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Department of State Vital Records Contact Information - DOC

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Department of State Vital Records Contact Information document sample

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									                                                                A


                                           REQUEST FOR INFORMATION (RFI)


                                                              For:


                         Interim Solution: Vital Records Paper Document Management

                                                     RFI # 1628 DPH-JS



                                                           Issued by:


                                                 THE STATE of WISCONSIN
                                      DEPARTMENT of HEALTH and FAMILY SERVICES




                                                          April 3, 2008




                                                   Responses are requested by
                                                          May 1, 2008




                                              For further information regarding this
                                           RFI contact Paula Sherman at (608) 261-0649




WISCONSIN

Department of Health and Family Services                                                 Page 1

RFI #1628 DPH-JS
                                                                 TABLE OF CONTENTS

1.   INTRODUCTION and PURPOSE ........................................................................................................................3
  1.1   Purpose of the Request for Information .........................................................................................................3
  1.2   Scope .............................................................................................................................................................3
  1.3   Definitions and Acronyms .............................................................................................................................4
2. PROCEDURE and INSTRUCTIONS ...................................................................................................................5
  2.1   Method and Response ....................................................................................................................................5
  2.2   Calendar of Events .........................................................................................................................................5
  2.3   Format of Response .......................................................................................................................................5
  2.4   Demonstrations ..............................................................................................................................................7
  2.5   Incurring Costs...............................................................................................................................................7
  2.6   Questions .......................................................................................................................................................7
3. BACKGROUND ...................................................................................................................................................8
4. VISION................................................................................................................................................................ 10
5. OBJECTIVES...................................................................................................................................................... 11
6. COST INFORMATION ...................................................................................................................................... 13
7. HARDWARE AND SOFTWARE INFORMATION ......................................................................................... 14
ATTACHMENT A ...................................................................................................................................................... 15
ATTACHMENT B ...................................................................................................................................................... 16
ATTACHMENT C ...................................................................................................................................................... 17




WISCONSIN

Department of Health and Family Services                                                                                                               Page 2

RFI #1628 DPH-JS
INTRODUCTION and PURPOSE

1.1         Purpose of the Request for Information

The purpose of this document is to solicit information from vendors on proposed
solutions for interim management of approximately 2.5 million birth records stored as
paper documents with no electronic or other media backups. The expectation is that
proposed solutions will be based on use of scanning technology, but other ideas and
approaches will be considered.
This is not a request for bid. No purchases will be made on the basis of
responses to this Request for Information (RFI).
The State of Wisconsin, as represented by its Department of Health and Family
Services (DHFS), intends to use the results of this process to finalize specifications for
an interim solution to managing paper Vital Records documents. The results of this
information gathering process may also be used by the State to create and issue a
Request for Bid or Request for Proposal that may result in the issuance of State
contract(s).

1.2         Scope

The scope of this RFI is to establish a base of information that can be further reviewed
to determine the feasibility and practicality of an interim solution to managing 2.5 million
paper Vital Records documents.
DHFS is seeking information and cost estimates prior to preparing a detailed system
design or specifications for a request for bid or proposal.
There is no intent to purchase any equipment, software, or services at this time
as a result of this RFI, but only to review and to make recommendations to DHFS
management as to the future direction of the Department and whether such a
system is cost-effective.
DHFS is an umbrella human service agency headed by a cabinet-level Secretary.
DHFS has responsibility for a wide range of human services program areas. The State
Registrar/Vital Records Office is located in the Bureau of Health Information and Policy
(BHIP) within the Division of Public Health (DPH). Further information on departmental
services and organization charts can be found on the DHFS internet web page, located
at http://dhfs.wisconsin.gov/organization/DHFS07/CoverPage.pdf .
The current statewide system used to register and amend vital records is paper-
intensive and only partially automated. The processes used to index and amend vital
records have varied over the years, resulting in a current collection of multiple index and
record formats. Approximately 20 million birth, death, marriage, and divorce records
have been filed, indexed, and archived in the SVRO, as required by law since 1907.
Almost all paper records have a microfilm copy of the document that can be used as a
backup, and a microfiche “index file” containing information used to find the document.

WISCONSIN

Department of Health and Family Services                                         Page 3

RFI #1628 DPH-JS
The 2.5 million birth records referred to in this RFI have neither the microfiche “index
file” nor the microfilm copy.

1.3         Definitions and Acronyms

The following definitions are used throughout the RFI:
Agency means the Wisconsin Department of Health and Family Services.
BHIP means the Bureau of Health Information Policy
DHFS means the Department of Health and Family Services of the State of Wisconsin
DPH means the Division of Public Health
State means State of Wisconsin.
SVRIS means the proposed new Statewide Vital Records Information System
SVRO means the State Vital Records Office
LVRO means Local Vital Records Office




WISCONSIN

Department of Health and Family Services                                     Page 4

RFI #1628 DPH-JS
PROCEDURE and INSTRUCTIONS

1.4         Method and Response

Vendors should submit three (3) original copies of all materials by date specified in 2.2
to:
                   Paula Sherman
                   Information Technology Business Consultant
                   BITS (Bureau of Information & Technology Services)
                   DES (Division of Enterprise Services)
                   Department of Health and Family Services
                   1 W Wilson St. Room b174
                   Madison, WI 53703
                   Phone: (608) 261-0649
                   shermp@dhfs.state.wi.us
DHFS recognizes that vendors may include proprietary information and trade secrets in
their responses. The Department will treat all responses with the same level of content
security as afforded bid documents. Therefore, all documents must be packaged,
sealed and show the following information on the outside of the package:
                   Vendor's Name and Address
                   Request For Information Title
                   Request For Information Number
                   Request For Information Due Date

1.5         Calendar of Events

Listed below are important dates and times by which actions related to this RFI must be
completed. In the event that the State finds it necessary to change any of these dates
and times it will do so by issuing a supplement to this RFI.

EVENT                                                    DATE
RFI Published                                            April 3, 2008

Written questions due from vendors                       April 17, 2008

Answers to questions posted to VendorNet                 April 22, 2008

Responses requested from vendors due by:                 May 1, 2008


1.6         Format of Response

Vendors responding to this RFI should comply with the following requirements:
 (a) TAB 1 - VENDOR DATA SHEET/REFERENCE DATA SHEET:
Include here the Vendor Data Sheet (Attachment A) and the Reference Data Sheet
(Attachment B) that have been included in this RFI. Each vendor is asked to furnish a

WISCONSIN

Department of Health and Family Services                                      Page 5

RFI #1628 DPH-JS
list of a minimum of one (1) reference that will be capable of verifying information
supplied by the vendor in his or her response. Vendors may submit additional
Reference Data Sheet forms. Include here the Designation of Confidential and
Proprietary information if vendor chooses to complete the form.
The State reserves the right to contact and/or visit any party listed as a reference, which
has previously utilized or is presently utilizing products(s) and/or services(s) identical or
similar to those being proposed by the vendor. It may also utilize other sources of
information about the product(s) and/or service(s) proposed by the vendor where these
sources are publicly available and are equally available for all competing vendors.
 (b) Tab 2 - MANAGEMENT SUMMARY:
Provide a narrative summary of the information being submitted. This summary should
identify all product(s) and/or service(s) that are being discussed in the response. A brief
description of the vendor's organization and its history may also be included.
(c) Tab 3 - RESPONSE TO REQUIREMENTS:
Provide a description of the proposed solution. The description should reference
information on the current situation, as described in Section 3 Background. The
proposed solution may address a scanning solution, as described in Section 4 Vision,
but the State is open to other approaches. Please list all hardware and software that
will be used in the solution including alternative brands and versions of hardware and
software that are equivalent. Any proposed solution should address the high-level
requirements listed in Section 5 Objectives.
The structure of this RFI is deliberately high-level, with the State describing its current
situation and asking for solutions. While the RFI does not contain a list of specific and
detailed requirements, vendors are encouraged to add in specifics for proposed
solutions.
 (d) Tab 4 - ADDITIONAL INFORMATION:
Include additional information, which will be essential to an understanding of the
response. This might include diagrams, excerpts from manuals or other explanatory
documentation, which would clarify and/or substantiate the response. Any material
included here should be referenced elsewhere in the document.
 (e) Tab 5 - COST INFORMATION:
Provide cost information on the product(s) and/or service(s) included in this RFI. The
purpose of this cost information is to provide the State with an idea of how it would cost
to implement the proposed solution. List prices and estimated State discounts (if
available) are satisfactory. Include costs related to software licensing, maintenance,
hardware, implementation, conversion, documentation and training. Refer to section 6
for more detail.




WISCONSIN

Department of Health and Family Services                                          Page 6

RFI #1628 DPH-JS
1.7         Demonstrations

DHFS recognizes the cost and time commitment incurred by vendors in providing
demonstrations of their products. Demonstrations are not specifically requested as a
response to this RFI. DHFS may determine that it is desirable to view a demonstration
of some products and may contact vendors at a later date to request a demonstration.
Recognizing this is a Request for Information, vendors will not be penalized if
demonstrations cannot be provided.

1.8         Incurring Costs

The State of Wisconsin is not liable for any cost incurred by the vendor in response to
this RFI.

1.9         Questions

All questions must be in writing and directed to Paula Sherman (see Section 2.1).
Note: e-mail is the only method for submitting questions.
In the event that it becomes necessary to provide additional clarifying data or
information, or to revise any part of this RFI, supplements or revisions will be provided
to all recipients of this initial RFI.




WISCONSIN

Department of Health and Family Services                                      Page 7

RFI #1628 DPH-JS
BACKGROUND
The Vital Records Section has approximately 20 million paper records of birth, death,
marriage, and divorce.     There can be additional paper records representing
amendments and other data related to “core” records for birth, death, marriage, and
divorce.
Almost all paper records have a microfilm copy of the document that can be used as a
backup, and microfiche “index file” containing information used to find the document and
any associated amendments.
There are 2.5 million paper birth records from 1907 to 1947 that have neither microfilm
nor microfiche backups. These birth records are located using a paper index file and
are stored in screw post binders organized by year and by county, with the records in
each binder in order by birth date. There may be printing and/or handwriting on both
sides of the record. Most records are tattered around the edges and many are very
fragile.
These documents are indexed using the information contained in the record (such as
date of birth, county and last name for birth records) and a printed Certificate Number
that is on the actual document. A subset of these records, representing births from
1941 to 1947, do not contain Certificate Numbers.
These records are stored at the State DHFS building in rooms that have no flood or fire
protection, nor record appropriate climate control. The SVRO believes that 95% of
these documents are potentially available at the county level. Although discussions
have taken place, no detailed plans exist with Local Vital Records Offices on their need
to act as backups if the State records were not available.
Vital Records Section staff is currently evaluating responses to an RFP issued to
procure a new Statewide Vital Records Information System (SVRIS). The new
application system will replace all current vital records data systems with a single,
integrated database and an online application. This is an extremely high-risk and
complex project. Phase 1 of this project is to convert all electronically stored birth
records into the new database and to implement the application modules for birth
reporting, customer service and accounting for use by the State Vital Records Office
and those Local Vital Records Offices currently using the existing State system for
customer service requests. The RFP has estimated this phase as taking six months,
with the final time line being determined by the selected vendor and the State after
collaborative planning, requirements analysis sessions and State acceptance of vendor
created statements of work. The RFP estimates that this planning phase will take 6
weeks.
As Phase 1 is being developed and implemented, SVRO plans to release an RFP for a
vendor to manage a project to convert all non-electronically stored documents into the
new SVRIS. These documents will be scanned into the new system to ensure a visual
image of the document will exist. Data from the scanned images will be entered to the
database from a combination of optical character recognition and manual review. The

WISCONSIN

Department of Health and Family Services                                     Page 8

RFI #1628 DPH-JS
paper documents, currently used as the main record, will become backup copies
physically stored at the State’s Records Center.
An optimistic estimate is that the data conversion project will begin 12 to 15 months
from now; a pessimistic estimate would put that time at 2 years from now.




WISCONSIN

Department of Health and Family Services                                   Page 9

RFI #1628 DPH-JS
VISION
The Vital Records Section is looking for proposed solutions on how to ensure the safety
and security of the 2.5 million paper birth documents in the immediate future until the
second RFP project is underway. At issue is balancing the responsibility of DHFS to
safeguard vital records with the need to have the Statewide Vital Records Information
System project proceed on time and on budget.
Currently, the State is exploring the idea of a project to scan all 1907 to 1947
documents into an electronic database and creating a usable index to ensure that
individual scanned documents could be located. The scanned documents would
become the backup file that does not currently exist for these birth records.
For the period between the completion of this project until the completion of the project
to convert all 20 million paper documents to the new SVRIS, staff filling requests for
birth records from 1907 to 1947 would continue to access the paper documents stored
in these binders. When the data conversion project begins, the expectation is that the
digitized versions of the 1907 to 1947 birth records would be used in the process to fill
the database of the new SVRIS, and any additional index or lookup fields needed would
be captured from the scanned document, in combination with OCR technology and then
it would be keyed into the SVRIS database.
The documents are a mix of hand-written and printed materials, often with writing on
both sides of a record. Most records are tattered around the edges, and many are very
fragile.
The documents would need to be carefully removed from the binders in which they are
kept, fed into scanning machines, and then returned to the same binder in the same
position. The binders measure about 8 3/4” by 7 1/4“, with two screw posts used to
secure the documents. They are organized by year and by county, with the records
within each binder ordered by birth date. A single binder usually contains all births for a
single county for a single year, but that is not always true.
The fragile nature of these records means that smaller, hand-fed machines would likely
need to be used for scanning. Human intervention would be required to ensure that
index fields were captured due to the combination of old paper, handwritten documents,
faded and old-fashioned writing, and notes added to documents.
Details need to be worked out regarding where the scanning would take place. Off-site
scanning will very likely be prohibited. However, it would be crucial to the success of
this option that it be planned with an eye to maximum security and safety to the
documents while ensuring minimal inconvenience to customers, researchers, and staff.
 Security and safety for the documents would include background checks for all your
staff working on this project.




WISCONSIN

Department of Health and Family Services                                       Page 10

RFI #1628 DPH-JS
OBJECTIVES
Any solution proposed must conform to these guidelines:
            1. Allow Customer Service sales of Birth Records to continue with no or minimal
               interruption.
            The affected birth certificate records must remain accessible to Vital Records staff for
            customer service requests.

            2. Create minimal interference with ongoing job duties of State Vital Records
               Office staff.
            Current expectations are that the selected solution for the problem being defined in this
            RFI will be implemented concurrently with Phase 1 of Statewide Vital Records
            Information System project.
            Staff from the State Vital Records Office will be expected to participate in two projects
            (not including this potential project) while simultaneously continuing to perform all their
            “normal” job duties. The State is hoping to find a solution that can be implemented with
            little work and effort required of State staff.
            3. Allow DHFS to meet State guidelines for document protection.
            Guidelines for the Permanent Retention of Records by Wisconsin State Agencies were
            adopted by the Public Records Board in 2001 and states:
                   To ensure that permanent records remain accessible over time, agencies keeping them must
                   take reasonable measures to maintain them physically intact. Appropriate measures for
                   doing this differ according to record formats, but it is always important to use archival-quality
                   storage enclosures and containers. Maintaining proper temperature and relative humidity in
                   storage areas also does a great deal to prolong the useful life of records. Agency disaster
                   plans should include procedures for the salvage and recovery of permanent records in case
                   of fire, flood, or other disasters.
            4. The project implementation plan must ensure that the security and
               confidentiality of these documents are not compromised. This would include
               background checks on all your staff which would be reviewed by the DHFS.
               Birth records are a primary document for establishing identification.
            Birth records are a primary document for establishing identification. This RFI has dealt
            with expectations for the product that will be created, whether a database of scanned
            images or a different product.

            This objective is concerned with the management of the project and the safeguards that
            will be put in place to guarantee that the handling of the records during the proposed
            project will not cause any compromises to the security of these documents. To that end,
            the State will expect to see information regarding how the vendor ensures confidentiality
            among its staff and any subcontractors. The State wants to have a clear understanding
            of who will be handling the documents, where they will be handled, and under what kind
            of supervision.


             http://www.doa.state.wi.us/facts_view.asp?factid=81&locid=2

WISCONSIN

Department of Health and Family Services                                                              Page 11

RFI #1628 DPH-JS
            5. Favorably position the State with regard to planned future Vital Records
               projects.
            As described in Section 3 Background, the State is planning a second project to convert
            all paper Vital Records documents into the new SVRIS. The result of this second project
            will be that all data in the vital record documents will be accessible in the SVRIS
            database. In addition, the digitized images will be kept in perpetuity and used as
            business needs require.
            Approximately 20 million paper records will be affected by this project. The 2.5 million
            birth records that have no backups are a part of the overall 20 million record counts for
            the second project.
            Proposed solutions that can be leveraged into this second project will be deemed most
            desirable.
            6. Information/Solutions for a Specific Issue.
            As described in Section 3 Background, all Vital Records, with the exception of birth
            records from the 1941 to 1947, contain a printed Certificate Number on the document
            that is used as part of the index.
            Any solution that proposes scanning or otherwise converting documents will need to
            capture the Certificate Numbers and ensure they continue to be usable for indexing and
            establishing uniqueness.
            A preferred solution is one whereby the selected Vendor will be able to apply Certificate
            Numbers to those records that currently do not have them. SVRO will supply the
            numbers. Vendors are expected to provide a detailed explanation of how they plan on
            physically marking the original document with a Certificate Number and how they plan
            on ensuring use and accessibility of that vendor-applied Certificate Number in all media.

            7. The proposed solution must be cost-effective.
            The cost-effectiveness of any proposed solution will be evaluated in two ways. First, the
            cost of the solution itself will be reviewed. The State is not interested in a Cadillac
            approach where a Chevy can do the job. However, the total cost of a proposed solution
            will be considered in relation to the solution’s ability to save future costs. A solution that
            positions the State to save money on the future Vital Records Conversion project will be
            recognized as potentially costing less, in the long run, than a less expensive solution that
            will be obsolesced when the data conversion project begins.

            This objective is concerned with the management of the project and the safeguards that
            will be put in place to guarantee that the handling of the records during the proposed
            project will not cause any compromises to the security of these documents. To that end,
            the State will expect to see information regarding how the vendor ensures confidentiality
            among its staff and any subcontractors. The State wants to have a clear understanding
            of who will be handling the documents, where they will be handled, and under what kind
            of supervision.




WISCONSIN

Department of Health and Family Services                                                     Page 12

RFI #1628 DPH-JS
COST INFORMATION
Vendors are asked to submit current cost and licensing information for systems and
components referenced in their response to this RFI. Response should include but not
be limited to:
         Approximate implementation cost
         Services and staff costs
         Hardware and software costs
         Approximate training costs
         Project management costs
         Other relevant costs
       … Estimated timeline
       … Ideal number of your staff needed on site




WISCONSIN

Department of Health and Family Services                                 Page 13

RFI #1628 DPH-JS
HARDWARE AND SOFTWARE INFORMATION
Describe all hardware and software to be used in this project. Description should
include all pertinent information such as brand, model number, alternate brands, and
other information as deemed relevant. Provide information on how the software or
hardware is used in the proposed solution.




WISCONSIN

Department of Health and Family Services                                 Page 14

RFI #1628 DPH-JS
ATTACHMENT A

RFI # DPH 1628 JSS
VENDOR DATA SHEET
This form must be completed and submitted with each response to this solicitation document. This form is intended
to provide the State with information on the vendor's name and address, and the specific persons who are
responsible for preparation of the vendor's response. Each vendor must also designate a specific contact person who
will be responsible for responding to the State if any clarification of the vendor’s response should become necessary.




 Vendor Name: _________________________________________________________


         Address: _________________________________________________________


                         _________________________________________________________


                         _________________________________________________________


                         _________________________________________________________




   Prepared By: __________________________________________________________


            Title:       __________________________________________________________


Contact Person: _________________________________________________________


            Title:       __________________________________________________________
Phone Number: __________________________________________________________


E-mail Address:            __________________________________________________________




WISCONSIN

Department of Health and Family Services                                                               Page 15

RFI #1628 DPH-JS
ATTACHMENT B

RFI # DPH 1628 JSS
REFERENCE DATA SHEET


FOR VENDOR: __________________________________________________________________


Provide at least one (1) reference including company name, address, contact person, telephone number, and
appropriate information on the product(s) and/or service(s) used for client installation with usage and requirements
similar to those included in this solicitation document. If vendor is proposing any arrangement involving a third
party, the named references should also be involved in a similar arrangement.


Company Name: ______________________________________________________________________


City: _______________________________________ State: ___________ Zip+4: __________________


Contact Person: ________________________________________ Phone No.: ____________________


E-mail Address: _______________________________


Product(s) and/or Service(s) Used: ________________________________________________________________


____________________________________________________________________________________________


____________________________________________________________________________________________


____________________________________________________________________________________________


____________________________________________________________________________________________




WISCONSIN

Department of Health and Family Services                                                             Page 16

RFI #1628 DPH-JS
STATE OF WISCONSIN
DOA-3027 N(R05/94)
(Amended by DHFS for RFI)

ATTACHMENT C

RFI # DPH 1628 JSS: DESIGNATION OF CONFIDENTIAL AND PROPRIETARY INFORMATION
The attached material submitted in response to Request for Information (RFI) includes proprietary and confidential
information which qualifies as a trade secret, as provided in Section 19.36(5), Wis. Statues, or is otherwise material
that can be kept confidential under the Wisconsin Open Records Law. As such, we ask that certain pages, as
indicated below, of this RFI response be treated as confidential material and not be released without our written
approval.
Prices always become public information when RFIs are opened and, therefore, cannot be
kept confidential.
Other information cannot be kept confidential unless it is a trade secret. Trade secret is defined in Section
134.90(1)(c), Wis. Statues. as follows: "Trade secret" means information, including a formula, pattern, compilation,
program, device, method, technique or process to which all of the following apply: 1. The information derives
independent economic value, actual or potential, from not being generally known to, and not being readily
ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use. 2. The
information is the subject of efforts to maintain its secrecy that are reasonable under the circumstances.
We request that the following pages not be released:
Section                                                       Page #                Topic
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
IN THE EVENT THE DESIGNATION OF CONFIDENTIALITY OF THIS INFORMATION IS CHALLENGED,
THE UNDERSIGNED HEREBY AGREES TO PROVIDE LEGAL COUNSEL OR OTHER NECESSARY
ASSISTANCE TO DEFEND THE DESIGNATION OF CONFIDENTIALITY.
Failure to include this form in the RFI response may mean that all information provided as part of the RFI response
will be open to examination and copying. The state considers other markings of confidential in the RFI document to
be insufficient. The undersigned agrees to hold the state harmless for any damages arising out of the release of any
materials unless they are specifically identified above.
                                                    Company Name:       ___________________________________________


                                           Authorized Representative:   ___________________________________________
                                                                        Signature


                                           Authorized Representative:   ______________________________________________________
                                                                        Printed


                                                                Date:   ___________________________________________




WISCONSIN

Department of Health and Family Services                                                                          Page 17

RFI #1628 DPH-JS



                                            Authorized Representative :   ______________________________________________________
                                                                          Printed


                                                                  Date:   ___________________________________________




WISCONSIN

Department of Health and Family Ser vices                                                                           Page 17

RFI #1628 DPH-JS

								
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