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									                                                                                          RFP No. MSO0037



0500 TABLE OF CONTENTS


1.0      INTRODUCTION .................................................................... 3
1.1      PURPOSE OF REQUEST FOR PROPOSAL .............................................................. 3
1.2      BUSINESS GOALS ...................................................................................... 3
1.3      PROJECT SCOPE ........................................................................................ 3


2.0      DESCRIPTION OF EXISTING SYSTEM(S) ........................................ 5
2.1      BUSINESS CONTEXT.................................................................................... 5
2.2      CURRENT SYSTEM ...................................................................................... 5


3.0      REQUIREMENTS INFORMATION ................................................... 6
3.1      ORGANIZATION OF REQUIREMENTS .................................................................. 6
3.2      QUALIFIERS FOR FUNCTIONAL AND TECHNICAL REQUIREMENTS ................................. 6


4.0      FUNCTIONAL REQUIREMENTS ..................................................... 7
4.1      RESPONDING TO FUNCTIONAL REQUIREMENTS .................................................... 7
4.2      TABLE OF FUNCTIONAL REQUIREMENTS ............................................................. 7


5.0      TECHNICAL REQUIREMENTS .....................................................25
5.1      TECHNOLOGY ENVIRONMENT AT THE CITY OF AUSTIN........................................... 25
5.2      RESPONDING TO TECHNICAL REQUIREMENTS .................................................... 25
5.3      TABLE OF TECHNICAL REQUIREMENTS – ALL SOLUTIONS ...................................... 25
5.4      TABLE OF TECHNICAL REQUIREMENTS - CLIENT-SERVER OR INTERNALLY HOSTED SOLUTION 32
5.5      TABLE OF TECHNICAL REQUIREMENTS – ASP SOLUTION ......................................... 37
5.6      EXTERNAL INTERFACES - RESPONDING TO EXTERNAL INTERFACES ........................... 38
5.7      NAME OF SYSTEM - INTERFACE ..................................................................... 38


6.0      IMPLEMENTATION REQUIREMENTS ..............................................40
6.1      RESPONDING TO IMPLEMENTATION REQUIREMENTS ............................................. 40
6.2      LIST OF IMPLEMENTATION REQUIREMENTS........................................................ 40


7.0      PROPOSAL PREPARATION AND EVALUATION ...................................41
7.1      EVALUATION CRITERIA: ............................................................................. 41
7.2      PRODUCT AND PROOF OF CONCEPT DEMONSTRATION........................................... 41
7.3      VENDOR QUALIFICATIONS .......................................................................... 42
7.4      MANDATORY SUBMITTALS ........................................................................... 42
7.5      PROPOSAL FORMAT ................................................................................... 43
7.6      PROPOSAL ACCEPTANCE PERIOD: .................................................................. 45
7.7      EXCEPTIONS ........................................................................................... 45
7.8      PROPOSAL PREPARATION COSTS ................................................................... 45
7.9      CONTRACT PAYMENT AND RETAINAGE ............................................................. 45
7.10     SOURCE CODE ESCROW AGREEMENT .............................................................. 47




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                                                                        RFP No. MSO0037



8.0      LIST   OF   APPENDICES FOR THIS RFP: ..........................................48




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                                                                                 RFP No. MSO0037



1.0      INTRODUCTION



1.1      Purpose of Request for Proposal
         The City of Austin, hereinafter referred to as the City, seeks proposals in response to this
         Request for Proposal (RFP) from qualified contractors with demonstrated experience
         working with physical records management systems for local government entities.
         Note: Please read though the entire RFP before beginning to work on your
         response, and proof the proposal before submission.

         Configure and price your system design to satisfy all stated RFP requirements, including
         any and all optional system hardware and software elements necessary to satisfy a
         requirement.

1.2      Business Goals
         The project objective is to identify and select a vendor with the capability of replacing the
         Gain 2000 records management system, currently in production.


1.3      Project Scope
         The City of Austin is seeking a system to support the management of physical records
         with a web-based application that can be accessed by authorized personnel within all City
         departments. This includes replacing the current legacy system, GAIN RM, Enterprise
         Edition by Triadd Software, and migrating existing data from that system.
         The system must:
                    Process accessions of new boxes and files;
                    Support services for retrieval and re-filing boxes and files;
                    Provide reports and the ability to create customized, user-defined reports;
                    Support the City’s File Plan and the classification of records for retention
                     purposes;
                    Support services for records destruction;
                    Track the history of chain of custody and activities associated with boxes and
                     files;
                    Support identification of City departments and work units responsible for
                     records; and
                    Provide security based on user, group, and departmental access
                     permissions.


         The contractor will also be responsible for:
                    Providing support services for the migration of data into the new system to
                     insure a seamless process and eliminate the possibility of data loss during
                     the transition; and
                    Providing training for Records Managers, administrators, and Records Center
                     Staff (train-the-trainer training).




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                                                                               RFP No. MSO0037



    1.3.1      Buyer’s Responsibilities
         The Buyer will provide network infrastructure and facilities to support the system. The
         Vendor must furnish and install a fully functional system that meets the requirements
         specified in a negotiated contract. Details regarding the Buyer’s responsibilities and the
         Vendor’s responsibilities are noted below. The final contract will dictate specifics of the
         scope of work for both Buyer and Vendor.
               Office space for Vendor project management staff
               Site preparation
               HVAC and AC power feed and generator backup for City systems
               Local Area Network/Wide Area Network
               Approval of milestones and deliverables

    1.3.2      Vendor’s Responsibilities
         The Vendor shall be responsible for the following:
               All system design, software installation, programming, testing,
               performance tuning, training, documentation and implementation required
               for the system. If third-party software is required, Vendor shall assume full
               responsibility for its inclusion in this solution.
               The Contractor shall submit weekly and monthly, or as otherwise agreed
               upon by the Physical Records Management System Implementation
               Project Team and Contractor, progress reports to the Project
               Manager/Project Team. The progress reports shall describe significant
               accomplishments, issues and/or problems which have potential effect on
               schedule or costs, and plans for the upcoming week. They should be
               sufficiently detailed to assure that directions being pursued are in
               compliance with established and/or projected goals.
               All technical documents for the proposed system and its components.
               These documents shall include administrator and end user manuals about
               product installation and maintenance, including detailed design documents
               for customized system application and test plans. The supplier shall grant
               the City the authorization to reproduce any provided documents for
               internal use.
               Assist in the development of an acceptance test plan and assist in the
               performance of testing the entire system. During testing, the Vendor must
               be available for assistance and correction of any error detected. Testing
               must be successfully performed before the City approves the final sign-off
               for the acceptance of the system.
               Be available via a toll-free number for technical support and problem
               resolution during normal business hours (8:00 a.m. - 5:00 p.m. CST,
               Monday through Friday) during implementation.
               Provide a detailed list of the necessary resources and expertise, complete
               with personnel job descriptions, which shall be required for the City to
               maintain the system once implemented.



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                                                                                  RFP No. MSO0037



                  Provide system administrator training to a minimum of 5 users.
                  Provide train the trainer end user training for 10 users

      1.3.3       City’s Acceptable Use Policy
         Vendor computers will not be allowed to connect to the City’s internal network.


2.0      DESCRIPTION OF EXISTING SYSTEM(S)



2.1      Business Context
         The purpose of the City of Austin’s Records Management Services Division is to manage
         City records so that they are accessible, maintained efficiently and cost-effectively, and so
         that the City retains all records it is required to keep, identifies and preserves records with
         permanent value, and disposes of those with no further value in a secure and timely
         manner.
         The Records Management Services Division is also responsible for managing the transfer
         of inactive records from City offices to its current offsite storage contractor, Iron Mountain;
         for processing requests for the retrieval and re-filing of files and boxes to and from Iron
         Mountain and; destruction of records in storage. NOTE: All references to “Iron Mountain”
         in the RFP documents shall apply to any future off-site records storage contractor
         engaged by the City of Austin.


2.2      Current System
         The current records management system application being used by the City of Austin is
         the Gain 2000 Enterprise Edition records management system by Triadd Software.
         The numbers listed are estimates as of July 20, 2009. These numbers are subject to
         change as new items are added, deleted and existing data clean-up projects continue.
         Department/Divisions:
             Currently 480 named departments and divisions.

         Boxes:
             Active: 90,587
             Inactive: 13522

         Files:
                   Active: 336172
                   Inactive: 5818

         Retention Schedule:
             Number of record series: 1498

         End Users:
             Active: 532

         Watershed Protection and Development Review Database:
             15,000 files

         The application is used to track the transfer of City records to the Iron Mountain records
         center. It also retrieves material and tracks the destruction of material in storage.


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                                                                               RFP No. MSO0037



3.0       REQUIREMENTS INFORMATION


          Vendor responses to the requirements are used to evaluate proposals. The Functional
          and Technical requirements are presented in sections 4 and 5 and also in Appendix B,
          the Vendor Response Access Database. NOTE: The Completed Vendor Response
          Database must be burned to a CD and included with proposals as described in
          Appendix A, Vendor Response Access Database Instructions. In addition a hard
          copy original of the requirement responses must also be submitted. (See Section
          7.4.1)


3.1       Organization of Requirements
          Requirements are grouped into three areas:
                Functional Requirements: These requirements describe product features
                and functionality requested by end users.
                Technical Requirements: Developed by the City’s Communication and
                Technology Management staff, these requirements describe the technical
                specifications to support the Functional Requirements and the constraints
                for security and networking.
                Project Implementation Requirements: These requirements describe the
                project management resources, processes, documentation and training that
                ensure effective product implementation and accomplishment of project
                objectives.

3.2       Qualifiers for Functional and Technical Requirements


      3.2.1     Category
      “Category” distinguishes the requirement within each functional and technical group.
      “Category ID” organizes requirements by business process or technical similarity.


      3.2.2     Requirement Description
      The “Requirement” describes the individual functions identified as either a necessity or a
      desired function.


      3.2.3     Required Response
      The purpose of the “Required Response” is to provide the vendors with the opportunity to
      describe and/or demonstrate how their product meets the individual requirements listed.
      Submission of the Vendor Response Database is a requirement and responses are required
      in the database.


      3.2.4     Importance Rating
      “Importance Rating” indicates how critical the requirement is to achieving product and project
      objectives. End users assign priorities to Functional Requirements and Communications and
      Technology Management staff assign Technical Requirement priorities.               The three
      “Importance Levels” are:




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                                                                                            RFP No. MSO0037



                             Must Have: These requirements may or may not be industry standards but
                             are highly critical to the project. They must either be satisfied by the
                             system’s base functionality or the vendor must offer an alternative such as
                             customization.
                             Expected: These requirements are important to the end users of the system
                             and generally are features that are industry standards. The majority of
                             these requirements need to be satisfied.
                             Desired: These requirements add value, but are not critical to end users.
                             These features would be considered optional.
            4.0      FUNCTIONAL REQUIREMENTS



            4.1      Responding To Functional Requirements
                     To ensure that a proposed solution is thoroughly represented, Vendors should respond to
                     each requirement below by completing Appendix B, Vendor Response Access Database
                     according to the instructions in Appendix A, Vendor Response Access Database
                     Instructions.


            4.2      Table of Functional Requirements


                                    Physical Records Management System Requirements

 Req ID      Owner         Category               Requirement                     Response               Priority    ReqType

4.03.001   OCC             Admin      The system must employ user           Describe how your       Must Have       Functional
                                      identification and authentication     system meets the
                                      measures to ensure that only          requirement.
                                      authorized users may access the
                                      system.

4.03.002   OCC             Admin      The system must support the ability Describe how your         Must Have       Functional
                                      to set up departmental/work unit     system meets the
                                      groups based on the City’s           requirement.
                                      organizational structure. The system
                                      must support assigning users
                                      simultaneously to more than one
                                      department.

4.03.003   OCC             Admin      The system should support the      Describe how your          Desired         Functional
                                      ability to define certain          system meets the
                                      departments/work units as being    requirement.
                                      subject to “charge-backs” based on
                                      the number of boxes in storage and
                                      a user-configurable fee.




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                                                                                            RFP No. MSO0037



                                   Physical Records Management System Requirements

 Req ID      Owner         Category               Requirement                      Response           Priority    ReqType

4.03.004   OCC             Admin      The system must support the ability Describe how your       Must Have      Functional
                                      to set up user/departmental groups system meets the
                                      and administer system privileges    requirement.
                                      based on group membership. At a
                                      minimum the system must support
                                      the following default groups:
                                      Application Administrators are
                                      responsible for setting up and
                                      maintaining the system
                                      infrastructure.
                                      Records Managers are responsible
                                      for the City’s records management
                                      administration (the file plan, user
                                      account maintenance, access
                                      control, report/query creation, etc.)
                                      Records Analysts are responsible for
                                      coordinating the City’s records
                                      management program with City
                                      departments. Each Analyst is
                                      assigned a group of departments for
                                      which they are responsible.
                                      Records Center Staff are
                                      responsible for handling day-to-day
                                      records center functions (processing
                                      records retrieval requests,
                                      processing box pickup requests,
                                      records destruction, etc.)
                                      Departmental Records
                                      Administrators, Coordinators, and
                                      Liaisons are authorized to perform a
                                      variety of records management
                                      tasks within departments and
                                      divisions throughout the City such as
                                      reviewing and authorizing box
                                      transfers and destructions
                                      (Departmental Administrators only);
                                      creating and indexing box/file
                                      records; making records retrieval
                                      requests; and making box pickup
                                      requests.
                                      Staff or general users with limited,
                                      read-only access.

4.03.005   OCC             Admin      The system must support the             Describe how your   Must Have      Functional
                                      assignment and/or denial of             system meets the
                                      permissions to users based on           requirement.
                                      group/departmental membership.

4.03.006   OCC             Admin      The system should support a             Describe how your   Desired        Functional
                                      method of overriding                    system meets the


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                                                                                             RFP No. MSO0037



                                    Physical Records Management System Requirements

 Req ID      Owner         Category              Requirement                       Response            Priority    ReqType

                                      group/departmental-level               requirement.
                                      permissions with individual user-level
                                      permissions.

4.03.007   OCC             Admin      The system must support setting       Describe how your      Must Have      Functional
                                      access controls on individual boxes. system meets the
                                      For instance, the system should       requirement.
                                      support the ability to grant or limit
                                      rights based on the status of a box.
                                      (Example: Allow departmental
                                      records administrators to edit box
                                      information for boxes pending
                                      approval for transfer but not for any
                                      boxes that have been approved and
                                      transferred to the records center.)

4.04.001   OCC             Search     The system must support searches Describe how your           Must Have      Functional
                                      using any combination of the box       system meets the
                                      and/or file indexing fields, including requirement.
                                      user-defined and system-generated
                                      metadata, based on the user’s
                                      group/departmental access
                                      permissions.

4.04.002   OCC             Search     The system must allow users to        Describe how your      Must Have      Functional
                                      specify partial matches and allow     system meets the
                                      use of “wild card” characters.        requirement.

4.04.003   OCC             Search     The system must allow searches           Describe how your   Must Have      Functional
                                      using combinations of such Boolean system meets the
                                      and relational operators as “and,”       requirement.
                                      “and not,” “or,” “greater than” (>),
                                      “less than” (<>), is blank, is null, not
                                      blank, and not null and should
                                      provide a method for the users to
                                      determine the order of precedence.

4.04.004   OCC             Search     The system must allow searches       Describe how your Must Have            Functional
                                      using ranges of search criteria such system meets the
                                      as date ranges, file ranges, box     requirement.
                                      number ranges, and department
                                      code ranges.

4.04.005   OCC             Search     The system must allow                 Describe how your      Must Have      Functional
                                      comprehensive searches for the        system meets the
                                      presence of specified search criteria requirement.
                                      in all metadata fields via a single
                                      search (full-text search).

4.04.006   OCC             Search     The system must allow users to        Describe how your      Must Have      Functional
                                      browse the records based on their     system meets the
                                      File Plan classification.             requirement.




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                                                                                              RFP No. MSO0037



                                     Physical Records Management System Requirements

 Req ID      Owner          Category              Requirement                       Response            Priority    ReqType

4.04.007   OCC              Search     The system must present the user a Describe how your         Must Have      Functional
                                       list of boxes and/or files meeting the system meets the
                                       retrieval criteria, or notify the user if requirement.
                                       there are no records and/or files
                                       meeting the retrieval criteria.



4.04.008   OCC              Search     The system should allow the user to Describe how your        Desired        Functional
                                       select and group search results, and system meets the
                                       to order the columns presented in    requirement.
                                       the search results list for viewing,
                                       printing, etc.

4.04.009   OCC              Search     The system should provide the           Describe how your    Desired        Functional
                                       capability to create, view, save,       system meets the
                                       export, and print the results of a      requirement.
                                       search sorted and/or grouped by
                                       user preference. User must be
                                       allowed to select any number of
                                       boxes or files in a search results list
                                       for additional processing (retrieval
                                       requests, destruction processing,
                                       transfer, etc.)

4.04.010   OCC              Search     The system must allow the user to Describe how your          Must Have      Functional
                                       abort/cancel a search.            system meets the
                                                                         requirement.

4.05.001   OCC              Report     The system must provide authorized Describe how your         Must Have      Functional
                                       users with the ability to create      system meets the
                                       customized, user-defined reports,     requirement.
                                       notifications, and memos based on
                                       report templates or queries using the
                                       data held within the system’s
                                       database. The system must support
                                       the deployment of these reports for
                                       use by other users based on the
                                       group/departmental access
                                       permissions as described in Section
                                       4.03.

4.05.002   OCC              Report     The system must provide authorized Describe how your         Must Have      Functional
                                       users with the ability to create       system meets the
                                       reports using a variety of search      requirement.
                                       criteria as described in Section 4.04.

4.05.003   OCC              Report     The system must: provide a means Describe how your           Must Have      Functional
                                       to generate performance metrics           system meets the
                                       reports on a variety of system            requirement.
                                       activities including, but not limited to:
                                       new boxes/files received, records
                                       reviewed, items transferred, items



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                                                                                            RFP No. MSO0037



                                      Physical Records Management System Requirements

 Req ID      Owner          Category              Requirement                     Response            Priority    ReqType

                                       whose retention has expired, items
                                       destroyed, etc.

4.05.004   OCC              Report     The system must provide authorized Describe how your       Must Have      Functional
                                       users with the ability to export report system meets the
                                       data from the system and save           requirement.
                                       reports in a variety of electronic
                                       formats (Excel, Word, PDF, etc.)

4.05.005   OCC              Report     The system should be able to create Describe how your      Desired        Functional
                                       billing memos for select departments system meets the
                                       based on the number of boxes in      requirement.
                                       storage and a user-configurable fee.

4.05.006   OCC              Report     The system should provide            Describe how your     Desired        Functional
                                       authorized users with the ability to system meets the
                                       send reports, notifications, and     requirement.
                                       memos to users via the City’s e-mail
                                       system.

4.06.001   OCC              History    The system must provide a method Describe how your         Must Have      Functional
                                       to track a complete history (audit     system meets the
                                       trail) of all of the events, status    requirement.
                                       changes, and activities associated
                                       with boxes, files, records categories,
                                       users, groups, departments, and
                                       other system components. The audit
                                       log must capture the identity of the
                                       user taking the action, date/time of
                                       the event or action, and the type of
                                       event, status, and/or action.

4.06.002   OCC              History    The captured audit actions for box   Describe how your     Must Have      Functional
                                       records must include retrieving,     system meets the
                                       creating, deleting, viewing,         requirement.
                                       destruction, and editing activities.
                                       The audit log must capture changes
                                       of custody, when box statuses were
                                       changed and who changed them.

4.06.003   OCC              History    The system should provide the ability Describe how your    Desired        Functional
                                       for authorized users to create        system meets the
                                       custom-defined events, statuses,      requirement.
                                       and activities to be captured in the
                                       history log.

4.06.004   OCC              History    The system must provide the ability   Describe how your    Must Have      Functional
                                       to view, copy, save, and print the    system meets the
                                       history log based on user             requirement.
                                       permissions.

4.06.005   OCC              History    The system must prohibit editing of   Describe how your    Must Have      Functional
                                       the history log.                      system meets the




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                                                                                                RFP No. MSO0037



                                       Physical Records Management System Requirements

 Req ID      Owner          Category                Requirement                       Response            Priority    ReqType

                                                                                 requirement.

4.06.006   OCC              History     The system should provide analysis Describe how your          Desired        Functional
                                        functionality by which an authorized system meets the
                                        individual can create and save       requirement.
                                        specialized audit reports.

4.06.007   OCC              History     The system should allow only             Describe how your    Desired        Functional
                                        authorized users to export and/or        system meets the
                                        backup and remove audit files from       requirement.
                                        the system.

4.07.001   OCC              Data Mgt    The system must provide the              Describe how your    Must Have      Functional
                                        capability for authorized users to       system meets the
                                        make global changes to the record        requirement.
                                        series names, record series codes,
                                        disposition components, users,
                                        groups, originating departments,
                                        box/file information, and other
                                        metadata. Global changes of
                                        metadata must propagate to all
                                        related tables. The system must
                                        enforce data integrity, referential
                                        integrity, and relational integrity of
                                        the metadata.

4.07.002   OCC              Data Mgt    The system must provide the            Describe how your      Must Have      Functional
                                        capability for authorized users to     system meets the
                                        perform bulk uploads of all or part of requirement.
                                        the City’s File Plan, users, groups,
                                        originating departments, box/file
                                        information, and other metadata.

4.07.003   OCC              Data Mgt    The system must support the ability Describe how your         Must Have      Functional
                                        to upload data from and export data system meets the
                                        to the City’s records storage vendor, requirement.
                                        Iron Mountain.

4.07.004   OCC              Data Mgt    The system must provide the        Describe how your          Must Have      Functional
                                        capability for authorized users to system meets the
                                        customize user screens and arrange requirement.
                                        the components on screens to be
                                        used for searching, filing, making
                                        retrieval requests, and other
                                        screens.

4.07.005   OCC              Data Mgt    The system must provide the              Describe how your    Must Have      Functional
                                        capability for authorized users to       system meets the
                                        assign default values to metadata        requirement.
                                        fields on screens to be used for
                                        searching, filing, making retrieval
                                        requests, and other screens.




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                                                                                             RFP No. MSO0037



                                       Physical Records Management System Requirements

 Req ID      Owner          Category                Requirement                     Response           Priority    ReqType

4.07.006   OCC              Data Mgt    The system must provide the          Describe how your     Must Have      Functional
                                        capability for authorized users to   system meets the
                                        create and maintain templates that requirement.
                                        automatically populate commonly
                                        used data into file and box metadata
                                        fields. The system must provide the
                                        capability for authorized users to
                                        create and maintain picklists from
                                        metadata lookup tables.

4.08.001   OCC              Other       The vendor must provide services to Describe how your      Must Have      Functional
                                        support the migration of data from     system meets the
                                        the City’s legacy records center       requirement.
                                        system, GAIN 2000, as well as
                                        metadata stored in a custom system
                                        maintained by the Watershed
                                        Protection Department. The City will
                                        also expect assistance from the
                                        vendor in data clean-up and
                                        normalization prior to transfer to the
                                        new system.

4.08.002   OCC              Other       The vendor must provide user       Describe how your       Must Have      Functional
                                        guides, technical manuals,         system meets the
                                        installation procedures, training  requirement.
                                        manuals, and other system
                                        documentation required for ongoing
                                        training, operations, and
                                        maintenance of the system.

4.08.003   OCC              Other       The vendor must provide training for Describe how your     Must Have      Functional
                                        Records Managers, administrators, system meets the
                                        and Records Center Staff (train-the- requirement.
                                        trainer training).

4.08.004   OCC              Other       The system must have an on-line      Describe how your     Must Have      Functional
                                        help capability for access to user   system meets the
                                        operational information. Help should requirement.
                                        be context sensitive to the screens
                                        from which help was launched.
                                        Global help should be available from
                                        a toolbar menu item or keyboard
                                        shortcut.

4.08.005   OCC              Other       The system should have capability to Describe how your     Desired        Functional
                                        create and read barcodes.            system meets the
                                                                             requirement.

4.09.001   OCC              Records     Vendors must demonstrate the           Describe how your   Must Have      Functional
                            Control     proposed system’s file                 system meets the
                                        plan/taxonomy structure.               requirement.

4.09.002   OCC              Records     The system must support the            Describe how your   Must Have      Functional
                                        hierarchical structure of the City’s   system meets the



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                                                                                               RFP No. MSO0037



                                      Physical Records Management System Requirements

 Req ID      Owner          Category               Requirement                      Response             Priority    ReqType

                            Control    File Plan. Each File Plan category       requirement.
                                       identifier must be linked to its higher-
                                       level File Plan components.

4.09.003   OCC              Records    The system must allow only            Describe how your       Must Have      Functional
                            Control    authorized users to create, edit, and system meets the
                                       delete File Plan components and       requirement.
                                       their metadata.

4.09.004   OCC              Records    The system must maintain an audit Describe how your           Must Have      Functional
                            Control    trail of edits made to File Plan   system meets the
                                       components as described in Section requirement.
                                       4.06.

4.09.005   OCC              Records    The system must provide the           Describe how your       Must Have      Functional
                            Control    following mandatory File Plan         system meets the
                                       metadata: name, identifiers (COA      requirement.
                                       File Plan coding as well as Texas
                                       Stat Library codes), Description,
                                       Disposition Instructions, Disposition
                                       Authority, Retention Period, Transfer
                                       of Austin History Center Indicator
                                       (Historical records), Vital Record
                                       Indicator, Texas State Library
                                       Approval Status and
                                       Comments/Notes.

4.09.006   OCC              Records    The system must provide the ability    Describe how your      Must Have      Functional
                            Control    for authorized users to create         system meets the
                                       custom user-defined fields             requirement.
                                       associated with File Plan
                                       components.

4.09.007   OCC              Records    The system must ensure that           Describe how your       Must Have      Functional
                            Control    Records Series (a group of related system meets the
                                       records filed/used together as a unit requirement.
                                       and evaluated as a unit for retention
                                       purposes) identifiers are unique so
                                       that ambiguous assignments,
                                       classifications, or associations
                                       cannot occur.

4.09.008   OCC              Records    The system should allow authorized Describe how your          Desired        Functional
                            Control    users to restrict access to File Plan system meets the
                                       components based on user group        requirement.
                                       membership, department/work unit,
                                       or individual user profiles as
                                       described in Section 4.03. The
                                       system must present to users only
                                       those Records Series available to
                                       the user, group, or department for
                                       filing.




            Page 14 of 48
                                                                                            RFP No. MSO0037



                                      Physical Records Management System Requirements

 Req ID      Owner          Category              Requirement                     Response            Priority    ReqType

4.09.009   OCC              Records    The system must support granting      Describe how your    Must Have      Functional
                            Control    access of File Plan components to     system meets the
                                       multiple user groups,                 requirement.
                                       department/work units, and
                                       individual user profiles.

4.09.010   OCC              Records    The system must allow authorized     Describe how your     Must Have      Functional
                            Control    users to associate records retention system meets the
                                       rules with Records Series            requirement.
                                       components.

4.09.011   OCC              Records    The system must allow authorized    Describe how your      Must Have      Functional
                            Control    users to define and name retention system meets the
                                       events. Multiple events per Records requirement.
                                       Series must be supported.

4.09.012   OCC              Records    The system must allow authorized     Describe how your     Must Have      Functional
                            Control    users to define and name disposition system meets the
                                       types. Examples include:             requirement.
                                       Destruction, Transfer and
                                       Expungement.

4.09.013   OCC              Records    Mandatory event/disposition types      Describe how your   Must Have      Functional
                            Control    include: Records are eligible to enter system meets the
                                       their disposition immediately after    requirement.
                                       the conclusion of a fixed period of
                                       time following the event (year end,
                                       fiscal year end, etc.); Records are
                                       eligible for disposition immediately
                                       after a specified event takes place
                                       (Administrative value, etc.);
                                       Retention periods triggered after a
                                       specified event takes place (for
                                       example, contract close plus two
                                       years.)

4.09.014   OCC              Records    The system must calculate the         Describe how your    Must Have      Functional
                            Control    retention period and destruction      system meets the
                                       dates of records based on user-       requirement.
                                       supplied dates.

4.09.015   OCC              Records    The system must recalculate the       Describe how your    Must Have      Functional
                            Control    retention period and destruction      system meets the
                                       dates based on changes to any         requirement.
                                       event dates according to the
                                       retention rules associated with the
                                       dates.

4.09.016   OCC              Records    The system must provide the            Describe how your   Must Have      Functional
                            Control    capability to reorganize the File Plan system meets the
                                       and automatically propagate the        requirement.
                                       changes resulting from the
                                       reorganization to the affected




            Page 15 of 48
                                                                                               RFP No. MSO0037



                                      Physical Records Management System Requirements

 Req ID      Owner          Category               Requirement                        Response           Priority    ReqType

                                       records.

4.09.017   OCC              Records    For boxes and files with event- and Describe how your         Must Have      Functional
                            Control    time-event-driven dispositions, the  system meets the
                                       system must allow authorized users requirement.
                                       to indicate when the specified event
                                       has occurred.

4.09.018   OCC              Records    The system must provide the             Describe how your     Must Have      Functional
                            Control    capability for only authorized users to system meets the
                                       change a Records Series associated requirement.
                                       with a box.

4.09.019   OCC              Records    The system must provide the               Describe how your   Must Have      Functional
                            Control    capability to view, save, or print File   system meets the
                                       Plan metadata, sorted and/or              requirement.
                                       grouped by user preference.

4.09.020   OCC              Records    The system must provide the ability       Describe how your   Must Have      Functional
                            Control    to search the File Plan using a           system meets the
                                       variety of criteria as described in       requirement.
                                       Section 4.04.

4.09.021   OCC              Records    The system must provide authorized Describe how your          Must Have      Functional
                            Control    users with the ability to create      system meets the
                                       customized, user-defined File Plan requirement.
                                       reports as described in Section 4.05.

4.10.001   OCC              Index      Vendors must demonstrate the              Describe how your   Must Have      Functional
                                       proposed system’s procedures for          system meets the
                                       entering the indexing data for new        requirement.
                                       boxes and files.

4.10.002   OCC              Index      The system must restrict the ability Describe how your        Must Have      Functional
                                       to create records for new boxes and system meets the
                                       files to authorized users.           requirement.

4.10.003   OCC              Index      Must allow authorized users to          Describe how your     Must Have      Functional
                                       establish data validation rules for all system meets the
                                       users, user groups, departments, or requirement.
                                       other organizational entities. Such
                                       requirements may include: Making
                                       some fields mandatory and others
                                       optional (for instance, all boxes must
                                       be classified in the File Plan, with a
                                       disposal date and disposal action;
                                       require identification of the record
                                       custodian, linked to the departmental
                                       code); Constraining data entry
                                       options (for instance, limiting
                                       departments to specific Records
                                       Series identifiers and specific
                                       departmental codes); Ensuring all
                                       files in a box are classified in the



            Page 16 of 48
                                                                                             RFP No. MSO0037



                                    Physical Records Management System Requirements

 Req ID      Owner          Category               Requirement                     Response            Priority    ReqType

                                       same Records Series and have the
                                       same close date for retention
                                       purposes; Prohibiting users from
                                       entering records that have already
                                       passed their retention period;
                                       Prohibiting users from entering
                                       records for a department code that
                                       they do not have access.

4.10.004   OCC              Index      The system must assign a unique         Describe how your   Must Have      Functional
                                       record identifier for each box and file system meets the
                                       it manages. If the unique identifier is requirement.
                                       system-generated, the system must
                                       also support one or more user-
                                       defined identifiers for each box and
                                       file (e.g., Iron Mountain bar code
                                       numbers, departmental numbers,
                                       etc.) and be able to search on those
                                       user defined identifiers.

4.10.005   OCC              Index      The system must support the ability Describe how your       Must Have      Functional
                                       to identify and track multiple box  system meets the
                                       types and sizes.                    requirement.

4.10.006   OCC              Index      The system should provide methods Describe how your         Desired        Functional
                                       for assisting the user in classifying system meets the
                                       records and in the selection of the   requirement.
                                       File Plan components to be assigned
                                       to a record. For instances,
                                       authorized users should be able to
                                       designate “favorites” for a
                                       department and/or user.

4.10.007   OCC              Index      The system must provide the             Describe how your   Must Have      Functional
                                       capability for only authorized users to system meets the
                                       modify the metadata of boxes and        requirement.
                                       files or delete records from the
                                       system.

4.10.008   OCC              Index      The system must support the bulk     Describe how your      Must Have      Functional
                                       upload of data to create new box and system meets the
                                       file records.                        requirement.

4.10.009   OCC              Index      The system should support the          Describe how your    Desired        Functional
                                       ability to scan indexing information   system meets the
                                       on folders; for instance file names    requirement.
                                       and/or barcodes.

4.10.010   OCC              Index      The system must support tracking       Describe how your    Must Have      Functional
                                       “accessions” of boxes; a group of      system meets the
                                       boxes submitted for review and         requirement.
                                       transfer on the same date by the
                                       same requester.




            Page 17 of 48
                                                                                              RFP No. MSO0037



                                    Physical Records Management System Requirements

 Req ID      Owner          Category              Requirement                       Response            Priority    ReqType

4.10.011   OCC              Index      The system must support the City’s Describe how your         Must Have      Functional
                                       process for submitting new boxes for system meets the
                                       review and transfer to the records     requirement.
                                       center, and manage box statuses.
                                       This procedure may include:
                                       Entering box and file metadata into
                                       the system with a status of “pending”
                                       or “under review.”; Alerting Records
                                       Analysts that accessions of new
                                       boxes from one of their assigned
                                       departments are ready for review.
                                       The system must identify and
                                       present to the Records Manager
                                       and/or Analysts the boxes that are
                                       ready for review. The system must
                                       support Records Analysts in tracking
                                       and managing/prioritizing their
                                       review activities; Generating a
                                       report for departmental Records
                                       Administrator notifying them of the
                                       status of the Records Analyst review
                                       (which boxes in an accession have
                                       been approved for transfer and
                                       which have been denied). The
                                       system must provide a means for
                                       the departmental Records
                                       Administrator to respond to this
                                       report; Issuance of pick-up requests
                                       to Iron Mountain by Records Center
                                       staff in order to schedule the pick-up
                                       of the boxes that have been
                                       approved for transfer. The system
                                       must also send confirmation of the
                                       pick-up request to the departmental
                                       staff that entered the request;
                                       Updating the status of the boxes to
                                       indicate whether they have been
                                       “checked into” the Records Center,
                                       or “denied” transfer; Confirming the
                                       receipt of boxes at Iron Mountain’s
                                       facilities.

4.10.012   OCC              Index      The system must allow users to         Describe how your     Must Have      Functional
                                       enter special instructions or delivery system meets the
                                       instructions when placing a request requirement.
                                       for delivery or pick-up.

4.10.013   OCC              Index      The system must provide a means Describe how your            Must Have      Functional
                                       to generate performance metrics           system meets the
                                       reports on accession and transfer         requirement.
                                       activities including, but not limited to:
                                       number of new boxes submitted for
                                       review, number of records reviewed,



            Page 18 of 48
                                                                                                RFP No. MSO0037



                                        Physical Records Management System Requirements

 Req ID      Owner          Category                 Requirement                      Response            Priority    ReqType

                                         status of records being accessioned,
                                         number of items actually transferred,
                                         etc.

4.10.014   OCC              Index        The system must provide a method        Describe how your    Must Have      Functional
                                         to track a complete history of all of   system meets the
                                         the events associated with new          requirement.
                                         accessions of boxes.

4.11.001   OCC              Retrieval    Vendors must demonstrate their          Describe how your    Must Have      Functional
                                         proposed system’s procedures for        system meets the
                                         handling retrieval requests and re-     requirement.
                                         files of boxes and files.

4.11.002   OCC              Retrieval    The system must support searching Describe how your          Must Have      Functional
                                         to locate boxes and files for retrieval system meets the
                                         using all of the methods described in requirement.
                                         Section 4.04.

4.11.003   OCC              Retrieval    The system must allow the user to        Describe how your   Must Have      Functional
                                         select any number of boxes or files system meets the
                                         in a search results list for a retrieval requirement.
                                         request. The system must track a
                                         complete history (audit trail) of all of
                                         the events, status changes, and
                                         activities associated with retrieval
                                         requests of boxes and files as
                                         described in Section 4.06.

4.11.004   OCC              Retrieval    The system must prevent               Describe how your      Must Have      Functional
                                         unauthorized retrieval requests using system meets the
                                         group-, departmental-, or individual- requirement.
                                         level permissions as described in
                                         Section 4.03.

4.11.005   OCC              Retrieval    The system must provide a means Describe how your            Must Have      Functional
                                         to generate performance metrics       system meets the
                                         reports on activities associated with requirement.
                                         retrieval requests of boxes and files
                                         as described in Sections 4.05 and
                                         4.06.

4.11.006   OCC              Retrieval    The system must provide authorized Describe how your         Must Have      Functional
                                         users with the ability to create      system meets the
                                         customized, user-defined reports,     requirement.
                                         notifications, and memos using data
                                         associated with retrieval requests of
                                         boxes and files as described in
                                         Section 4.05.

4.11.007   OCC              Retrieval    The system must allow users to          Describe how your    Must Have      Functional
                                         provide special delivery instructions   system meets the
                                         for retrieval requests.                 requirement.




            Page 19 of 48
                                                                                                RFP No. MSO0037



                                        Physical Records Management System Requirements

 Req ID      Owner          Category                 Requirement                       Response           Priority    ReqType

4.11.008   OCC              Retrieval    The system must allow users to       Describe how your       Must Have      Functional
                                         make “mixed” requests for both files system meets the
                                         and boxes in the same transaction. requirement.

4.11.009   OCC              Retrieval    The system must allow users to set Describe how your         Must Have      Functional
                                         a priority level on a retrieval request. system meets the
                                                                                  requirement.

4.11.010   OCC              Retrieval    The system must allow authorized         Describe how your   Must Have      Functional
                                         users to define custom priorities        system meets the
                                         values and set default priorities on     requirement.
                                         retrieval requests.

4.11.011   OCC              Retrieval    If a user requests a box or file that is Describe how your   Must Have      Functional
                                         already checked out, the system          system meets the
                                         must alert the user that the item is     requirement.
                                         not available.

4.11.012   OCC              Retrieval    The system should support the            Describe how your   Must Have      Functional
                                         capability to electronically transmit    system meets the
                                         retrieval requests to the City’s         requirement.
                                         records management vendor, Iron
                                         Mountain.

4.11.013   OCC              Retrieval    The system must support the           Describe how your      Must Have      Functional
                                         capability to electronically receive  system meets the
                                         and upload retrieval request statuses requirement.
                                         provided by the City’s records
                                         management vendor, Iron Mountain.
                                         Examples include “Processed,” “Not
                                         Found,” and “Already Checked Out.

4.12.001   OCC              Re-files     The system must support searching Describe how your          Must Have      Functional
                                         to locate boxes and files for re-files system meets the
                                         using all of the methods described in requirement.
                                         Section 4.04.

4.12.002   OCC              Re-files     The system must allow the user to        Describe how your   Must Have      Functional
                                         select any number of boxes or files      system meets the
                                         in a search results list for a re-file   requirement.
                                         request.

4.12.003   OCC              Re-files     The system must track a complete         Describe how your   Must Have      Functional
                                         history (audit trail) of all of the      system meets the
                                         events, status changes, and              requirement.
                                         activities associated with re-file
                                         requests of boxes and files as
                                         described in Section 4.06.

4.12.004   OCC              Re-files     The system must prevent               Describe how your      Must Have      Functional
                                         unauthorized re-file requests using system meets the
                                         group-, departmental-, or individual- requirement.
                                         level permissions as described in
                                         Section 4.03.



            Page 20 of 48
                                                                                               RFP No. MSO0037



                                       Physical Records Management System Requirements

 Req ID      Owner          Category                Requirement                      Response            Priority    ReqType

4.12.005   OCC              Re-files    The system must provide a means Describe how your            Must Have      Functional
                                        to generate performance metrics        system meets the
                                        reports on activities associated with requirement.
                                        re-file requests of boxes and files as
                                        described in Sections 4.05 and 4.06.

4.12.006   OCC              Re-files    The system must provide authorized Describe how your         Must Have      Functional
                                        users with the ability to create    system meets the
                                        customized, user-defined reports,   requirement.
                                        notifications, and memos using data
                                        associated with re-file requests of
                                        boxes and files as described in
                                        Section 4.05

4.12.007   OCC              Re-files    The system must allow users to           Describe how your   Must Have      Functional
                                        provide special instructions for re-file system meets the
                                        pick-ups.                                requirement.

4.12.008   OCC              Re-files    The system must allow users to       Describe how your       Must Have      Functional
                                        make “mixed” requests for both files system meets the
                                        and boxes in the same transaction. requirement.

4.12.009   OCC              Re-files    The system should support the          Describe how your     Desired        Functional
                                        capability to electronically transmit  system meets the
                                        re-file requests to the City’s records requirement.
                                        management vendor, Iron Mountain.

4.12.010   OCC              Re-files    The system must support the            Describe how your     Must Have      Functional
                                        capability to electronically receive   system meets the
                                        and upload re-file transaction         requirement.
                                        statuses provided by the City’s
                                        records management vendor, Iron
                                        Mountain.

4.13.001   OCC              Disposition Vendors must demonstrate the         Describe how your       Must Have      Functional
                                        disposal processing procedure of the system meets the
                                        proposed system.                     requirement.

4.13.002   OCC              Disposition The system must identify and       Describe how your         Must Have      Functional
                                        present to the Records Manager and system meets the
                                        Analysts the records, including    requirement.
                                        metadata, that have met their
                                        retention period.

4.13.003   OCC              Disposition The system must support the          Describe how your       Must Have      Functional
                                        destruction of records before they   system meets the
                                        have met their retention period      requirement.
                                        (expungement of records). The
                                        system must restrict the approval of
                                        expungements to the Records
                                        Manager and Analysts.

4.13.004   OCC              Disposition The system must permit authorized      Describe how your     Must Have      Functional
                                        users to generate one or more          system meets the



            Page 21 of 48
                                                                                              RFP No. MSO0037



                                      Physical Records Management System Requirements

 Req ID      Owner          Category                Requirement                     Response            Priority    ReqType

                                        notifications (the destruction         requirement.
                                        authorization memo) requiring
                                        departmental Records
                                        Administrators to provide
                                        confirmation/approval before the
                                        destruction operation is executed.

4.13.005   OCC              Disposition The system must permit authorized      Describe how your    Must Have      Functional
                                        users to add/remove items from a       system meets the
                                        destruction authorization memo.        requirement.

4.13.006   OCC              Disposition The system must permit authorized Describe how your         Must Have      Functional
                                        users to generate a destruction        system meets the
                                        notification report for the purpose of requirement.
                                        review by the City’s archives, the
                                        Austin History Center (AHC). The
                                        Austin History Center must review
                                        select destruction authorization
                                        memo before it goes to the
                                        department responsible for the
                                        records so that items of historical
                                        value can be identified. The system
                                        must provide a method to “flag”
                                        boxes that have been so identified.
                                        The destruction authorization
                                        memos sent to departments for
                                        review should identify the boxes that
                                        have been flagged for transfer to the
                                        Austin History Center.

4.13.007   OCC              Disposition The system must provide a method       Describe how your    Must Have      Functional
                                        to manage the destruction              system meets the
                                        cancellation and reassignment          requirement.
                                        process: instances in which the
                                        departmental response to a
                                        destruction authorization memo is
                                        that the boxes belong to another
                                        department. The system must
                                        provide a method to cancel the
                                        destruction authorization memo,
                                        change department codes, and
                                        resume the destruction process.

4.13.008   OCC              Disposition The system must provide a method       Describe how your    Must Have      Functional
                                        to identify items that are currently   system meets the
                                        checked out from the Records           requirement.
                                        Center and have met their retention
                                        period. The system must provide a
                                        method to notify the department in
                                        possession of the records that they
                                        are responsible for the destruction.

4.13.009   OCC              Disposition The system must provide a method       Describe how your    Must Have      Functional



            Page 22 of 48
                                                                                                RFP No. MSO0037



                                      Physical Records Management System Requirements

 Req ID      Owner          Category                Requirement                      Response             Priority    ReqType

                                        to process the preliminary and final system meets the
                                        destruction listings received in Excel requirement.
                                        format from Iron Mountain, in order
                                        to compare the contents of this
                                        report against the contents of the
                                        destruction requests/pick-lists sent to
                                        them.

4.13.010   OCC              Disposition The system must provide an option Describe how your           Must Have      Functional
                                        allowing the City to select whether to system meets the
                                        retain or delete the metadata of       requirement.
                                        destroyed records.

4.13.011   OCC              Disposition The system must provide a method Describe how your            Must Have      Functional
                                        for tracking the transfer of records to system meets the
                                        the Austin History Center.              requirement.

4.13.012   OCC              Disposition The system must restrict the final     Describe how your      Must Have
                                        records destruction, expungement,      system meets the
                                        transfer approval to authorized        requirement.
                                        users.

4.13.013   OCC              Disposition The system must provide                   Describe how your   Must Have      Functional
                                        documentation of                          system meets the
                                        destruction/expungement/transfer          requirement.
                                        activities (certificates of destruction).
                                        This documentation will be retained
                                        as records.

4.13.014   OCC              Disposition The system must update the status      Describe how your      Must Have      Functional
                                        of destroyed/expunged/transferred      system meets the
                                        boxes and add the                      requirement.
                                        destruction/expungement event to
                                        the boxes’ audit/history logs.

4.13.015   OCC              Disposition The system must provide the            Describe how your      Must Have      Functional
                                        capability for bulk updating of box    system meets the
                                        and file metadata as a result of       requirement.
                                        destruction, expungement, or
                                        transfer actions.

4.13.016   OCC              Disposition The system must support the             Describe how your     Must Have      Functional
                                        capability for only authorized users to system meets the
                                        extend or suspend (freeze) the          requirement.
                                        retention period of records beyond
                                        their scheduled disposition. The
                                        system must provide a field for
                                        authorized users to enter the
                                        reasons for freezing a box.

4.13.017   OCC              Disposition The system must provide a method Describe how your            Must Have      Functional
                                        to identify boxes that have been    system meets the
                                        frozen and provide authorized users requirement.




            Page 23 of 48
                                                                                               RFP No. MSO0037



                                      Physical Records Management System Requirements

 Req ID      Owner          Category                Requirement                      Response            Priority    ReqType

                                        the capability to unfreeze them.

4.13.018   OCC              Disposition The system must allow authorized       Describe how your     Must Have      Functional
                                        users to search, update, and view      system meets the
                                        the reasons for freezing a record or   requirement.
                                        record folder.

4.13.019   OCC              Disposition The system must provide a means Describe how your            Must Have      Functional
                                        to generate performance metrics           system meets the
                                        reports on destruction processing         requirement.
                                        activities including, but not limited to:
                                        number of destruction authorization
                                        memos sent out, number of items
                                        actually destroyed, records
                                        transferred to the History Center,
                                        records frozen, etc.

4.13.020   OCC              Disposition Must provide a method to track a       Describe how your     Must Have      Functional
                                        complete history of all of the events system meets the
                                        associated with items on a             requirement.
                                        destruction authorization memo
                                        including, but not limited to (a)
                                        destruction authorization memos
                                        sent to the Austin History Center; (b)
                                        responses from the Austin History
                                        Center; (c) first destruction
                                        authorization memos sent to
                                        departments; (d) second reminders
                                        sent to departments; (e)
                                        confirmations returned from
                                        departments; (f) destruction requests
                                        sent to Iron Mountain; (g) preliminary
                                        destruction listing received from Iron
                                        Mountain; (h) confirmation from Iron
                                        Mountain that items have been
                                        destroyed.

4.13.021   OCC              Disposition Certain permanent records are also Describe how your         Must Have      Functional
                                        microfilmed for retention purposes. system meets the
                                        The system must support the ability requirement.
                                        to link a box with a reel of microfilm
                                        and a new box number containing
                                        the microfilm version of the records.
                                        The system must provide a method
                                        to track the history of events
                                        associated with microfilming records
                                        and support generating performance
                                        metrics reports on microfilming
                                        activities.




            Page 24 of 48
                                                                                           RFP No. MSO0037



           5.0      TECHNICAL REQUIREMENTS



           5.1      Technology Environment at the City of Austin
                    The City has a heterogeneous environment using various operating systems. It is
                    important that software applications allow the City the flexibility to choose among LAN
                    vendors and desktop vendors in the future. Thus, Web-based and RFC compliant
                    systems are given preference.
                    City workstations are mostly Windows XP based but there are also Linux desktops. The
                    systems are 350MHz and above, with 256MB memory and 30GB hard drives used for all
                    software applications. The selected solution must accommodate MS Office 2003 or
                    higher, including Office XP and the latest version now in beta testing format.
                    The LAN environment is mostly Active Directory 2003 but the selected solution should
                    provide support for the Windows Vista when it becomes available. The solution should
                    also support NFS and NIS for UNIX platforms. Being LDAP compliant is important to the
                    City, as it will allow the software application to use various authentication systems.
                    The Vendor should assume 100/1000 Mbps, full duplex, data transfer rate for the
                    communications between servers and between servers and core switches with the
                    standard workstation communicating with the network at a speed of 10 Mbps, full duplex.
                    The network has many ISDN links that must be considered in the Vendor’s proposal.
                    Network time source will use NTP protocol and is available on the TCP/IP network.
                    The City of Austin manages and monitors its private fiber network via Computer
                    Associate’s Spectrum Management System on its wired network.
                    The public front-end Web servers are standardized on Apache and Red Hat for security
                    reasons. Database platforms have been standardized on IBM AIX P Series and Oracle.
                    Windows systems are acceptable for other tiers of a system if appropriate.


           5.2      Responding To Technical Requirements
                    To ensure that a proposed solution is thoroughly represented, Vendors should respond to
                    each requirement below in Attachment B, Vendor Response Access Database according
                    to the instructions in Attachment A, Vendor Response Access Database Instructions.
                    Note: All proposed solutions should respond to section 5.03. If the proposed solution is a
                    client-server or internally hosted solution, respond to the requirements in section 5.04. If
                    the proposed solution is an externally hosted solution (ASP) respond to the requirements
                    in section 5.5.


           5.3      Table of Technical Requirements – All Solutions


                               Physical Records Management System Requirements

  Req ID         Owner         Category             Requirement                  Response             Priority      ReqType

5.03.001    All Solutions   Application      The desktop component of      Describe what            Expected       Technical
                            Software         the solution should be able   operating environment
                                             to run on the MS XP           is used by the solution.
                                             Operating System (City        Indicate whether
                                             desktops are managed via      Microsoft Vista is (or
                                             the network).                 will be) supported.




           Page 25 of 48
                                                                                          RFP No. MSO0037



                               Physical Records Management System Requirements

  Req ID        Owner         Category           Requirement                    Response             Priority    ReqType

5.03.002    All Solutions   Application   If the solution is client-      Describe how users      Expected      Technical
                            Software      server architecture, the        can be operated by
                                          client software should be       remote access over a
                                          Citrix compliant.               network via Citrix
                                                                          sessions. Indicate
                                                                          whether the proposed
                                                                          solution is currently
                                                                          running successfully in
                                                                          a Citrix environment at
                                                                          customer sites.


5.03.003    All Solutions   Application   The vendor must identify        List any third-party    Expected      Technical
                            Software      any third-party software        software products used
                                          products used within the        within the proposed
                                          proposed system                 configuration. Include
                                          configuration.                  third-party DB
                                                                          management products,
                                                                          report/query tools,
                                                                          client-side products
                                                                          required. Also list any
                                                                          third-party tools
                                                                          supported, but not
                                                                          provided (I.e. report
                                                                          writing tools).

5.03.004    All Solutions   Application   Patch updates to operating      Describe how patch      Expected      Technical
                            Software      system software,                updates are tested and
                                          application software,           approved for
                                          database software and           implementation within 5
                                          client software should be       days of a new patch
                                          tested and identified for       release (i.e. server,
                                          implementation within 5         OS, application,
                                          days of a new patch             browser, and
                                          release.                        database). Provide the
                                                                          average time required
                                                                          by your organization to
                                                                          test and approve
                                                                          patches and upgrades
                                                                          for operating systems,
                                                                          application software,
                                                                          and other components
                                                                          of the entire working
                                                                          solution.

5.03.005    All Solutions   Application   The Vendor should provide       Provide the               Expected    Technical
                            Software      documentation detailing the     documentation of the
                                          technical architecture of the   solution and indicate its
                                          components of this              limitations. Provide a
                                          solution, including a simple    simple diagram of the
                                          network architecture            proposed solution
                                          diagram.                        architecture, showing



           Page 26 of 48
                                                                                          RFP No. MSO0037



                               Physical Records Management System Requirements

  Req ID        Owner         Category           Requirement                   Response              Priority    ReqType

                                                                         the hardware
                                                                         components and
                                                                         indicating the types of
                                                                         data exchange
                                                                         between components.

5.03.006    All Solutions   Application   The proposed solution          List any dependencies Expected         Technical
                            Software      client software should not     that the proposed
                                          depend on Microsoft Office     solution has on
                                          applications for proper        Microsoft Office
                                          operation.                     applications.

5.03.007    All Solutions   Business      The proposed solution          Explain how the         Must Have      Technical
                            Continuity    must be capable of             solution can be
                                          providing 99.9% uptime if      designed to support
                                          the City of Austin chooses     this level of uptime.
                                          to require it. This level of   Indicate tools and
                                          availability may be directly   methods supported by
                                          supported by the proposed      the solution to provide
                                          solution, or may use third-    the uptime requirement
                                          party tools and methods to     (such as hardware fault
                                          achieve 99.9% uptime.          tolerance, clustering,
                                                                         mirroring, high
                                                                         availability platforms,
                                                                         etc.). Annotate the
                                                                         provided
                                                                         network/system
                                                                         diagrams to illustrate.

5.03.008    All Solutions   Business      If data archiving is           Describe the limits for   Expected     Technical
                            Continuity    provided, the solution         archiving data.
                                          should enable data storage     Describe how data is
                                          and retrieval from archived    stored and retrieved.
                                          data.

5.03.009    All Solutions   Business      If data archiving is           Describe the solution’s Expected       Technical
                            Continuity    provided, the solution         data archiving solution.
                                          should allow a user with       Indicate if a user with
                                          appropriate privileges to      appropriate privileges
                                          define datasets to be          can define datasets to
                                          archived, retention periods    be archived, retention
                                          for current and archived       periods for current and
                                          data, and the date and time    archived data, and the
                                          of archival.                   date and time of
                                                                         archival. Describe all
                                                                         other user-definable
                                                                         features of the
                                                                         archiving function.



5.03.010    All Solutions   Business      The solution should be able Explain how certain     Expected          Technical
                            Continuity    to recover specific data    selected records and/or



           Page 27 of 48
                                                                                        RFP No. MSO0037



                               Physical Records Management System Requirements

  Req ID        Owner         Category          Requirement                   Response            Priority    ReqType

                                         records and/or files.          files can be recovered
                                                                        from backup data and
                                                                        made available to the
                                                                        application.

5.03.011    All Solutions   Business     The solution should be         Provide the number of Expected       Technical
                            Continuity   scalable for future growth.    concurrent users the
                                                                        proposed system can
                                                                        support, and explain
                                                                        the software and
                                                                        hardware changes
                                                                        required to allow
                                                                        growth. Include the
                                                                        licensing structure and
                                                                        the cost levels.

5.03.012    All Solutions   Data         The Vendor should explain      Describe the            Expected     Technical
                            Management   the relationships between      relationships between
                                         data stored on the main        data stored on the main
                                         servers, the report servers,   servers, the report
                                         the training servers, the      servers, the training
                                         archive servers, and any off   servers, the archive
                                         line data.                     servers, and any off
                                                                        line data.

5.03.013    All Solutions   Data         The application should         Describe the methods Expected        Technical
                            Management   manage concurrent data         or technologies used by
                                         updates by multiple users      the solution to prevent
                                         without creating deadlocks     data loss or deadlock
                                         or data loss.                  conditions when
                                                                        multiple users are
                                                                        updating data.

5.03.014    All Solutions   Data         The solution should provide Explain the process for Expected        Technical
                            Management   a method for archiving      archiving historical
                                         historical data.            data. Include
                                                                     information on
                                                                     archiving, retrieval, and
                                                                     purging record data
                                                                     and attached
                                                                     documents. Describe
                                                                     features available to
                                                                     authorized users for
                                                                     selecting records for
                                                                     archiving.

5.03.015    All Solutions   Data         The solution database          Provide a data         Expected      Technical
                            Management   should be well-                dictionary and Entity
                                         documented, including a        Relationship Diagram
                                         current data dictionary and    (ERD) for the proposed
                                         Entity Relationship            solution.
                                         Diagram...




           Page 28 of 48
                                                                                          RFP No. MSO0037



                               Physical Records Management System Requirements

  Req ID        Owner         Category           Requirement                    Response              Priority    ReqType

5.03.016    All Solutions   Data          Future releases of the         Describe how               Expected     Technical
                            Management    application should NOT         historically archived
                                          render archived data           data is supported
                                          unusable.                      regardless of changes
                                                                         to the application data
                                                                         schema.

5.03.017    All Solutions   Interfaces    If email is used within the    Describe the               Desired      Technical
                                          application, the email         application’s
                                          component should be            messaging
                                          SMTP and/or Microsoft          architecture, and
                                          Exchange compliant and         indicate if the solution
                                          provide a messaging            is SMTP and/or
                                          development environment        Microsoft Exchange
                                          through the provision of       compliant and how it
                                          documented APIs.               provides a
                                                                         development
                                                                         environment through
                                                                         the provision of APIs.

5.03.018    All Solutions   Network       The Vendor should use          Explain how that the      Expected      Technical
                                          standard Domain Name           system uses standard
                                          Services (DNS) for             Domain Name Services
                                          identifying all server         (DNS) for identifying all
                                          components in the system.      server components in
                                                                         the system.

5.03.019    All Solutions   Network       TCP/IP common                  Describe how the      Expected          Technical
                                          transmission and               systems uses TCP/IP
                                          management protocol must       common transmission
                                          be used as the sole            and management
                                          network protocol for both      protocol as the sole
                                          LANs and WANs.                 network protocol for
                                                                         both LANs and WANs.
                                                                         Identify any non-
                                                                         TCP/IP protocols used
                                                                         in the solution (i.e.
                                                                         SMB, NETBEUI)

5.03.020    All Solutions   Performance   The Vendor should provide      Describe a backup          Expected     Technical
                                          a backup process that does     process that does not
                                          not impact the performance     impact the
                                          of the core system or the      performance of the
                                          availability of online data.   core system or the
                                                                         availability of online
                                                                         data. If the proposed
                                                                         solution does not
                                                                         include a backup tool,
                                                                         recommend one that
                                                                         has been tested with
                                                                         your system.

5.03.021    All Solutions   Security      When the vendor is             Describe how solution      Must Have    Technical



           Page 29 of 48
                                                                                        RFP No. MSO0037



                               Physical Records Management System Requirements

  Req ID        Owner         Category          Requirement                   Response             Priority    ReqType

                                         connected to the City’s        support personnel use
                                         VPN for solution support       VPNs to support the
                                         purposes, single tunneling     application at the
                                         is required (which means       customer site, and
                                         that they are disconnected     indicate whether single-
                                         from their local network       tunneling will be
                                         during the VPN session).       enforced.

5.03.022    All Solutions   Security     If the solution provides a     Describe how the      Must Have       Technical
                                         Web server, the solution’s     solution’s Web
                                         Web interface must be able     interface is able to
                                         to operate a secure            operate a secure
                                         communication session as       communication session
                                         SSL 128 bit encrypted          as SSL 128 bit HTTPS.
                                         HTTPS.

5.03.023    All Solutions   Security     The solution must provide      Explain all password    Must Have     Technical
                                         and enforce complex            format options provided
                                         password formats.              by the solution, and
                                         Passwords must be a            how passwords are
                                         minimum of 8 characters,       managed and
                                         and must allow use of          enforced.
                                         upper and lower case and
                                         numeric and special
                                         characters.

5.03.024    All Solutions   Security     Passwords must not be          Describe how system Must Have         Technical
                                         displayed as readable text     allows end users to
                                         when users are entering        type in their password
                                         them on-screen                 in a non-printing, non-
                                                                        displaying manner (i.e.
                                                                        *****).

5.03.025    All Solutions   Security     Passwords must NOT be          Explain how passwords Must Have       Technical
                                         included in automated sign-    are managed, stored
                                         on procedures, stored          and transmitted over
                                         unencrypted in cache, or       the network.
                                         transmitted as clear text
                                         over the network.

5.03.026    All Solutions   Security     The solution should not        Describe the level of    Expected     Technical
                                         require operating system       privileges required to
                                         administrator privileges on    install application
                                         the client workstation(s) to   updates and indicate if
                                         run or receive application     the application requires
                                         updates.                       workstation
                                                                        administrator privileges
                                                                        to execute or update.

5.03.027    All Solutions   Security     When new users are             Describe the process of Expected      Technical
                                         created, the security          creating a new user in
                                         permissions assigned to        the system, and explain
                                         the new accounts should        the default system



           Page 30 of 48
                                                                                            RFP No. MSO0037



                               Physical Records Management System Requirements

  Req ID        Owner         Category            Requirement                     Response              Priority    ReqType

                                           default to least privileged.    privileges assigned to
                                                                           new user accounts.

5.03.028    All Solutions   Security       To maintain network           Provide a list of re-   Expected          Technical
                                           security, the solution should assignable ports
                                           include re-assignable ports utilized by the solution.
                                           for the solution.

5.03.029    All Solutions   Security       The solution should             Describe how the           Expected     Technical
                                           minimize the number of          solution minimizes the
                                           different IP ports and          number of IP ports and
                                           protocols to limit exposure     protocols used and
                                           and simplify security           provide a list of IP ports
                                           administration.                 and protocols utilized.

5.03.030    All Solutions   Security       To help enforce Customer’s      Describe how the           Expected     Technical
                                           security policies, the          solution allows the
                                           solution should allow the       Administrator to lock
                                           Administrator to disconnect     out a particular user
                                           a particular user and to lock   and to disconnect a
                                           out a user during an active     user during an active
                                           session.                        session.

5.03.031    All Solutions   Security       Administrator users should      Describe how            Expected        Technical
                                           be able to define the           Administrator users
                                           number of login attempts        define the number of
                                           allowed before a user           login attempts before a
                                           account is locked and/or        user account is locked
                                           disabled.                       and/or disabled.

5.03.032    All Solutions   Security       The solution should log an      Describe how the           Expected     Technical
                                           event and alert the             solution logs an event
                                           Administrator when a user       and alerts the
                                           exceeds login attempts.         Administrator when a
                                                                           user exceeds login
                                                                           attempts.

5.03.033    All Solutions   Security       The system must                 Explain the process    Expected         Technical
                                           automatically log-off a         used to define an
                                           user’s work session due to      inactivity time-out
                                           inactivity within a             period, and describe
                                           Customer-defined period.        what happens when the
                                                                           application detects an
                                                                           inactivity time-out.

5.03.034    All Solutions   Security       The application should          Describe how the           Expected     Technical
                                           allow the Application           Application
                                           Administrator to restrict       Administrator can
                                           generic logins.                 restrict generic logins.

5.03.035    All Solutions   User Interface If the proposed application Provide a list of web          Expected     Technical
                                           is web-based, the           browsers and browser
                                           application must provide    versions supported by
                                           user functionality through



           Page 31 of 48
                                                                                          RFP No. MSO0037



                              Physical Records Management System Requirements

  Req ID         Owner        Category           Requirement                    Response             Priority     ReqType

                                          XHTML 1.0-compliant Web your application.
                                          browsers including, but not
                                          limited to, Internet Explorer
                                          V6 or above and Firefox
                                          V1.5 or above.




           5.4      Table of Technical Requirements - Client-Server or Internally Hosted Solution


                                Physical Records Management System Requirements

  Req ID         Owner        Category           Requirement                    Response            Priority      ReqType

5.04.001    Customer-      Application    If the solution uses Oracle,    For Oracle databases, Must Have       Technical
            Hosted Only    Software       it must use minimum             describe what version
                                          release level of version        of Oracle the database
                                          10g.                            supports and if 9i can
                                                                          be updated to 10g.

5.04.002    Customer-      Application    Executable server software      Explain how server-     Must Have     Technical
            Hosted Only    Software       processes must be capable       side software
                                          of running as service(s) (or    processes are
                                          daemon(s)) that run             executed automatically,
                                          automatically upon system       and indicate whether
                                          start-up, and do not require    the processes are
                                          a user login to start up.       designed to be service
                                                                          (or daemon)
                                                                          processes.

5.04.003    Customer-      Application    The solution should be          Describe how the        Expected      Technical
            Hosted Only    Software       capable of utilizing            solution supports a
                                          computer storage devices        SAN storage solution.
                                          (SAN).

5.04.004    Customer-      Architecture   If applicable, the solution     Explain how the         Expected      Technical
            Hosted Only                   should be implemented           solution is implemented
                                          using N-tier architecture. N-   within the N-tier
                                          tier implementation should      architecture, including
                                          be capable of supporting        load balancing across a
                                          load balancing across a         series of solution
                                          series of solution servers.     servers.

5.04.005    Customer-      Architecture   The City prefers                List the operating       Desired      Technical
            Hosted Only                   Linux/UNIX OS for public        systems on which each
                                          web servers. Windows and        component of your
                                          Linux/UNIX operating            application will run. If
                                          systems are acceptable for      choices exist, indicate
                                          internal servers.               the OS’s most
                                                                          commonly used by
                                                                          existing clients.




           Page 32 of 48
                                                                                           RFP No. MSO0037



                                Physical Records Management System Requirements

  Req ID        Owner        Category            Requirement                     Response             Priority     ReqType

5.04.006    Customer-      Architecture   Linux/UNIX or Windows            List the operating       Desired      Technical
            Hosted Only                   operating systems are            systems on which each
                                          preferred for application        component of your
                                          servers.                         application will run. If
                                                                           choices exist, indicate
                                                                           the OS’s most
                                                                           commonly used by
                                                                           existing clients.

5.04.007    Customer-      Business       The proposed solution            Describe the data and Must Have       Technical
            Hosted Only    Continuity     must be capable of being         application backup and
                                          fully restored in the event of   recovery plan including
                                          catastrophic server failures.    automatic and
                                                                           unattended backups,
                                                                           expected data loss
                                                                           from recovery, backups
                                                                           in a separate facility
                                                                           from the production
                                                                           system, and
                                                                           allowances for full or
                                                                           partial recovery.

5.04.008    Customer-      Business       The Customer should be           Provide capacity         Expected     Technical
            Hosted Only    Continuity     able to accurately plan for      estimates (in terms of
                                          storage and backup               GB of storage) for the
                                          requirements, both for initial   proposed system on-
                                          implementation and for           line storage and data
                                          future growth.                   archives.

5.04.009    Customer-      Business       The solution should be           Describe your support Expected        Technical
            Hosted Only    Continuity     supported in a virtual server    for running the
                                          environment based on             application software on
                                          VMware Infrastructure 3.         VMWare or other
                                                                           virtual server
                                                                           environments.

5.04.010    Customer-      Business       The RDBMS used by the            Explain how the         Expected      Technical
            Hosted Only    Continuity     solution (if applicable)         solution’s RDBMS
                                          should support transaction       supports transaction
                                          logs and allow a data            logs and allows for a
                                          restore from transaction         data restore from those
                                          logs.                            logs.

5.04.011    Customer-      Business       The system should include        Describe the backup    Expected       Technical
            Hosted Only    Continuity     a backup and recovery plan       and recovery plan. It
                                          for data, data structures,       should address
                                          application software files,      automatic and
                                          executables, and                 unattended backups,
                                          application software             expected data loss,
                                          utilities. The plan should       backups in a separate
                                          include a backup test plan.      facility from the
                                                                           production system,
                                                                           emergency notification



           Page 33 of 48
                                                                                          RFP No. MSO0037



                                Physical Records Management System Requirements

  Req ID        Owner        Category           Requirement                    Response             Priority     ReqType

                                                                         procedures, and
                                                                         procedures for full or
                                                                         partial recovery.

5.04.012    Customer-      Business      If the solution uses            Describe how the          Expected    Technical
            Hosted Only    Continuity    relational database             solution RDBMS can
                                         management technology, it       provide availability and
                                         should be capable of            resiliency through the
                                         supporting high availability    use of such
                                         and resiliency.                 technologies as mirror
                                                                         imaging, portability, and
                                                                         replication.

5.04.013    Customer-      Business      The software environment        Describe how the         Expected     Technical
            Hosted Only    Continuity    should be capable of            solution is capable of
                                         dynamically accepting           dynamically accepting
                                         changes to network              changes to network
                                         configurations with little or   configurations with no
                                         no impact on solution           impact on solution
                                         availability (i.e. Installing   availability (i.e.
                                         additional                      Changing the IP or
                                         servers/workstations and        subnet of any of the
                                         changing the IP or subnet       servers should not
                                         of any of the servers).         affect operation).

5.04.014    Customer-      Business      If the proposed solution        Describe how the        Desired       Technical
            Hosted Only    Continuity    includes fail-over, the fail-   system performs
                                         over event should be            automatic fail-over
                                         completely automated.           between redundant
                                                                         systems in the event of
                                                                         system failure for both
                                                                         the application and the
                                                                         database.

5.04.015    Customer-      Data          The solution should use a       Describe the database Must Have       Technical
            Hosted Only    Management    widely-accepted and well-       system(s) and version
                                         supported DBMS such as          numbers supported by
                                         Oracle 10g (or higher) or       the solution. (Oracle
                                         MS SQL 2000 SP3.                systems with
                                                                         processor-level
                                                                         licensing are preferred
                                                                         but MS SQL is
                                                                         accepted.)

5.04.016    Customer-      Data          The Vendor should provide       Provide                 Expected      Technical
            Hosted Only    Management    recommendations for             recommendations for
                                         tuning parameters for all       tuning parameters for
                                         databases.                      all databases. Explain
                                                                         the reasoning for these
                                                                         recommendations.

5.04.017    Customer-      Data          If the proposed solution        Explain how the          Expected     Technical
            Hosted Only    Management    uses an RDBMS system            RDBMS used by the
                                         other than Oracle 10g (or       solution supports two


           Page 34 of 48
                                                                                       RFP No. MSO0037



                               Physical Records Management System Requirements

  Req ID        Owner        Category          Requirement                   Response              Priority     ReqType

                                        higher) or MS SQL 2000   phase commit
                                        SP3 (or higher), the     procedures.
                                        RDBMS should support two
                                        phase commit procedures.

5.04.018    Customer-      Data         If the proposed solution    Provide evidence that        Expected     Technical
            Hosted Only    Management   includes a relational       the proposed RDBMS
                                        database management         is ACID compliant.
                                        system other than Oracle or
                                        MS SQL, the RDBMS must
                                        be ACID compliant.

5.04.019    Customer-      Network      The solution should be able    Describe how the          Must Have    Technical
            Hosted Only                 to run in a switched and       solution runs in a
                                        routed network                 switched and network
                                        environment.                   environment.

5.04.020    Customer-      Network      The solution should be able    Describe how the       Must Have       Technical
            Hosted Only                 to run in an environment       solution runs in an
                                        that uses 100/1000MB full      environment that uses
                                        duplex connections for         100/1000MB full duplex
                                        back-end systems.              connections for back-
                                                                       end systems.

5.04.021    Customer-      Network      If the proposed solution       Provide specifications    Must Have    Technical
            Hosted Only                 includes electronic            on network interfaces
                                        hardware such as servers       of all network-enabled
                                        or network devices, all        devices proposed.
                                        network-enabled hardware
                                        must support auto-
                                        negotiation of network
                                        speeds and duplex
                                        settings, including 10 mbps,
                                        100 mbps and Gigabit
                                        Ethernet, if applicable.

5.04.022    Customer-      Network      Application servers should     Explain any limitations Must Have      Technical
            Hosted Only                 NOT require Layer 2            relating to Layer 2
                                        adjacency.                     adjacency
                                                                       requirements for the
                                                                       proposed application.
                                                                       Can all application
                                                                       server components be
                                                                       separated on different
                                                                       network segments or
                                                                       subnetworks?

5.04.023    Customer-      Network      The proposed application       Explain how inter-        Must Have    Technical
            Hosted Only                 should NOT require static      network
                                        network routes.                communications are
                                                                       supported in the
                                                                       application without the
                                                                       need for statically



           Page 35 of 48
                                                                                      RFP No. MSO0037



                               Physical Records Management System Requirements

  Req ID        Owner        Category         Requirement                   Response              Priority     ReqType

                                                                      assigned routes.

5.04.024    Customer-      Network      The proposed solution         If the application must   Must Have    Technical
            Hosted Only                 must not require broadcast    use broadcast
                                        messaging for normal          messaging, describe
                                        operation.                    the purpose and
                                                                      functionality of
                                                                      broadcasting.

5.04.025    Customer-      Network      The solution should be able Describe how the        Expected         Technical
            Hosted Only                 to run in a VLAN            solution runs in a VLAN
                                        environment.                environment. Note any
                                                                    limitations of running
                                                                    the solution in a VLAN
                                                                    environment.

5.04.026    Customer-      Network      The application servers       Describe how the          Expected     Technical
            Hosted Only                 should support the use of     various solution
                                        fully-qualified domain        components can
                                        names, rather than short      address one another,
                                        names or IP addresses         and indicate
                                        only.                         compliance with this
                                                                      requirement.

5.04.027    Customer-      Network      The proposed solution         Provide documentation Expected         Technical
            Hosted Only                 should be compatible with,    of application/data
                                        and easily supported on the   traffic including
                                        Customer’s native network     protocols and ports.
                                        infrastructure.               List the ports and
                                                                      protocols used for data
                                                                      communication
                                                                      between each tier of
                                                                      the application. Note
                                                                      any exceptional
                                                                      aspects of the
                                                                      application
                                                                      communication
                                                                      architecture.

5.04.028    Customer-      Network      The proposed solution         Explain how the       Expected         Technical
            Hosted Only                 must be capable of            proposed solution
                                        operating over routed         components can
                                        subnetworks (does not         communicate with each
                                        require components to be      other when separated
                                        co-located on the same        on different
                                        subnetwork).                  subnetworks.

5.04.029    Customer-      Security     The solution should provide   Describe what          Expected        Technical
            Hosted Only                 RADIUS, LDAP, or MS           authentication methods
                                        Active Directory              are supported by the
                                        authentication to provide     application software.
                                        authentication to the
                                        application software.



           Page 36 of 48
                                                                                             RFP No. MSO0037



                                  Physical Records Management System Requirements

  Req ID           Owner        Category             Requirement                    Response            Priority     ReqType

5.04.030      Customer-       Security        All Windows-based              Describe how the       Expected       Technical
              Hosted Only                     solutions deployed on both     application is tested
                                              client workstations and        and validated as being
                                              servers should be              compatible with the
                                              compatible with Trend          Trend Micro Anti-Virus
                                              Micro Anti-Virus, KACE         application, KBOX, and
                                              KBOX, and SMS for              SMS.
                                              servers and workstations.




             5.5      Table of Technical Requirements – ASP Solution


                                         Document Management System Requirements

    Req ID            Owner       Category           Requirement                   Response             Priority     ReqType

5.05.001           ASP-Hosted Business          The Vendor should           Provide a copy of your    Expected     Technical
                   Only       Continuity        maintain a recovery         recovery test plan and
                                                test plan and recovery      procedures, and provide
                                                test procedures that        documentation of
                                                result in a full recovery   periodic tests performed.
                                                of the system following
                                                full and partial system
                                                failures.

5.05.002           ASP-Hosted Data              Hosted solutions must       Describe how Customer Must Have        Technical
                   Only       Management        support off-line storage    can create and
                                                of Customer data at         periodically update off-
                                                Customer’s site.            line copies of Customer
                                                                            data. Explain the types of
                                                                            connections available to
                                                                            retrieve data, and how
                                                                            data retrieval can be
                                                                            scheduled.

5.05.003           ASP-Hosted Data              Authorized users must       Explain how current and Must Have      Technical
                   Only       Management        be able to receive a        historical data can be
                                                complete copy of            received by Customer if
                                                current and archived        the contract is terminated
                                                data hosted by an ASP       for any reason.
                                                provider in the event of
                                                contract termination.

5.05.004           ASP-Hosted Network           The application’s client    Describe the minimum       Expected    Technical
                   Only                         should be capable of        client bandwidth required,
                                                running over a low-         and the recommended
                                                speed connection of as      bandwidth.
                                                slow as 128kbps.




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                                                                                           RFP No. MSO0037



                                      Document Management System Requirements

    Req ID            Owner        Category          Requirement                 Response            Priority      ReqType

5.05.005           ASP-Hosted Security          The vendor must            Describe how an external Must Have    Technical
                   Only                         conduct a 3rd party        audit of the proposed
                                                annual security            system security will be
                                                assessment of all tiers    provided.
                                                of its hosting facility,
                                                including application
                                                servers and network
                                                devices. Copies of the
                                                security audit reports
                                                must be provided to the
                                                Customer annually.

5.05.006           ASP-Hosted Security          All user access must       Describe what user       Must Have    Technical
                   Only                         be logged with time-       access logs are kept and
                                                stamped entries, and       made available to
                                                the log made available     Customer, and how they
                                                to the Customer.           are accessed.

5.05.007           ASP-Hosted Security          Customer data must         Describe how Customer    Must Have    Technical
                   Only                         not be made available      data is protected from
                                                to any other parties not   access by unauthorized
                                                specifically authorized    parties.
                                                to view or access the
                                                data.




             5.6        External Interfaces - Responding to External Interfaces
                      This section addresses the various systems, applications and databases that are required
                      to interface with the solution. Vendor should respond with the base data elements and
                      potential data elements that can be downloaded to their system. IE: systems that may be
                      accessed using a separate terminal session, such as dial-up, are not considered to be
                      interfaces and will not be addressed in this section.


             5.7        Name of System - Interface
                      Criticality: Expected
                      Requirement Description: The solution should be able to interface with Iron
                      Mountain’s IM Connect System or similar Company applications.
                      Required Response: State if your product is web based and will permit access
                      to authorized City of Austin personnel
             Purpose of Interface: COA Physical Document Storage Management System
             Type of Interface: Two Way
             Description of Data Transfer: Physical Record Management
             Application Software, Database or Data Structure
             Type
             Brand Name or Name
             Version
             Language                                                 Oracle



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                                                                     RFP No. MSO0037



Database Engine                                        Oracle
Database Engine Version                                Oracle 10g
File Format and Field Definitions
Data Structure Dictionary
Application Access Requirements, Formats, Parameters
Hardware
Hardware Type
Brand Name
Model Number
Operating System or Network Operating System           Windows 2003 enterprise
Operating System Version                               Enterprise 2003
Network Connectivity
Type of Media
Network Type
Protocol Type




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                                                                                RFP No. MSO0037



6.0      IMPLEMENTATION REQUIREMENTS



6.1      Responding To Implementation Requirements
         Vendors should respond to the implementation requirements by providing the
         documentation, plans and other information as indicated in section 6.2 below.


6.2      List of Implementation Requirements


      6.2.1     Vendor’s Project Management Methodology
         Responding Vendors must provide documentation describing their proven project
         management methods. The City recognizes that each Vendor will recommend a project
         management methodology that demonstrates a commitment to completing the project on
         time and within budget. Documentation to be included:
                Project Management Methodology (Model) Used
                Explanation of the proposed project manager roles (functional and
                technical)
                Explanation of how the Methodology will be used in this project
                Explanation of how risks will be managed
                Explanation of how issues will be managed
                Explanation of issues escalation process
                Explanation of how issues are classified
                Provide a timeline for the completion of this project

      6.2.2     Required System Documentation
         Vendors must describe the format for each document they will provide and be prepared to
         deliver selected system documents upon request during the evaluation and selection
         process. Prior to system acceptance, the selected vendor should provide the following
         system documentation in hard copy.
                One (1) complete set of maintenance and operations manuals for each
                category of software or equipment purchased in association with this
                project
                Manuals for all software applications, hardware, and hardware
                configurations for users and administrators

      6.2.3     Training
                The Vendor must provide a detailed training plan and training that
                includes system administrator, technical training and end user training.
                The Vendor must provide training materials that can be adapted for use by
                City staff to conduct end user training.
                The Vendor must submit recommendations on how to conduct ongoing
                training for new users and training for future upgrades.


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                                                                                RFP No. MSO0037



      6.2.4      Maintenance
         The Vendor must provide a plan for support and maintenance for a four year period
         following final system acceptance and the warranty period. The plans should include
         information on how to contact the Vendor, the availability of the Vendor support team, and
         levels of service and associated response times. In addition, the plan should include
         information regarding what software is supported in the maintenance plan, the cost of the
         plan, information about warranties, and information about enhancements and upgrades.
7.0      PROPOSAL PREPARATION AND EVALUATION



7.1           Evaluation Criteria:
                 Criteria                                    Description                           % of Total
Proposed Solution Viability            Compliance with functional requirements                50
                                       Compliance with technical requirements
Evaluated Cost                         Cost of base product, cost of maintenance              25
                                       agreements, cost of optional items
                                       The proposer with the lowest cost to the City
                                       receives the maximum points; remaining proposers
                                       are scored on a percentage ratio basis.
Experience                             Number of successfully installed sites                 15
                                       Customer references
                                       Similar installations (size and scope)
                                       Maturity of product
                                       Maturity of company
Project Management Approach            Project management methodology                         10
                                       Completeness of project management
                                       documentation
                                       On-site project manager
                                       Qualifications and experience of project
                                       management staff
Financial Viability of Company         Company financials                                     Pass/Fail
                                       Financial ratings
                                       Financial ratios
Sub total                                                                                     100
Proposed Solution Demonstration        Compliance with Demonstration Scripts                  25
(Optional at the discretion of the     Functional flow and User Interface Preferences
City)



7.2      Product and Proof of Concept Demonstration
      Based on preliminary evaluation of proposals, some Vendors may be invited to come to
      Austin and present a product and proof of concept demonstration to the City of Austin
      Document Management System Team. The demonstrations must address each of the




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                                                                              RFP No. MSO0037



      functional and technical requirements. These demonstrations are used to further evaluate a
      “short list” of Vendors’ proposals.


      7.2.1     Demonstration Guidelines
                Product and proof of concept demonstrations must address all functional
                and technical requirements listed in Sections 4.0 and 5.0 of this RFP.
                Vendors selected to provide demonstrations are required to submit a
                demonstration agenda. The agenda should specifically identify when
                Section 4.0 Functional Requirements and Section 5.0 Technical
                Requirements are addressed and demonstrated during the sessions so that
                appropriate groups of users can attend. The agenda is used to formulate an
                evaluation worksheet used by demonstration attendees from the Document
                Management System Team.
                Demonstrations are attended by project team members and end users from
                the departments involved.
                Vendors must provide the appropriate technical personnel to attend
                demonstration sessions.

7.3      Vendor Qualifications
         The City of Austin seeks proposals from Vendors who can demonstrate evidence of
         completed installations within the last five years that ideally meet the following
         requirements:
                The Vendor should provide evidence of completed installations of systems
                similar in scope to those used in this project.
                The Vendor should demonstrate that the proposed system is securely
                operating at one or more customer sites connected by wide area computer
                networks and utilizing the Internet.
                The Vendor should meet all requirements presented in Sections 4.0 and 5.0
                of this RFP that are noted with a Criticality ranking of “Must Have.”
                Vendors are encouraged to attend the pre-proposal conference as part of
                the process.

7.4      Mandatory Submittals


      7.4.1     RFP Responses
         The following must be submitted:
                One signed original and ten (10) hardcopies of the RFP response.
                Two (2) copies of the RFP response on CD-ROM (compatible with
                Microsoft Windows).
                Two (2) copies of the completed Microsoft Access database (Appendix
                B) on CD-ROM (see Appendix A for instructions).




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                                                                                RFP No. MSO0037



                One (1) copy of the completed Microsoft Access database (Appendix B)
                hardcopy (with original copy of the proposal)

7.5      Proposal Format
         The Vendor proposal must be submitted in the format shown below with at minimum, the
         following subject headings and information included:


      7.5.1     Executive Summary
         The Executive Summary with the following information:
                Name of the proposing firm
                Address of the proposing office
                Contact names, telephone numbers, fax numbers, and e-mail addresses for
                individuals authorized to answer technical, price, and/or contract questions
                Summation of proposal
                Explanation of the suitability of product (10 pages or less)
                Statement of assumptions made

      7.5.2     Table of Contents
         The Table of Contents shall include the following:
                Index of the proposal contents
                Index of tables and figures
                Index of attachments

      7.5.3     Firm Background, Principal Officers and Prior Experience
         This section will include the following items:
                Listing of the principal officers of the company, including name, title and
                tenure.
                Audited financial statements for the past two years. In the event that
                audited financial statements cannot be provided, the Vendor must provide
                financial information that will enable the City to accurately assess
                financial stability and viability. Provide the same information for any
                entity that will participate in this project through a joint venture or
                subcontract arrangement.
                Project management organizational chart identifying the Project Manager
                and full time/part time project staff members, including resumes for
                project personnel and the amount of time each project staff member will
                be dedicated to the project.
                Name, address, phone, e-mail and fax number of the authorized negotiator.




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                                                                                 RFP No. MSO0037



    7.5.4       Response to Functional Requirements (Section 4.0)
         The vendor must provide a detailed response for each functional requirement that is listed
         in Section 4.0 of this document. Vendors must respond to each requirement in Appendix
         B, Vendor Response Access Database according to the instructions in Appendix A,
         Vendor Response Access Database Instructions.


    7.5.5       Response to Technical Requirements (Section 5.0)
         The vendor must provide a detailed response for each technical requirement listed in
         Section 5.0 of this document. Vendors must respond to each requirement in Appendix B,
         Vendor Response Access Database according to the instructions in Appendix A, Vendor
         Response Access Database Instructions.


    7.5.6       Response to Implementation Requirements (Section 6.0)
         The vendor must provide a detailed response for each implementation requirement listed
         in Section 6.0 of this document.


    7.5.7       Response to Proposal Preparation and Evaluation (Section 7.0)
         The vendor must provide the documentation, plans and information described in section
         7.0 of this document as indicated.


    7.5.8       Operation Site References
                Provide four (4) customer references, which are operating a fully
                functional system. Provide a list of work performed for municipalities
                similar in size to Austin, Texas (population of 1 million). References
                should include system implementations that involve the use of an
                outsourced records management services provider, such as Iron Mountain.
         References must include the following information:
                Name of Company
                Number of personnel
                Contact name – sponsor or IT Lead
                Contact address
                Contact telephone number
                Contact fax number
                Contact e-mail
                System description (hardware and software configuration, version number
                of software and network configuration)
                Date of system installations

    7.5.9       System Updates and Modifications
         Vendor must provide policy and pricing methodology for the following:
                Minor revision upgrades to the installed system



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                                                                                RFP No. MSO0037



                Major revision upgrades to the installed system
                Bug fix releases
                Product enhancements (new features)

      7.5.10    Cost Proposal
         Vendor must provide all costs associated with this project:
                Software
                Third party software
                Project Management Services
                Annual Maintenance & Support (for four years following final system
                acceptance and the warranty period)
                Source code escrow
                Other costs
         Travel expenses. All travel lodging expenses in connection with the Contract for which
         reimbursement may be claimed by the Contractor under the terms of the Solicitation will
         be reviewed against the City’s Travel Policy as published and maintained by the City’s
         Controller’s Office and the Current United States General Services Administration
         Domestic Per Diem Rates (the “Rates”) as published and maintained on the Internet at:
       http://www.gsa.gov/Portal/gsa/ep/contentView.do?contentId=17943&contentType=GSA_BASIC
         No amounts in excess of the Travel Policy or Rates shall be paid. All invoices must be
         accompanied by copies of detailed receipts (e.g. hotel bills, airline tickets). No
         reimbursement will be made for expenses not actually incurred. Airline fares in excess of
         coach or economy will not be reimbursed. Mileage charges may not exceed the amount
         permitted as a deduction in any year under the Internal Revenue Code or Regulations.


7.6      Proposal Acceptance Period:
         All proposals are valid for a period of one hundred and twenty (120) calendar days
         subsequent to the RFP closing date unless a longer acceptance period is offered in the
         proposal..


7.7      Exceptions
         Be advised that exceptions to any portion of the Solicitation may jeopardize acceptance of
         the Proposal.


7.8      Proposal Preparation Costs
         All costs directly or indirectly related to preparation of a response to the RFP or any oral
         presentation required to supplement and/or clarify a proposal which may be required by
         the City shall be the sole responsibility of the Proposer.


7.9      Contract Payment and Retainage
         The contract shall be prepared under the direction of the City, and shall incorporate all
         applicable provisions. A firm fixed price or not to exceed contract is contemplated, with
         progress payments per the milestone payment schedule.



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                                                                                  RFP No. MSO0037



         Ten percent (10%) of the total contractual price will be retained until submission and
         acceptance of the final work products. These payments shall be based upon milestones
         completed.
         The Contractor’s invoice shall indicate the amount due, less the retainage. Upon final
         acceptance of the work, the Contractor shall submit an invoice for the retainage to the
         City and payment will be made as specified in the Contract. Payment of the retainage by
         the City shall not constitute nor be deemed a waiver or release by the City of any of its
         rights and remedies against the Contractor for recovery of amounts improperly invoiced.

    7.9.1        Milestones
                Milestone                                  When                                     %
 System Installed and tested                   After the system is                             20%
 (Deliverable #1)                              successfully installed and
                                               tested
 Migrate data from legacy                      After data is successfully                      30%
 system (Deliverable #2)                       migrated from the legacy
                                               system and validated as
                                               complete and accurate
 City records controls/retention               After the City’s records control                20%
 schedules in place (Deliverable               (retention) schedules are
 #3)                                           implemented in the new
                                               system
 User Training completed                       After successfully delivering                   20%
 (Deliverable #4)                              the required training to
                                               Records Managers,
                                               administrators, and Records
                                               Center Staff (train-the-trainer
                                               training)
 Application documentation                     After delivery of the                           10%
 delivery (Deliverable #5)                     documentation listed in
                                               Deliverable 5, in the following
                                               section.
 Total                                         Total                                           100%


Note: Ten percent (10%) of the total contractual price will be retained until submission and
acceptance of the final work products

    7.9.2        Deliverables
   Deliverable #                Deliverable                                      Description
                        Complete system installation   Delivery, installation, and successful acceptance testing
                        and acceptance testing         of a browser-based records center application that can be
            1
                                                       accessed by authorized personnel within all City
                                                       departments based on established security parameters.




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                                                                              RFP No. MSO0037



                      Migrate data from legacy       Successful migration of the data from the legacy GAIN
                      system to new system           2000 system and metadata stored in a custom Oracle
          2                                          database maintained by the Watershed Protection and
                                                     Development Department must be complete and verified
                                                     as accurate.
                      Implement City’s Control and   Successful implementation of the City’s control/retention
          3           retention schedules            schedules in the system must be complete and verified
                                                     as accurate.
                      Completion of     User   and   Delivery of training on the user and administrative
                      Admin training                 functions of the application to be provided to City of
          4                                          Austin personnel by the vendor. Includes delivery of
                                                     training manuals, quick reference guides, and other
                                                     training materials.
                      Deliver application            Delivery of documentation including user guides,
                      documentation                  technical manuals, installation procedures, and other
          5
                                                     system documentation required for ongoing operations,
                                                     and maintenance of the system.




7.10     Source Code Escrow Agreement
         At the City of Austin’s option, the Contractor’s source code shall be placed in escrow
         deposit with a nationally recognized escrow firm for the benefit of the City of Austin.
         Escrow deposits by the Contractor shall be kept current with all modifications, releases
         and fixes throughout the life of the System. Break out this cost separately in your cost
         proposal.




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                                                               RFP No. MSO0037



8.0      LIST OF APPENDICES FOR THIS RFP:


Appendices
Appendix A:     Vendor Response Access Database Instructions
Appendix B:     Vendor Response Access Database




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