1.0 RFP Introduction and Background 2.0 Current Information Environment 3.0 Project Scope 4.0 Proposal Evaluation and Award

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1 Request for Proposal EDRMS Development & Implementation Rge. Rd. 274, Lacombe, AB, Canada, T4L 2N3 T F Table of Contents 1.0 RFP Introduction and Background Introduction Lacombe County Metrics Project Objectives RFP Schedule of Events No Obligation Pre-Qualification of Vendors Partnerships Incurred Expenses Questions and Inquiries Clarification and Discussion of Proposals Amendments and Addenda Current Information Environment Current Technical Environment Sources of Records and Information Additional Sources of Records and Information Project Scope Scope Overview Project Phases Standard Operating Procedures Training and Coaching System Performance Validation Case System Integration (Optional) Project Staffing Project Plan Proposal Evaluation and Award Evaluation Process... 15

2 4.2 Evaluation Criteria Submittal Response Format General Instructions Recommended Organizational Guidelines Company Profile and Executive Summary Company Background and History Project Approach Implementation Methodology Project Plan References and Past Experience Approach to Retention and Migration of Legacy Data System Adoption and Performance Exceptions to Terms and Conditions Price Proposal Contract Terms and Conditions Contract Type Contract Approval Legislative Requirements Confidential Information Location of Information County Property Insurance Requirements Conflict of Interest Offer Held Firm Amendment/Withdrawal of Proposals Right of Rejection Rights to Submitted Material and Public Information Hold Harmless Assignment or Sub-Contract Subsequent Agreement P a g e

3 1.0 RFP Introduction and Background 1.1 Introduction This Request for Proposal (RFP) is intended to solicit proposals from proposers capable of satisfying Lacombe County s need to implement a compliant Electronic Document and Records Management System (EDRMS). The EDRMS will comprise of three ready-installed software components, (SharePoint, RecordPoint, and Harmon.ie), which together will provide hybrid life-cycle management of both physical and electronic information in compliance with all applicable laws and regulations, and in accordance with the guidelines of the Lacombe County Information Management & Governance Program. The County s vision is to have an EDRMS adequate to allow for the eventual end of shared drives, integration of Line of Business applications, and support for managing records. The County recognizes EDRMS projects are prone to failure and wishes to mitigate this risk through intelligent SharePoint workflow design and appropriate training; we are especially interested in a proponent experienced in transitioning users from existing workflow practices to practices appropriate to the EDRMS. There are approximately 100 targeted end-users for this EDRMS solution. The County plans to have the proposer configure all SharePoint components and work with the County to configure RecordPoint, then deploy to two pilot areas (approximately 20 users). The proposer will train/coach Lacombe County s project team on all aspects of the project, such that the County will have the option to subsequently deploy the solution to the remaining 80 end-users without direct assistance of the proposer. In addition to soliciting written responses, this document provides information to assist proposers in preparing their responses and facilitates the subsequent evaluation and comparison process. Proposers responses will be evaluated and ranked based on the criteria described in this RFP. In order to receive consideration, proponents must meet the requirements outlined in this document and have demonstrated strong skills in both records management and information technology. This RFP, and the selected proposal in response to this RFP, will be incorporated into the contract resulting from this solicitation; provided, however, that the contract may contain terms different from, or in addition to, this RFP and the successful proposal. For purposes of this RFP, the terms vendor, proposer and proponent are considered to have the same meaning and shall refer to the person/entity submitting a proposal. 1.2 Lacombe County Metrics Lacombe County, incorporated in 1961, is situated in the heart of Central Alberta. The County has a land area of 2964 square kilometers and a population of 10,343. There are currently thirty-six (36) seasonal/temporary staff and ninety-three (93) full-time staff employed by the County, one (1) of whom is directly responsible for records and information management and FOIP compliance throughout the County. While many staff fulfill their roles at the County administration office and public works shop, the County also has staff working outside in various locations throughout the County. In addition to Lacombe County business operations, the County also provides administrative services to two (2) external entities. As such, development of the County s EDRMS must also address the information management requirements of these external entities. 3 P a g e

4 1.3 Project Objectives Lacombe County is actively developing and implementing a holistic Information Management and Governance Program (IMGP). We define information management as a system of information governance processes and technology used to classify, share, store, retrieve, delete, and destroy information across the entire organization while managing the lifecycle of that information. A critical component of the IMGP includes successful development and implementation of an EDRMS which enables compliant management of all physical and electronic information sources in accordance with all applicable laws and regulations. Through EDRMS deployment, the County seeks to address several challenges in the current information environment including, but not limited to: Heavy reliance on manual and paper-based processes; Management and retention of electronic records and information; Search and retrieval of valuable information resources; Compliance with legal and regulatory requirements; Integration of Lacombe County systems supporting workflows and departmental interoperability; Remote and mobile access to records and/or applications; Increased access, privacy, and security provisions; Improved online and self-service functionality; Leveraging the use of GIS data. Lacombe County intends to design and deploy an EDRMS composed of SharePoint (document management), RecordPoint (records management), and Harmon.ie ( management). The County has specific expectations of each EDRMS component or capability; below is a list of high-level functional configuration requirements of each component: The SharePoint Platform shall provide: 1) A general-purpose, enterprise-wide content management capability to all Lacombe County users that is easy to learn, easy to use, and forms a highly effective alternative to the existing usage of file servers; 2) A high level of user collaboration capabilities such as document sharing, version control, etc. 3) Role-based permissions management; 4) Ability to define workflows; 5) Integration with Microsoft Office including built-in use of business templates/forms; 6) Automated metadata capture for business templates/forms; 7) Powerful search and retrieval capability, including the ability to search by document metadata, content, or both; 8) Robust e-discovery capabilities to support public disclosure and other mandated discovery actions; 9) Robust security controls. The RecordPoint Platform shall provide: 1) A means of applying Lacombe County s retention schedule to all records in SharePoint, all physical records, and all records in the file shares; 4 P a g e

5 2) A means of automating the following recordkeeping capabilities for all documents stored in SharePoint: a. Identification of documents that are records; b. Classification of records against the retention schedule; c. Determination of when a document will become a record; d. When, and if, to move a record to the records archive; 3) A means of carrying out disposition of all declared records against the retention schedule; 4) A means of applying legal holds to records and non-records alike, including ; 5) Powerful search and retrieval capability, including the ability to search by document metadata in order to access physical records collections; 6) A means for users to request check-out and/or return of physical records resources; 7) A means of automating recordkeeping such that end users do not need to participate in the recordkeeping process. The Harmon.ie software shall provide: 1) A user-friendly means of storing and/or attachments into SharePoint; 2) A user-friendly means of attaching documents from SharePoint to an outgoing , including a means to send links to documents internally and attaching complete documents for external communications; 3) A means to search and access information stored in SharePoint from the Outlook interface; 4) Support for mobile devices (IOS, Android). The County has not yet addressed records migration, however a migration strategy is required and shall provide: 1) A means of migrating documents from the file shares to SharePoint; 2) A means of migrating documents from the existing SharePoint 2010 environment into the newly configured SharePoint EDRMS environment; 3) A means of automatically adding metadata to inbound documents; 4) A way to populate EDRMS metadata fields with any existing attributes of file server documents; 5) A means of migrating physical records from the physical records inventory into RecordPoint; 6) A means of migrating legacy records to the fully-configured EDRMS as declared records. In addition to the above, the County expects the final EDRMS configuration will also deliver the following: Integration with Lacombe County s existing IT infrastructure and business applications; Integration with Lacombe County s core existing business systems for the management of records cases such as assets; Provide a means of designing custom reports, as required. 1.4 RFP Schedule of Events The following RFP Schedule of Events represents the best estimate of the schedule the County will follow. The County has performed extensive planning work, has an aggressive schedule for implementation, and will need to stay on schedule of the dates listed below in order to meet its implementation goals. If a component of the schedule is delayed, it shall be anticipated that the 5 P a g e

6 remaining components will also be delayed by a similar number of days. Any significant change to the schedule will be published via RFP Addendum. Lacombe County reserves the absolute and unconditional right to make reasonable changes to the schedule as needed as determined by Lacombe County in its sole discretion. Event Estimated Date Request for Proposal (RFP) Published May 25, 2017 Deadline for Questions from Vendors June 6, 2017 Final Addendum for Questions Published June 8, 2017 Deadline for Proposal Submissions June 16, 2017 Tentative Date for Awarding Contract June 29, 2017 Project Completion Deadline (Phases 1-3) March 1, No Obligation The inquiry made through this RFP implies no obligation on the part of Lacombe County. 1.6 Pre-Qualification of Vendors The County has not employed a pre-qualification process. No vendors are either pre-qualified or precluded from responding to this RFP. 1.7 Partnerships Vendors engaged in a partnership relationship shall submit a single proposal in response to this RFP. Partnership relationships shall be clearly defined by proposal responses. Such definition shall identify the entity in the partnership relationship deemed to be the Primary Vendor. It is expected any item in the proposal response guidelines that relates to an individual vendor s capabilities shall be responded to for each vendor in the partnership relationship. 1.8 Incurred Expenses Neither Lacombe County, nor any of its officers, shall be responsible for any cost incurred by a proposer in preparing and/or submitting a proposal or participating in presentations as part of the evaluation procedure. Proposers agree all costs incurred in developing their proposals and participating in presentations is the Proposers responsibility. 1.9 Questions and Inquiries Lacombe County Records Management shall be the sole point of contact for the purposes of this RFP. The following table provides the primary contact information: Point of Contact Lisa Rangen Records Management & FOIP Specialist lrangen@lacombecounty.com (403) Questions and inquiries related to this procurement, including questions and inquiries related to technical issues, are to be submitted in writing via and directed to Lisa Rangen using the contact information in the table above. 6 P a g e

7 All questions must be received in writing no later than June 6, 2017 at 4:30 PM Mountain Standard Time (MST). Questions and answers will be publicly published to the County s website in accordance with Section 1.11, Amendments and Addenda. Only questions and answers publicly published through addendum shall be binding. Proposers shall not contact any County staff with any questions or inquiries, excepting the terms outlined above. Unauthorized contact with any personnel of the County may be cause for rejection of the proposer s response. The decision to reject a proposal is solely that of the County. The County reserves the right to revise the RFP prior to the deadline for proposal submissions on June 16, Revisions shall be documented in an addendum and published to the County s website Clarification and Discussion of Proposals The County may request clarifications and conduct discussions with any proposer who submits a proposal. Proposers may be asked to provide a presentation to the County on implementation procedures and/or demonstration of the recommended software configuration or system design and development processes Amendments and Addenda All clarifications and RFP amendments will be documented in an addendum and publicly published to the County s website. 2.0 Current Information Environment 2.1 Current Technical Environment Lacombe County s Information Technology (IT) department purchases, deploys and maintains all servers, networking infrastructure, computers, tablets, cell phones and software packages in use throughout the County. Currently there are 12 Windows-based servers in operation, running on Windows Server 2003, Windows Server 2008 R2, or Windows Server 2012 R2 on VMware vsphere. The County s database server is running Microsoft SQL Server 2008 R2 and is managed using Microsoft Exchange SharePoint 2010 was deployed in 2010 and is in current production; SharePoint 2016 is installed on one of our virtual servers in preparation for EDRMS development. Lacombe County utilizes Alberta SuperNet via Axia for our internet service and currently subscribes to a plan that offers 20 MBPS upload and download speed service. A backup internet service offering 5 MBPS upload and download speed service is also in place. The majority of existing electronic records are currently stored in SharePoint 2010, on multiple shared network drives, and on the County s Exchange Server accessed through Microsoft Outlook. Information is also stored in a variety of Line of Business applications that include Dynamics GP, WorkTech, Camalot, Sage 50 Accounting, ESRI s ArcGIS, AutoCAD and custom in-house developed applications. For additional detail on Line of Business applications currently in use, see Section 2.2, Sources of Records and Information. 2.2 Sources of Records and Information The County s business processes that utilize records and information include input from a variety of 7 P a g e

8 sources, including: County maintained structured and unstructured databases, County maintained paper data stores, and external databases. In some cases, applications leverage these databases, and in others the databases exist in MS Access or MS Excel. The following table contains information applications and databases currently in place at Lacombe County; while not all applications listed are relevant to the scope of this RFP, the information is provided to give proponents a high-level understanding of the County s existing electronic information environment: No. Source Summary 1 SharePoint 2010 SharePoint 2010 was configured to mirror the core shared drive structure; approximately 50% of information sources previously maintained on shared drives were migrated to SharePoint SharePoint 2016 SharePoint 2016 is installed but not currently in use; a test environment has been set-up for development and configuration of the EDRMS. 3 RecordPoint RecordPoint is a 3 rd party SharePoint plug-in for the maintenance and disposition of physical and electronic records. RecordPoint is installed but not currently in use, it will be configured as a component of the EDRMS implementation. 4 MS Outlook Microsoft Outlook is the current system used for County accounts. 5 Harmon.ie Harmon.ie is an Outlook plug-in used for interacting with SharePoint through the Outlook interface; Harmon.ie is installed on all County accounts. 6 Dynamics GP (Diamond) Diamond is the core system used to support finance processes and track property information. As a component of EDRMS development, an API connection between Diamond and SharePoint is desirable. 7 Paramount Paramount is purchase order software used to track and manage County purchase orders. 8 WorkTech / Pearl WorkTech/Pearl is used primarily by our Operations and Finance departments to manage the acquisition and disposal of County assets. 9 Agenda Manager (Developed in-house) 10 Complaint Tracker (Developed in-house) Agenda Manager is an internally built application used for managing council minutes and agendas. It is desirable to include meeting management as a component of the EDRMS implementation, at which time Agenda Manager will be decommissioned. Complaint Tracker is an internally built application used for managing complaints submitted to the County. It is desirable to include complaint tracking as a component of the EDRMS implementation, at which time Complaint Tracker will be decommissioned. 11 ArcGIS The County currently maintains a license agreement with ESRI for GIS; updates to GIS layers are centrally managed by the County s IT Coordinator. Where possible, further enhancements to access information through GIS as a component of the EDRMS development is desirable. 12 Camalot Camalot is the core assessment database used to support the process for assessment of properties. 8 P a g e

9 13 Switchboard Digium 14 MS Excel (e.g. Physical Records Inventory) Switchboard Digium is a component of our telephone systems. When a voic is received, the system generates an with an audio attachment enabling management of audio records received by voic . Multiple County departments utilize MS Excel to track and manage the status of projects and support business processes. A physical records inventory is currently maintained in MS Excel, however it contains unique identifiers from an in-house developed FileTracker database which has been decommissioned; these identifiers form key linkages between data and it is expected these will be migrated to RecordPoint as a component of the EDRMS implementation. 15 N_SIGHT N_SIGHT is used for collecting meter reading data (i.e. water usage). 16 Shared Drives The County uses multiple shared drives to create and store records and information. The shared drives house both current and legacy data and do not have a well-defined or documented file structure. 17 Questica Questica is the County s budgeting software. 18 Sage 50 Accounting Sage 50 Accounting is the financial database used to manage financial activities for the external entities the County provides administrative services to. 19 Website The County s public-facing website is used to disseminate information to the public. Where possible, it is desirable to configure the EDRMS to autopublish pre-defined information sources to the website; the County is currently researching 3 rd party applications which enable the management of records and information posted to websites and social media accounts. 20 Twitter The County s Twitter account is used to disseminate information to the public. 21 FaceBook The County s FaceBook account was released in May 2017 and will be used to disseminate information to the public. Although there are multiple electronic sources of records and information, the County has a heavy reliance on paper data in the current environment. In several instances, business processes have at least one activity that is managed on paper. The following table contains a general overview of the main paper data stores currently used by the County: No. Source Summary 1 Land Files Land files are maintained in paper format for each property in the County; they are accessed frequently by the Planning and Assessment departments. 2 Assessment Files Assessment files are maintained in paper format for each property in the County; they are accessed frequently by the Assessment department. 3 Rolled Plans & Maps Large-format documents, in both paper and mylar, including: road plans, subdivision plans, survey plats, blueprints, maps, etc. Where possible, it is desirable to transfer subscription services from hard-copy to electronic receipt as a component of EDRMS development. 9 P a g e

10 4 Aerial Photos Aerial photos are stored both on cardboard and photo paper in varying size formats. 5 Finance Files Accounts Payable/Receivable records are stored as annual collections (primarily in shannon files). 6 Bylaws Bylaws are stored in binders and filed by date (excepting post-2010 bylaws which are primarily stored electronically). 7 Council Minutes Council minutes are stored in binders and filed by date (excepting post minutes which are primarily stored electronically). 8 Council Agenda Packages 9 Administrative/ Miscellaneous Council agenda packages for council meetings are stored in shannon files and filed by date (excepting post-2010 agenda packages which are primarily stored electronically). Miscellaneous documents and administrative records supporting the business and/or operations of the County are stored in multiple formats and sources including both paper and electronic media. Certain business processes in the County rely upon data that is stored and maintained by external sources. Whether by the County or other agencies, the ability to use this information in a timely and accurate manner is important to the effectiveness, and impacts the efficiency of, County business processes. The following table contains an overview of the external data sources frequently accessed by the County: No. Source Summary 1 Land Titles Database The County currently relies on data from Land Titles databases such as subdivision plans, road plans, certificates of title, etc. Information is received in hard-copy and electronic; many electronic sources are filed in hard-copy and hard-copy sources are scanned; it is the County s intention to eliminate hard-copies in support of an electronic single source of truth. 2 AltaLIS The County relies on AltaLIS to provide GIS data in relation to pipelines, wells, powerlines and gas co-ops. 2.3 Additional Sources of Records and Information In addition to Lacombe County records, the County also provides administrative services for two (2) external entities which require information management and governance processes to be included in the EDRMS development project. The County expects work completed with respect to the EDRMS development will include information management requirements for these external entities, however, it is important to note additional considerations in regard to information access, security, and segregation of information is required in respect of these information sources. The County expects segregation of information will be managed using a metadata field in both SharePoint and RecordPoint to define which entity holds ownership rights to each document/file. 10 P a g e

11 3.0 Project Scope 3.1 Scope Overview At a high-level, the project scope in response to this RFP will include: a discovery process to review our existing systems and Information Management and Governance Program documentation (Phase 1); EDRMS design, configuration, and transition of two (2) pilot areas into the newly configured EDRMS environment (Phases 2 and 3). The transition will include metadata mapping, migration of records from existing locations, optional integration of line of business applications, coaching/training of the project team, and change management including training of pilot area staff to a level that ensures end-user adoption. Once Phase 3 deliverables are received to the County s satisfaction, and at the discretion of the County, the County may consider additional project phases which may include a road map to migrate all remaining departments to the EDRMS and/or successive contracts to configure the EDRMS for the remaining departments and transition the remaining users into the fully-configured EDRMS environment. 3.2 Project Phases Though the County is actively planning a complete end-to-end solution, including implementation of the EDRMS in all functional areas, we recognize that to adequately address the challenges a phased approach is required. The proposals sought through this RFP include the first three (3) phases of the project; it is the County s expectation this 3-phase approach will consist of the following: Phase 1 (Discovery): assess existing Information Management & Governance Program initiatives to ensure alignment with the proposers EDRMS development and implementation strategies; provide recommendations for best implementation option: SharePoint 2016, SharePoint Online, or Hybrid implementation; provide recommendations for additional technologies (e.g. capture or e-signature software) the County may consider in order to best meet the County s EDRMS objectives; present a road map and strategy, including ROI estimates, for completion of Phases 2 and 3; Optional: if the proposer deems it to be in the County s best interest, the proposer may include an option to provide an end-to-end discovery and road map which includes all successive phases of implementation for all functional areas of the County. Phase 2 (Finance): assess current business processes and identify areas where business process improvements (BPI) can be achieved in support of a modernized paperless information environment; review pre-defined content types and metadata collected; if necessary, hold user workshops to further define required content types and associated metadata; design and configure SharePoint infrastructure to support compliance with Lacombe County s IMGP and CAN/CGSB (Electronic Records as Documentary Evidence) requirements; o design and develop workflows where appropriate; o use of electronic forms and automated form-capture capabilities within SharePoint is desired; 11 P a g e

12 o implementation in accordance with RIMtech s EDRMS Implementation Methodology is desired; assist with development of document handling rules (DHR s) to be applied to information stored in SharePoint through the RecordPoint interface; assist with calculating metrics and establishing procedures for monitoring classification accuracy rates in SharePoint, ensuring health of the system is monitored and maintained; develop a change management plan and assist with user training, testing, and adoption to ensure successful implementation and sustainability of the EDRMS; review the County s imaging/digitization policy, modifying if necessary, and develop and implement an imaging/digitization procedure in compliance with CAN/CGSB (Microfilm and Electronic Images as Documentary Evidence); Optional: case system integration (CSI) through application programming interface (API) in order to facilitate information transfer to EDRMS from Line of Business systems. For additional detail on CSI requirements, see Section 3.5, Case System Integration. Phase 3 (Planning): assess current business processes and identify areas where business process improvements (BPI) can be achieved in support of a modernized paperless information environment; review pre-defined content types and metadata collected; if necessary, hold user workshops to further define required content types and associated metadata; design and configure SharePoint infrastructure to support compliance with Lacombe County s IMGP and CAN/CGSB (Electronic Records as Documentary Evidence) requirements; o design and develop workflows where appropriate; o use of electronic forms and automated form-capture capabilities within SharePoint is desired; o implementation in accordance with RIMtech s EDRMS Implementation Methodology is desired; assist with development of document handling rules (DHR s) to be applied to information stored in SharePoint through the RecordPoint interface; assist with calculating metrics and establishing procedures for monitoring classification accuracy rates in SharePoint, ensuring health of the system is monitored and maintained; develop a change management plan and assist with user training, testing, and adoption to ensure successful implementation and sustainability of the EDRMS; Optional: digitization of active legacy land file records in order to facilitate increased usefulness and an improved user experience in the fully configured EDRMS; ArcGIS integration enabling documents to be linked to physical land locations and accessed through a GIS mapping interface; case system integration (CS) through application programming interface (API) in order to facilitate information transfer to EDRMS from Line of Business systems. For additional detail on CSI requirements, see Section 3.5, Case System Integration. The County s initial commitment in response to this RFP will include Phase 1 only; successive phases may be awarded to the successful proponent upon the County s acceptance of deliverables for each phase. 12 P a g e

13 3.3 Standard Operating Procedures Lacombe County currently has few guidelines in place for information management and there is limited information sharing and collaboration across the organization. Electronic records classification and disposition is user defined, and there are no standards in place for management of records. As a component of the Information Management and Governance Program, County-wide policies have been developed in order to address IMG responsibilities throughout the organization, however, few existing information management processes or procedures are currently documented. As a component of the EDRMS development, the County intends to develop a County-wide information management and governance manual/user-guide including standard operating procedures (SOP s) which define Lacombe County s processes and expectations for managing records and information for each functional area and/or position of the County. The intent of this manual is to: 1) support consistent application of information management processes throughout the County; 2) enable smooth transitions of employees into new roles; 3) create an auditable information management and governance program; 4) enable RM to effectively manage and maintain RecordPoint; 5) enable IT to effectively manage and maintain the technical components of SharePoint. The SOP s are expected to be proprietary and describe the fully developed EDRMS system and associated procedures, not out-of-the-box product information. The SOP s may be developed by the County or by the Proposer, however, it is expected the proposer will work with the County to ensure SOP s are accurately recorded for all components of the EDRMS, including all technical components. 3.4 Training and Coaching The proponent must include a proposed training and coaching strategy as Lacombe County s goal is to be self-sufficient with ongoing maintenance and development of the EDRMS. The training/coaching strategy shall contain a plan detailing, at minimum, the number of sessions, number of training days per participant, training material to be provided, and methods for assessing the outcome of knowledge transfer. County staff shall be trained in County facilities and the County will provide use of a classroom equipped for audio-visual presentation and will supply computers for hands-on training, as necessary. Maximum class size is to be 15 participants. Training is to include accompanying documentation for future reference. Coaching must be delivered to the project team throughout the EDRMS development up to, and including, coaching on the live, fully configured EDRMS. Proposers are encouraged to list all training and coaching components deemed necessary for an effective EDRMS deployment. 3.5 System Performance Validation The proponent will work with the County to test the fully-configured EDRMS to ensure it meets the requirements of the County using pre-approved system performance validations (SPV s) which prove to the County that a specified function or capability of the delivered solution is performing as expected. 13 P a g e

14 Proponents are encouraged to provide a SPV strategy for testing and validating the EDRMS against the requirements of the County. 3.6 Case System Integration (Optional) Lacombe County estimates approximately 60% of the categories in the Lacombe County Records Retention Schedule are case categories. A case refers to a collection of related documents with an event-based retention period (e.g. a personnel file). All cases are categorized against the retention schedule at the tertiary level (e.g. Human Resources Employees John Doe). Using the personnel file as an example, Lacombe County has a corporate database (case system) that Human Resources uses to track employee names, hire dates and termination dates. When a new employee is entered into the database, a new case category must be created in RecordPoint and the new employee must be added to the SharePoint selection list. Likewise, when the employee termination date is entered into the database, RecordPoint must be updated with the employee s termination date to trigger the retention period for the employees case file. Lacombe County recognizes it does not have high enough volumes to warrant Case System Integration (CSI) for all cases, and low-volume case categories will require standard operating procedures to ensure information is manually entered into all required systems. The volume of Lacombe County managed assets, however, do warrant a CSI. Lacombe County would like the option to have the successful proponent design, build, test, and deploy a CSI using an application programming interface (API) that integrates the following EDRMS components: 1) WorkTech/Pearl (Corporate Database) 2) SharePoint 3) RecordPoint The optional CSI shall provide a means of integrating Lacombe County s existing WorkTech/Pearl system with the EDRMS in order to enable automatic updates of the asset data set from the corporate database to the EDRMS. Proponents are encouraged to provide an optional, fully-costed estimate for services to design, build, deploy and test a Case System Integration. 3.7 Project Staffing The County intends to have the Records Management & FOIP Specialist act as a dedicated Project Manager and resource, available to assist the proposer wherever possible throughout all phases of the project; a Lacombe County IT Infrastructure Specialist will also be available as required. Additional County resource planning has not been completed, however, it is understood additional resources will be required at various times throughout the process; it is expected all proposals will provide estimates of time required of additional County staff throughout each phase of the project. 3.8 Project Plan The proponent must provide a proposed project plan and schedule as part of their submission, including all assumptions and the roles and scope of responsibilities for both the Proponent and the County during all stages of implementation. As part of the Project Scope, upon the County s acceptance of 14 P a g e

15 Phase 1 deliverables, the selected vendor must review the proposed project plan and revise if necessary to ensure it remains reflective of the project requirements, providing the County with a complete and detailed plan for each successive phase. Proposers are encouraged to provide the proposed Project Plan in accordance with the Submittal Response Format described in Section Proposal Evaluation and Award 4.1 Evaluation Process The County will initially review and evaluate each proposal received to determine the proposer s ability to meet the requirements of the County. The evaluation criteria (described in Section 4.2) will be the basis for evaluation and such criteria shall be evaluated at the County s sole discretion. The County may request additional information or clarification of proposals and hereby reserves the right to evaluate, at its sole discretion, the extent to which each proposal compares to the stated criteria to select the particular response to this RFP that it believes will best-serve its business and operational requirements. 4.2 Evaluation Criteria The evaluation criteria in the following table are intended to be the basis by which each proposal will be evaluated, measured and ranked; vendor selection shall be based on the results of evaluations using these criteria: Criteria Description Score Value This criterion considers both the qualifications of the personnel proposed to provide the services solicited, and the processes that Functional are proposed to be used. In evaluating the proposer s processes, & Technical the County will consider the business benefits and the business 30 points process improvements (BPI) that may be recognized as a result of implementing the proposer s plan. Approach & Schedule Experience Cost This criterion considers the proposer s understanding of the scope of work, the quality and clarity of the proposer s written methodology, the description of the proposed approach to accomplish the work, and the proposed schedule for completion. This criterion considers: (1) the proposer s expertise in the Records Management discipline; (2) the proposer s expertise in the IT discipline; (3) the proposer s experience with Microsoft SharePoint; (4) the proposer s past performance on any similar projects; (5) the results of reference checks; (6) the proposer s experience in providing the services solicited by this RFP as set forth in the proposer s response; (7) the qualifications of the support staff. This criterion considers the cost of services solicited by this RFP. Proposers will be evaluated on their pricing scheme as well as their price in comparison to the other proposers. 25 points 30 points 15 points 15 P a g e

16 Proposals will be evaluated and ranked according to the outline below. Evaluations will be based on a scale of 0 to 10. The score of each criterion will be determined by multiplying the criteria weight by the rating. The sum of all scores will be the total score. The County reserves the right to reject any proposal that receives a rating of two (2) or less on any criterion. Rating Description 10 Exceeds expectations; Proponent clearly understands the requirement, excellent probability of success. 8 Somewhat exceeds expectations; Proponent has a very good understanding of the requirement, very good probability of success. 6 Meets expectations; Proponent has a good understanding of the requirements, good probability of success. 4 Somewhat meets expectations; minor weaknesses or deficiencies, Proponent understands the requirement, fair probability of success. 2 Does not meet expectations or demonstrate understanding of the requirements, low probability of success. 0 Lack of response or complete misunderstanding of the requirements, no probability of success. 5.0 Submittal Response Format 5.1 General Instructions The following instructions must be followed by proposers submitting proposals: 1) The deadline for proposal submission is established in Section 1.4, RFP Schedule of Events. The proposal deadline is June 16, 2017 at 4:30 PM Mountain Standard Time (MST). Proposals received after this deadline will not be accepted. 2) Proposers shall submit one (1) hard copy of the Proposal to the County at the address contained in the table below. 3) Proposals should be provided in binders with tab separators as required. Proposals shall not include extraneous marketing materials. 4) Proposers shall submit one (1) electronic version of the Proposal to the County along with the hard copy proposal. All documentation shall be provided electronically in searchable PDF. 5) Mailed proposals shall be clearly labeled on the outside of the packaging with the RFP Title and marked Confidential. The mailing address for proposals is contained in the following table: 16 P a g e

17 RFP Response Mailing Address Lacombe County Attention: Lisa Rangen Rge. Rd. 274 Lacombe, Alberta T4L 2N3 Proposers must describe any assumptions made in the proposal in detail. These should include any assumptions related to the County s current technical or information environments, staffing, project management approach, resources available during each phase, and any other areas where assumptions have been made in response to the contents of this RFP. 5.2 Recommended Organizational Guidelines While the County does not require proponents adhere to the recommended organizational guidelines in response to this RFP, formatting proposals as recommended will result in fair and fluid evaluation of all proposals to ensure essential components are not overlooked. The following table contains the recommended organizational guidelines for proposal responses: Proposal Tab No. Proposal Tab Title RFP Section Tab 1 Company Profile and Executive Summary Tab 2 Company Background and History Tab 3 Project Approach Tab 4 Implementation Methodology Tab 5 Project Plan Tab 6 References and Past Experience Tab 7 Approach to Retention and Migration of Legacy Data Tab 8 System Adoption and Performance Tab 9 Exceptions to Terms and Conditions Tab 10 Price Proposal Company Profile and Executive Summary The first tab of the proposal should contain the Company Profile and Executive Summary. The Company Profile must provide the proposer s primary contact information, including the following: 1) Name of the proposer representative; 2) Representative s Title; 3) Name of company; 4) Address; 5) Telephone number; 6) address; and 7) Signature of authorized officer of the firm. 17 P a g e

18 An Executive Summary should be provided including a brief summary of the proposal contents to demonstrate an understanding of Lacombe County s requirements, and emphasizing any unique aspects or strengths of the proposal Company Background and History The second tab of the proposal should include a comprehensive history of the firm, including the development of its experience in providing services similar to those described in Section 3.0, Project Scope. At minimum, the following points should be addressed in the fourth tab of the proposal: 1) Office locations; 2) Total number of employees; 3) Total number of active clients; 4) Total number of active government clients; 5) Total number of active government clients in Alberta; 6) Total years offering Information Technology solutions; 7) Total years offering Records Management/Information Governance solutions; If a partnership with third-party companies or consultants is part of the proposal, the company or consultant background and history shall be provided for all third-parties involved in the proposal. It is expected all points above shall be addressed for each company or consultant involved in the proposal, prime or third-party Project Approach The third tab of the proposal should include a description of the proposed approach for meeting the project objectives. The purpose of this description is so the County has a high-level understanding of the proposed solution and should be written for an audience of the end-user community. Descriptions should also be included for any proposed third-party products or services Implementation Methodology The fourth tab of the proposal should include a comprehensive description of the key requirements for the project, and the proposed implementation methodology for meeting those requirements. The purpose of this description is so the County can assess the proposer in direct relation to the required core competencies of information management (IM) and information technology (IT) and should be written for an audience of the IM and IT disciplines. The description should include how the proposer has developed this methodology to both incorporate lessons learned from past experiences as well as to meet the needs described in Section 3.0, Project Scope Project Plan The fifth tab of the proposal should include the proposer s detailed project plan. The project plan should include, at minimum, the project objectives in relation to the individual project phases and deliverables, project schedule, resource management, risk management, and method for status reporting. If any of these components are addressed in another tab, the proposer may reference the section of the proposal where these details have been included. In regard to resource management, the proposer should list all project team members and include a brief description of relevant experience and qualifications of the team members along with their roles and responsibilities for the project. Describe the commitment of each team member for the duration of the project. 18 P a g e

19 It is important the project is started and successfully completed in an effective and efficient manner. Provide an estimated overall timeline for the project indicating when the project could start, key dates for completion of each major task in the scope, time required for County staff engagement, and any other relevant milestones or deliverable dates References and Past Experience The sixth tab of the proposal should identify a minimum of three (3) references for the project. Proposers should highlight experience with government clients and draw comparisons to Lacombe County where possible. In the event the proposer cannot provide government references, substitution of other organizations will be considered; proposers shall indicate how these substitute references illustrate competency in delivering the County s objectives. By inclusion of references, the proposer grants its consent for the County to contact the references for purposes of evaluating the proposer for this project Approach to Retention and Migration of Legacy Data The seventh tab of the proposal should include a detailed description of the proposer s recommended approach toward the retention and/or migration of legacy data; this description should include the approach for both paper and electronic data. Proponents are to include recommended methods and/or functionality to migrate data from the existing file shares, SharePoint 2010 environment, and exchange servers to the new EDRMS in order to preserve as much valuable operational data as possible. Please describe what options are available and supported within the proposed solution System Adoption and Performance The eighth tab of the proposal should include the proposer s system adoption and performance plan which should include, at minimum, coaching the project team, training for pilot area staff, testing performance of the fully configured system using system performance validations (SPV s), and production of standard operating procedures (SOP s) Exceptions to Terms and Conditions The ninth tab of the proposal should include any exception the proposer takes to the terms and conditions set forth in this RFP. It is the County s intention to be made aware of any exceptions to terms or conditions prior to contract negotiations. Unless the vendor explicitly describes an exception, the County shall assume there are no exceptions to the terms and conditions or content of this RFP Price Proposal The tenth tab of the proposal should include the proposer s Price Proposal. The Price Proposal must be in Canadian dollars and should include, at minimum: the proposer s standard travel and expense policy, payment schedule, and detailed breakdown of total project costs. 19 P a g e

20 6.0 Contract Terms and Conditions 6.1 Contract Type The resulting contract from this procurement shall be a short term service contract with a fixed price for Phase 1 of the project. The initial contract price will be based upon prices submitted by the selected vendor, subject to contract negotiations with the County. Successive contracts may be entered upon the County s acceptance of Phase 1 deliverables. 6.2 Contract Approval This RFP does not, by itself, obligate the County to award a contract. The County s obligation will commence following the County s approval of a contract. Upon written notice to the vendor, the County may set a different starting date for the contract. The County will not be responsible for any work done by the vendor, even work done in good faith, if it occurs prior to the contract start date set by the County. 6.3 Legislative Requirements The vendor must comply with all local, provincial and federal requirements that apply to the proposal, the evaluation and the contract. 6.4 Confidential Information Any recorded information, regardless of format or media type, provided by the County for the proposer s use are the sole property of the County. This proprietary information includes, but is not limited to: customer requirements, customer lists, information concerning Lacombe County employees, products, services, prices, operations, security measures and subsidiaries. The proposer and its employees shall keep this confidential information in the strictest confidence, and will not disclose it by any means to any person except with County approval and only to the extent necessary to perform the work under the agreement. This prohibition also applies to the proposer s employees, agents and subcontractors. On termination of the agreement, the proposer will promptly return any confidential information in its possession to the County. 6.5 Location of Information The proposer must ensure all information in the custody or control of Lacombe County, including all information stored on back-up servers, meets the County s data sovereignty requirements and therefore remains within Canada at all times. While this may not impact an on premise implementation, it will need to be considered if a hosted or cloud-based solution is used. 6.6 County Property The use of any and all County property must be approved in advance by an authorized County employee. 6.7 Insurance Requirements The selected vendor agrees to provide and maintain Comprehensive General and Professional Liability Insurance covering Vendor provided services identified in this RFP to a minimum of $2 million per occurrence. 20 P a g e