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					APPENDIX B                                  Westchester County
                                    Department of Information Technology
                                                     and
                                           Planning Department
                  Request for Proposal Grant and Loan Management System Questionnaire




       Please respond to the following features by indicating whether they are available in the Grant and Loan Management
       System package you currently offer.
       The following general areas of technical and end user support must be addressed by the respondent both here and, as
       appropriate. Omission of any area may be viewed as unfavorable. Please respond to the following features indicating whether
       they can be provided as detailed in the narrative.




       Place an “X” in the appropriate box:
       YES = Available-This feature is currently being used by other similar facilities as outlined in the description of our department
       CHG = Change Required/Additional Cost-This feature is not currently available but can be customized, i.e. code written at an
               additional cost)
       NO = Not Available-This feature is not available and is not customizable with this Grant and Loan Management System
       TXT = Text Response Only (include attached pages)

       SCORE = Do Not Enter Info in Shaded Area – For Dept of Information Technology and Planning Department




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Comments can be entered in the same “box” as the stated functionality, directly beneath the question or attach additional pages
    Grant and Loan Management System Functional Requirements                                                          Yes Chg No Text Score
    Online Application Submittals
    Preferably the system should make available the ability for applicants to submit applications online
    via the web allowing for automatic transfer of application data into a centralized database for
    approval and contract processing.
    The system should allow the county to modify or design the online application and should include
    county logo as well as predefined color scheme. See Appendix B for sample application.
    Application and Contract Processing and Management
    The system must provide administrators with the ability to track applications from initial submittal
    to approval.
    The system must provide administrators with the ability to run queries and reports listing all
    applications and grouped by stage in the application process as well as by funding source.
    The system must provide administrators with the ability to move applications to contract processing
    stage once projects are approved.
    The system must provide the ability to track contract approval stages and checklists should be made
    available for administrators for tracking and updating as the contract approval process progresses.
    Please see Schedule D for Contract Tracking – Contract not yet Executed report.
    The system must allow for the creation of various stages and checklists depending upon the funding
    source or type of grant being considered.
    Vouchers, Payment and Invoice Tracking (Grants)
    The system must be able to track vouchers received and payments submitted to grantees. The
    system must be able to store, but not be limited to, date received, claim #, vendor name, contract
    number, claim amount, ledger posting, whether check was returned, date submitted to finance, HUD
    # associated to grant, HUD matrix, etc.
    The system must be able to draw down each account as vouchers are received and payments are
    distributed as well as draw down the funding source.
    The system must be able to allow administrators the ability to create regular deadlines for each
    project to enforce draw down of each account within specified time limits.
    The system must be able to track or project what will be spent in future months for each project.
    The system must be able to only allow vouchers to draw down projects and funding sources after
    project has been fully approved. Approvals include contract manager approval, community liaison
    approval, project manager approval, and compliance manager approval.
    The system must provide notifications as to when accounts have not been drawn down prior to
    regular deadlines.
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    Grant and Loan Management System Functional Requirements                                                   Yes Chg No Text Score
    Vouchers, Payment, and Invoice Tracking (Loans)
    The system must be able to automatically produce monthly invoices and monthly mortgage
    statements for each loan. Please see Schedule D for sample invoice and sample monthly statement.
    The system must have the ability to monitor payments received and display historical as well as
    current loan and grant activity for billing and payments.
    The system must have the ability to allow users to enter checks as payments and store check
    number, date of check, payment amount, etc. The system should also provide methods or queries to
    search for checks by date received, check number, payment amount, etc.
    The system must be able to provide electronic invoicing along with reports. Administrators must
    have the option to view and edit invoices and reports prior to sending invoices/statements to grantees
    or loan holders.
    The system must provide the ability to email monthly invoices and statements automatically or
    manually by administrators.
    In conjunction with printing invoices and statements, the preferred system should provide users with
    a way to print envelopes for distribution of invoices, statements, letters, etc.
    The system must provide the ability to change loan interest amount on current loans and effectually
    change all future expected payments according to the new interest rate and effective date without
    closing and reopening loan accounts.
    The system must be able to calculate amount of interest paid, remaining balance, as well as provide
    a “payoff” amount for each loan.
    The system must provide a “payoff” feature that will allow loan accounts to be paid off fully and
    closed once payoff amount is received.
    The system must provide notification (“red flag”) to administrators when any loan becomes
    delinquent.
    The system must provide administrators with the ability to place loan in “deferred” status. This
    status should prevent the production of invoices until status has changed.
    The system must be able to calculate interest on deferred loans and add that interest to total principal
    owed.
    The system should be able to produce “1099” end of year statements.
    The system should be able to accept entry of one large payment and have the ability to automatically
    credit multiple delinquent payments.
    The system must provide an amortization schedule for each loan. This schedule must reflect
    changes in interest based on effective date.
    The system should be able to provide snap shots of loans and how they existed at a specified point in
    time through reporting.
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    Grant and Loan Management System Functional Requirements                                                              Yes Chg No Text Score
    Loan and Grant Tracking
    The system must provide the ability to track grants and group all grants by funding source, grantee
    name, address, location, category, etc.
    The system must allow for grouping of grants and loans by various categories.
    The system must provide the ability to make changes, updates, and deletions with valid
    authorization to each account. A history of changes should also be maintained and traceable by
    system user.
    The system must provide the ability to add pre-system accounts for prior years and allow for these
    entries to be included in historical reports.
    The system should have the ability to retrieve account information by funding source, account name,
    effective date, etc.
    The system should include the ability to attach notes/comments to each account.
    The system should be able to track all data required by HUD such as accomplishment data.
    The system must be able to track all loans including the ability to associate funding source account
    number, as well as balance sheet account number associated to County finance system.
    The system must allow administrators to determine the account numbers to be used and also all
    current account numbers must be migrated into the new system.
    The system must be able to store Liber & Page or Control Number tracking information on each
    loan.
    The system must be able to track maturity date for each loan (date loans can be forgiven). In
    addition, all loans forgiven will need to remain actively tracked in the system for a specified
    timeframe.
    Administration and Users
    The system should provide real-time access to administrators for all grant and loan accounts as well as all
    reports.
    The system should allow for setup of various types of users along with the ability to limit access through secure
    methods. Users will include administration as well as clerical staff that will be limited to data entry and running
    specific reports.
    The system must provide the ability to audit change to all accounts and track which users made changes along
    with date and time of change.
    Management Reports
    The system should have a report module in place to provide the County with the ability to create
    custom reports as well as modify standard system reports to meet our needs. Reports should include

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    Grant and Loan Management System Functional Requirements                                                 Yes Chg No Text Score
    grant specific reports as well as loan specific reports. Please see Schedule D for sample reports.
    The system should be able to capture all reports by date range, funding source, account number,
    name, status, category, community, etc. The system should be able to email these reports
    automatically.
    The system must provide a CDBG Project Tracking report which should run monthly. Report
    should include but not be limited to contract number, project description, fiscal year funding,
    amount of award, contracted amount, balance remaining in reward, balance remaining in contract,
    drawdown projections for six months, and any comments attached.
    The system must provide a CDBG Monthly Vouchers Paid report listing all vouchers paid to include
    but not be limited to name of the account, contract number, date received, voucher number, amount
    of voucher, and region of the project.
    The system must provide a CDBG Projects by Recipient and HUD Code report to include but not be
    limited to project title, contract number, project description, HUD Code, etc. Users should be given
    the ability to group by community, recipient, contract number, etc.
    The system must provide a Drawdown Report to include but not be limited to all CDBG projects,
    filtered by community, that are still active. This report must display projected award spent by
    quarter.
    The system must provide an Expiring Contracts within 90 Days report to include all contracts that
    will expire within 90 days. Report should include but not be limited to recipient name, project title,
    expiration date, contract number, contract amount, balance remaining, etc. Users should be given
    the ability to combine line items for contracts that occur from multiple budget years.
    The system must have the ability to provide summary reports that can be daily, weekly, monthly or
    any range of dates. See Schedule D for sample reports.
    The system must provide a Loan History Report to include but not be limited to payment date, check
    number, start date, start balance, principal, additional principal, interest, escrow, end balance, and
    end date.
    The system should provide reports specific to loans that should display original balance, most recent
    payments, cumulative payments, status of loans, whether loan was paid in full, etc. See Schedule D
    for sample reports.
    The system should provide the ability to run reports displaying data for loans using an “as of date”.
    Information displayed should be a snap shot of what the loan looked like at a specified date.
    Example would be if today’s date is September 20, 2011 then what was the loan balance on January
    2, 2011?


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    Grant and Loan Management System Functional Requirements                                                    Yes Chg No Text Score
    The system should provide the ability to export report content and other data to MS Excel/CSV and
    PDF.
    The system should provide ad-hoc reporting capabilities. Users will have the ability to
    include/exclude data elements. Reports can be further customized using filter options, sort options,
    etc.
    The system should allow for reports to be scheduled and then emailed through the same trigger.
    Wage Rate Compliance Tracking
    The system should have the ability to track Davis Bacon Wage Rate Compliance for all CDBG or construction
    projects.
    The system should be able to track interviews, payroll, contractors and personal information about each
    contractor, contractor status (minority, women owned, etc.), federal ID numbers, etc.
    The system should allow entry of multiple contractors per project.
    The system must disallow any voucher payments or draw down of accounts for any reason if projects are not
    compliant with Davis Bacon Wage Rate Compliance.
    User Interface, Data and Data Integrity
    The system must include controls to protect data integrity by ensuring that incomplete or incorrect
    data cannot be entered or processed and that entries cannot be processed in the wrong sequence, to
    ensure correct and complete loan and grant processing.
    The system must allow for searching, updating, and inserting of data with minimal keystrokes.

    The system must allow for creation of filters or queries to drill down to data needed as well as the
    ability to save those filters or queries for later use.
    The system should support the required number of user defined waste classes.

    The system must have the ability to create a number of user defined fields created by the County.

    Automated Notifications
    The system should provide automated notifications without supervisor querying. Notifications should
    include system failures.
    The system should provide automated notifications in the event loans are delinquent.
    The system should have the ability to schedule and email specific reports on a daily, weekly,
    monthly, etc.
    The system must be able to provide flags for projects that fall out of Davis Bacon Wage Rate

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    Grant and Loan Management System Functional Requirements                                                  Yes Chg No Text Score
    Compliance.
    The system should provide automated notification when grant accounts are not drawn down within
    specified time limits.
    Notifications can be of the following type: Flags, automatic emails, reports automatically generated
    and emailed, or other type of notification that will gain the attention of administrators.
    System Integration
    The system should have mechanisms in place for integration to our systems which may include
    integration of financial data into the county’s financial system.
    The system should track date and time financial data is submitted to the finance system.
    The system should provide mechanisms to import records from the grant and loan management
    system that is currently in place for a specific set of years as well as omit data that has been deemed
    inadequate.
    The system should also be able to import data from home grown MS Access databases that have
    been developed in conjunction with the current grant and loan management system in place.
    The system should also have the ability to integrate with HUD’s IDIS (Integrated Disbursement
    Information System) Interface.
    Security/Multi-level access
    The system should be able to provide levels of security/access based on user login and requirements
    for processing.
    The system should also provide different levels of access for users. A number of users should have
    the ability to make changes, inserts, and updates, etc to various records, while other users will have
    read only access for the purpose of generating reports.
    The system administrator must be able to set level of security based on user account.
    All screens in the system must have a security setting which is customizable by user.
    System Failure and Recovery
    Vendor should provide a method for addressing system failures through a detailed schedule of
    support hours which would cover seven days a week and include holidays.




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Comments can be entered in the same “box” as the stated functionality, directly beneath the question or attach additional pages
    Mandatory Support Requirements                                                                                Yes     Chg     No   Text   Score
    Software Installation
    Vendor software will be installed on Westchester County server(s) by the vendor and
    Westchester County IT Systems Administrator. Both a training environment and a production
    environment will be established so that users will be able to test the system and subsequent new
    features without effecting ongoing production. The software installation process and
    requirements will be thoroughly documented by the vendor and be available to the County for
    review and acceptance prior to the actual installation. Additionally, criteria demonstrating a
    successful installation will be itemized and available for the County to review and approve.
    Technical and end user administrator knowledge transfers will be performed to assure that the
    County IT systems manager can maintain the installation or perform a re-install if necessary, and
    that the end user can sufficiently maintain business rules and mandates.
    Software Configuration
    At minimum, software configuration must be based upon the identified operational needs of end
    users. This can be accomplished through the respondent’s described process, through vendor-led
    business process analysis of the existing and anticipated workflows, or a hybrid of the two
    general approaches. Regardless of the intended approach, a detailed plan should be presented
    including requirements, tasks, resources, etc.
    Data Conversion
    The existing grant and loan data and all other related data supporting the current system must be
    cleaned, converted where required and imported into the new Grant and Loan Management
    System database by the vendor. This imported information must be accessible for viewing and
    for reporting in the new environment. A formal document detailing the data conversion tasks
    and required resources must be produced by the vendor for review and acceptance by affected
    parties prior to production.
    Training
    End-user training will be provided to users (approximate number of staff requiring some level of
    training is expected to be between 4 to 6) at a county facility. End-user training should cover all
    aspects of the software including but not limited to data entry, querying, reporting, administrative
    functions, etc.
    The vendor shall provide a series of training sessions based on the different modules of the
    system with materials summarizing basic procedures for each area of training.
    Each session shall be focused on teaching end users how to use the system to perform their jobs
    using the tools provided in the system.


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    Mandatory Support Requirements                                                                        Yes   Chg   No   Text   Score
    The trainer shall be prepared to work with groups of up to 6 users in each session. The trainer
    shall also be prepared to train users with limited computing skills.
    A separate administration course and electronic reference materials should be provided to the
    application administrators who will maintain the system for Planning Department. Additionally,
    a knowledge transfer, including supporting reference materials, will be performed to assure that
    both the County IT systems administrator(s) and the Planning Department administrator(s) can
    perform required software maintenance and successfully install system patches and upgrades.
    Go-Live Support
    Full implementation support must be described, including the respondent’s plan for on-site
    startup assistance and support for each effected division of the Planning Department and the
    Department of Information Technology.
    Ongoing Support
    The vendor will provide a post implementation review plan, to be conducted jointly with the
    County. Additionally, the vendor will provide a quote for annual maintenance and support of the
    system for the 5 years following a required one year warranty period. The vendor will itemize
    the terms of this maintenance and support, including but not limited to items covered by support,
    hours and levels of support, methods of support (i.e. Help Desk, email, on-line, on-site),
    guaranteed response times, and costs associated with response or development of customized
    solutions. (See Schedule C Pricing Template).
    Documentation
    The vendor shall provide user documentation, including, but not limited to:
    Detailed system training manuals which thoroughly explain setup, use, and maintenance of the
    system. Vendor will grant permission to make copies of the manual to be used by Westchester
    County.
    Procedural definitions of system user identity and access management (both internal and external
    users).
    On-line documentation, field level or otherwise, preferably in an industry standard, searchable
    help format such as a Microsoft Help or HTML file, or minimally as an ASCII text file.
    Planning and installation documentation for product upgrades.
    A detailed system configuration design.
    A detailed description of system installation, configuration and integration documentation.
    Installation instructions for all software components, including client computers, network
    servers, peripheral devices, instrumentation, databases, and any other vendor supplied utilities or
    existing customer assets which are required for the software to be implemented and supported by
    the County IT systems administrator.
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     Mandatory Support Requirements                                                                         Yes   Chg   No   Text   Score
     Record layouts for all files and entity relationship diagram for database tables used in the system.
     Any special backup, restore, and/or recovery procedures.
     At least one thoroughly documented application example, if the vendor supplies an application
     programming interface.
     Interactive, computer-based training or on-line tutorial.
     Access to a vendor supported Web site containing documentation enhancements, bug reports,
     patches, etc.
     Implementation plan and schedule
     Status reporting
     Periodic reports on progress
     Milestone reports
     System requirements
     System hardware and network requirements
     Software Warranty and Maintenance
     The vendor must provide Westchester County with a one (1) year warranty period, which will
     begin when the system is accepted by Westchester County. The vendor shall warrant all
     software provided to be free of defects during this one-year period. Any repairs or “bug fixes”
     required during this period will be made at no expense to the County.
     A comprehensive software maintenance contract is required for the proposed system on a fixed
     cost basis for up to five (5) years following the expiration of the one (1) year warranty.
     Provide telephone consultation on a seven (7) days per week, twenty-four (24) hour per day
     basis.
     Respond by telephone to a service call within one half (1/2) hour. Diagnose software and
     hardware problems and either correct or replace the software as necessary to remedy the defect
     within 24 hours of service call.
     Offer an option for on-site service within 24 hours if a service call cannot be resolved remotely.
     Provide software fixes, enhancements, new releases, upgrades, and new versions, system
     documentation, user manuals, revisions and updates.
     Respond to all written consultation reports from Westchester County in five working days.
     Source Code in Escrow
     The vendor must place and maintain a current copy of the source code as delivered to
     Westchester County in escrow. In addition, the vendor must indicate that the escrowed software
     is updated as the source code is modified and that the County will be permitted access to the
     source code should the vendor enter in to bankruptcy or otherwise cease to operate or otherwise
10
     Mandatory Support Requirements                                                                    Yes   Chg   No   Text   Score
     be unable to provide support for the product. The County reserves the right to verify that the
     item(s) placed in escrow includes the source code for the delivered system. The source code in
     escrow must be in a format and location acceptable to the County. The cost for establishing and
     maintaining the required escrow account is to be born by the vendor.




11
Comments can be entered in the same “box” as the stated functionality, directly beneath the question or attach additional pages
     IT System Technical Requirements                                                                             Yes     Chg     No Text   Score
     Network and Platform
     The proposed system must run on the County’s existing TCP/IP network.
     Any client code in the proposed system must run on an industry standard platform – i.e.,
     Microsoft Windows XP or Microsoft Windows 2007.
     Software and hardware must be installed within a centralized network.
     Software should employ multi-tier technology, preferably running on Websphere or IIS
     application servers.
     Hardware Procurement
     The vendor must provide a detailed specification list for all hardware required for successful
     implementation. The vendor is not permitted to include the cost of standard computing
     hardware, such as client workstations, servers or printers as part of their response to this RFP.
     Rather, the County Department of Information Technology, in accordance with County
     procurement law, will use the recommended hardware specifications to order hardware through
     the County Bureau of Purchase and Supply. The vendor may include only those hardware items
     in their proposal for which they are the sole provider.
     Software Procurement
     The vendor must provide a detailed specification list for all 3rd party software required. The
     vendor is not permitted to include the cost of standard 3rd party software such as workstation
     operating systems, server operating systems, or database software.
     The vendor must provide specifications for their system licensing along with pricing for that
     licensing. Licenses should be perpetual and continue to operate regardless of continued support
     and maintenance.
     Database
     Data shall be stored in a relational or object-oriented database, meeting the latest industry
     standards from a major vendor.
     Relational database should be on the latest version of Microsoft SQL Server or Oracle.
     Database documentation in the form of an ERD (entity relationship diagram) or detailed schema.
     This documentation should not be in a proprietary format but rather an industry standard format
     such as .vsd or html.
     Interface
     The system’s services and data must be accessible through an industry-standard interface, which
     must be at least one of the following: COM, .NET or ActiveX controls and objects; JavaBeans,
     JMS, J2EE; XML, ODBC or SQL connectivity; a rich, well documented API.
     Query and Reporting Facilities
12
     IT System Technical Requirements                                                                    Yes   Chg   No Text   Score
     The system should offer ad-hoc query and reporting facilities, which are within the capability of
     end users.
     System Backup
     System should suffer no degradation of service during system backup and maintenance
     functions.
     System must be able to be backed up using County standard backup facilities (note: the backup
     solution currently employed at Westchester County is Legato Networker Enterprise).
     Performance
     Response time for PC client transactions must be measurable and should not exceed 5 seconds
     per transaction.
     The system must be able to handle all transactions which will occur over a 7 day work week, and
     a 24 hour work period.
     Data (Imports and Exports)
     The system must be able to import and export data in ASCII, CSV, XML, or Access format.
     Security
     The System’s security should be integrated into the existing Microsoft Active Directory security
     model.
     Software should not require Administrator rights to execute any client code.




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Comments can be entered in the same “box” as the stated functionality, directly beneath the question or attach additional pages
     General Security Requirements                                                                                Yes     Chg     No   Text   Score
     Functional Security –Divisional Users
     The delivered system will have a component that allows for the creation of work groups within
     the department and will provide the ability to assign these work groups various rights and
     privileges with respect to interactions within the Grant and Loan Management System. These
     rights and privileges will be established by management and will be implemented by an
     appointed system administrator. Each individual’s access to the Grant and Loan Management
     System will be regulated by the use of a PIN or password. The use of electronic signatures will
     also be regulated by the use of a PIN or password.
     Data Security
     Users in defined security groups will have access to only the data required for that specific
     group. The system administrator will use a tool to define these data security requirements for a
     group and/or user.
     Audit Trail
     The delivered system will have a component that allows for a comprehensive audit trail of all
     transactions by any individuals or groups within the Grant and Loan Management System. The
     audit trail should track access to the system, modifications and changes to grant and loan
     accounts, and any other significant interaction within the Grant and Loan Management System.
     This information should be available in forms and reports.




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