who have carried out a similar project.Proposal SubmissionProposals must be submitted in PDF form to:Tara BartelsRFP-DMS@dataprise.comon or prior to Sunday, December 5, 2021. The Company shall not accept proposals received by any methodother thanemail.3.6Method of AwardThe evaluation of each response to this RFP will be based on its demonstrated competence, compliance,format, and enterprise. The purpose of this RFP is to identify those suppliers that have the interest, capability,and financial strength to supply the Company with DMS solution(s) identified in the Scope of Work.Evaluation Criteria:1.Capability of vendor to meet or exceed requirements set forth in Scope of Work.2. Expressed interest in working with the Company and ability of vendor to communicate its vision andcapacity for establishing a relationship that addresses current and future needs and trends in theindustry.3. Affordability of product(s) and support available from vendor as well as any related professionalservices.3.74.Financial stability of vendor.5.Apparent likelihood and desirability of proposed software.Selection and NotificationVendors determined by the Company to possess the capacity to compete for this contract will be selectedto move into the vendor demonstration phase of this process. Written notification will be sent to thesevendors via email. Those vendors not selected for the vendor demonstration phase will not be notified.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/202010
4 Scope of Work, Specifications & Requirements4.1Compliance and Litigation Defense Requirements1.Document Management: Legal functions Describe functions for expungement, retention requirements, e-discovery, litigation hold, andother legal considerations of the DM system.2.Document Management: Standards Does the solution meet DoD 5015.2-STD (“Design Criteria Standard for Electronic RecordsManagement Software Applications”) requirements? What other standards does it meet?3.Document Management: Support materials access Describe how users and administrators access DM materials such as system information, fileplans, security authorizations, and disposition instruction.4.Document Management: metadata Describe how the DM solution maintains metadata.5.Document Management: metadata capture Describe how the system automatically captures metadata form scanned documents orrecords.6.Document Management: Admin filing plan creation Describe how an administrator creates filing plans and disposition instructions.7.Document Management: User record submission Describe how a user can submit records or documents to the system.8.Document Management: over-writing prevention How does the system prevent over-writing of existing documents or records?9.Document Management: audit trails Describe the system’s ability to maintain audit trails on relevant documents and records.10. Document Management: access How does the system control access to relevant documents and records?11. Document Management: search Describe the search functionality available within the solution.12. Document Management: destruction Describe how the system maintains destruction records, provides proof of destruction, anddeletes records in such a way that they can’t be rebuilt or retrieved.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/202011
13. Document Management: external management Describe how the system works with other repositories or transactional systems to improveoverall maintainability (e.g., other repositories, SharePoint, etc.).14. Litigation defense: archiving Describe how the system archives content to improve litigation defense.15. Litigation defense: auditing Describe how the system enables administrators to conduct proactive audits of archivedcontent to ensure adherence to policy.16. Litigation defense: e-discovery Describe how the system enables administrators and legal representation respond to ediscovery requests. Includes considerations of discovery, communication, and mattermanagement.17. Intellectual property protection Describe how the system protects records and documents as they are moved beyond theinternal network.4.24.3IT Efficiency Requirements1.Storage consolidation Describe how the system enables storage consolidation and archiving2.Business unit enablement Describe how the system enables users within business units to create templates andworkflows without assistance from the IT department.3.Data discovery Describe how the system discovers and profiles content resident in other repositories, fileshares, etc.4.Data portability Describe the data portability of the Company’s data once live in your solution.Process-Oriented Business Efficiency Requirements1.Document captureDataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/202012
2.Business Process Management (BPM)o Describe the BPM capabilities of the solution. Include consideration of: Standard processes. How work queues are created. Tools used to create, access, and monitor workflows. Common routing configuration such as ad-hoc, administrative, etc.BPM Monitoringo Describe how workflows and activity queues are monitored.4.Process Integrationo Describe the system’s integration with other transactional systems such as cloud storage andcollaboration tools.3.4.4Describe how incoming documents are captured. Include consideration of faxes, e-mail, andprint.Knowledge-Oriented Efficiency Requirements1.Library serviceso Describe the library services available in the Document Management (DM) solution. Includeconsiderations of: How to import or upload documents into the repository. How users access the documents. Document version control. The security model.2.Meta-datao Supported meta data standards.3.Application supporto Support for productivity applications such MS Office. Include consideration of open-sourceproducts such as OpenOffice.org and industry-relevant applications (e.g., AutoCAD, etc.).4.Searcho Describe the supported search functionality. Note any partnerships or other relevant details.5.Formal taxonomyo Describe the product’s support for automated or formal taxonomy creation.6.Collaborationo Describe collaboration features of the DM system. Include consideration of instantmessaging, web conferencing, etc. Note any relevant partnerships with other technologyvendors.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/202013
4.54.6Architecture1.Storage extensibilityo Describe the system’s ability to support new functionality and the ease at which this isachieved.2.Content systems supportedo Describe other content systems supported, including SharePoint and instant messagingplatforms.3.E-mail platforms supportedo Describe supported e-mail platforms (e.g., Exchange, Notes, Groupwise), supported bythe solution, as well as capture within the platform (e.g., e-mail, tasks, all).4.Scalabilityo How many concurrent users can be supported on this system?5.Software-as-a-service, on-premises, managed hosting, virtual machine or applianceo Identify if this is a software-as-a-service solution, a managed hosted solution, a traditionalon-premises application, virtual machine (e.g., pre-packaged VM for VMWare), or anappliance.Operations & SupportDescribe how you work with clients to deliver services and/or products.1.Customer supporto Do you provide toll free customer support 24 hours, seven days per week? Please specify allpaid support options.2.User manualso Do you provide a complete set of user manuals for all software applications to document andexplain system features and functions?3.Implementation supporto Do you provide complete turnkey on-site implementation and project management support?Please specify which support will be included and which is provided for an additional fee.Also specify whether support is available direct from vendor or provided through a partner.4.Trainingo5.Describe the type of training provided to administrators. Specify whether training is availabledirect from vendor or provided through a partner.Software updateso Do you provide future software releases and updates to all applications as part of regularsoftware maintenance fees?Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/202014
ooFor on-premises solutions, please specify software update process and typical time betweenreleases.For off-premises and appliance solutions, please specify standard update cycle.The Company has a total budget of 75,000 for this implementation project.All vendors must fill out the Appendix B cost breakdown for the implementation of their Document Managementsolution for the Company’s project as described in this RFP. Costs should be identified as either capital or noncapital in nature. The vendor must agree to keep these prices valid for 60 days from RFP submission deadline.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/202015
This certification attests to the vendor’s awareness and agreement to the content of this RFP and allaccompanying calendar schedules and provisions contained herein.The vendor must ensure that the following certificate is duly completed and correctly executed by an authorizedofficer of your company.This proposal is submitted in response to Request for Proposal for Document Management Solution(s) issued byDataprise on behalf of its client.The undersigned is a duly authorized officer, and hereby certifies that:(Vendor Name)agrees to be bound by the content of this proposal and agrees to comply with the terms, conditions, andprovisions of the referenced RFP and any addenda thereto in the event of an award. Exceptions are to be notedas stated in the RFP. The proposal shall remain in effect for a period of 60 calendar days as of the Due Date ofthe RFP.The undersigned further certify that their firm (check one):ISIS NOTcurrently debarred, suspended, or proposed for debarment by any federal entity. The undersigned agree to notifythe Company’s representative of any change in this status, should one occur, until such time as an award hasbeen made under this procurement action.Person(s) authorized to negotiate on behalf of this firm for the purposes of this RFP are:Name:Title:Signature:Date:Signature of Authorized Officer:Name:Title:Signature:Date:Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/202016
Associated Excel file for Appendix A will be provided once respondent notifies RFP-DMS@dataprise.comof intent to propose. Approximately 30 requirements are included in Appendix A.Mark boxes in the tables based on the following:7.1. 7.2. 7.3.Vendor ResponsesB Base Product: The requirement can be fulfilled as part of vendor’s base product’s built-in functionality (nomodification or customization at all).M Modification/Configuration: The vendor’s product does not have this inherent functionality but can bemodified to meet the Company’s needs.C Custom: The vendor will customize its application to provide this function. Vendor should identify thelevel of complexity/effort required for the Custom item and price services accordinglyT Third party product required.N No, the vendor’s product does not have this inherent functionality and the vendor cannot/chooses not tocustomize its system or provide an alternate solution.PrioritiesM MandatoryP PreferredExpectationsThe client expects notes to be entered for all responses noted as M (Modifications) or C (Customizations). Pleaseprovide an explanation for how these requirements will be met in the Vendor Notes columnAssociated Excel file for Appendix B will be provided once respondent notifies RFP-DMS@dataprise.com ofintent to propose. Specific Instructions will accompany the worksheet at that time.Dataprise 888.414.8111 www.dataprise.comCopyright 2020 Dataprise, Rev. 01/202017
The purpose of this Request for Proposal (RFP) is to invite prospective vendors to submit a proposal to supply Document Management Solution(s) (DMS) to a Dataprise client (the "Company"). The RFP provides vendors with the relevant operational, performance, application, and architectural requirements of the system. 1.2 Coverage & Participation
