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EXHIBIT C
FUNCTIONAL REQUIREMENTS & CHECK LIST
| YF |
| Yes – Fully, provided "Commercial Off-The-Shelf (COTS)" |
| YC |
| Yes – with Customization |
| AC |
| In separate module(s) available at Additional Cost |
| R |
| Provided with Reporting Tool |
The checklist specifies the Mandatory (M) or Optional (O) requirements of this RFP. The Vendor must complete this checklist by indicating at what level each requirement can be met. Please respond by entering the appropriate Key code next to each requirement. Vendors should use the comments section to further explain how their software meets the requirement.
Optional Requirement
| Requirement |
| Key* |
| Comments |
C.1 General Usage Specifications
| C.1.1 |
| M |
| Easy to navigate, user friendly user interface |
| C.1.2 |
| O |
| Must support handwriting recognition |
| C.1.3 |
| M |
| Must allow the ability to scan paper documents |
| C.1.4 |
| M |
| Must allow the direct import of common electronic document types (such as, but not limited to: TIF, PDF, JPG, Microsoft Office standard formats such as .docx and .xls) |
| C.1.5 |
| M |
| Ability to OCR scan color documents |
| C.1.6 |
| O |
| Copier integration |
| C.1.7 |
| M |
| Interface to other applications and databases - |
Proposed system must provide simple integration between different software applications whether they are web-based, or windows-based.
| C.1.8 |
| O |
| Barcode recognition for auto indexing |
| C.1.9 |
| M |
| Documents must be able to be scanned or printed directly into the electronic document management system without requiring a hard copy |
| C.1.10 |
| M |
| Proposed system must provide document import via scanner, virtual printer, drag and drop, and browse to file |
| C.1.11 |
| M |
| Proposed system must provide optional full integration into network scanning appliances, including the ability to select scan destination and index directly from the panel. |
| C.1.12 |
| M |
| Proposed system must store the images in their native file format, and not in a proprietary or encrypted format |
| C.1.13 |
| O |
| Ability to view multiple images simultaneously |
Optional Requirement
| Requirement |
| Key* |
| Comments |
| C.1.14 |
| M |
| Color images must be viewable quality so that detail in the image is captured |
| C.1.15 |
| M |
| Images must be oriented correctly for viewing |
| C.1.16 |
| M |
| Text must be readable up to the edge of the document |
| C.1.17 |
| M |
| Ability to crop images |
| C.1.18 |
| M |
| Proposed system must be scalable to hundreds of users. The proposal shall provide licensing options and identify whether licensing is fixed or concurrent. |
| C.1.19 |
| M |
| Proposed system must provide Active Directory and single sign-on capabilities in all available clients. |
| C.1.20 |
| M |
| Robust import/export function of the software (for the ability to import/export from/to another software package) |
| C.1.21 |
| M |
| Proposed system must have robust training materials including manuals, e-learning, etc. |
| C.1.22 |
| M |
| Web based client - Provide users access to the system through a common web browser or mobile device |
| C.1.23 |
| M |
| System must have the capability of performing e-discovery for open records purposes and be able to place said documents on “Litigation Hold” to ensure the preservation of the document contents. |
C.2 Searching Capabilities
| C.2.1 |
| M |
| Full-text searches |
| C.2.2 |
| M |
| Advanced search capabilities |
| C.2.3 |
| M |
| Key word searches |
| C.2.4 |
| M |
| Homonyms searches (fuzzy logic) i.e. Jeri, Jerry. |
| C.2.5 |
| O |
| Natural language searches (returns search hits on documents that are “about” the subject/theme you’re exploring, even if the words in the document don’t match at all the words you enter into the query) |
| C.2.6 |
| M |
| “wildcard” searches that can be a single character or a string of characters |
C.3 Workflows
| C.3.1 |
| M |
| Proposed system must be able to Automate Work Flows (Automated passing of documents from one person or system to another person or system pursuant to logical rules) |
| C.3.2 |
| M |
| Initiate routing and approval workflows when documents are created |
| C.3.3 |
| M |
| Route documents according to a pre-defined set of rules |
| C.3.4 |
| M |
| Create an audit trail or log of activities related to the workflow |
| C.3.5 |
| M |
| Flexibility to route documents in an ad-hoc fashion as necessary |
Optional Requirement
| Requirement |
| Key* |
| Comments |
C.4 Data Retention
| C.4.1 |
| M |
| Proposed system must adhere to the County’s document retention schedule by identifying documents scheduled to be purged and providing archival of documents prior to the scheduled purge date |
| C.4.2 |
| M |
| Ability to define custom retention schedules |
| C.4.3 |
| M |
| Ability to identify the type of disposition that should occur (e.g. deletion or archive) |
| C.4.4 |
| M |
| Ability to schedule and log the disposition of files or folders |
C.5 Version Management
| C.5.1 |
| M |
| Proposed system must provide file version management |
| C.5.2 |
| M |
| Published version support (finalized, available for public viewing) vs. non-published version (editable, only users with sufficient security have access to) |
| C.5.3 |
| M |
| Access to previous versions based on security control |
C.6 Annotation/Redaction
| C.6.1 |
| M |
| Proposed system must provide Annotation - |
Annotations permit users to append or remove information about a document without permanently changing the original image. Highlighting, stamps, redactions (blackouts or whiteouts) and sticky notes are among the most common annotations.
| C.6.2 |
| M |
| Annotation support (e.g. area highlights, redaction, text annotations) |
| C.6.3 |
| M |
| Annotation security |
| C.6.4 |
| M |
| Redaction should be at the end users discretion |
| C.6.5 |
| M |
| The document management system’s security should give the system administrator control over who can view annotations and see through redactions. |
| C.6.6 |
| M |
| In order for the document to maintain its integrity, all annotations should be overlays that do not change the actual image. This way, a document can be printed with or without the annotations. |
C.7 Audit
| C.7.1 |
| M |
| Auditing of document access/creation |
| C.7.2 |
| M |
| Log user access/actions |
| C.7.3 |
| M |
| Event logging, auditing and reporting capabilities should be available for all documents and workflows |
C.8 Check-in/Check-out
| C.8.1 |
| M |
| Check-in/check-out of documents |
Optional Requirement
| Requirement |
| Key* |
| Comments |
| C.8.2 |
| M |
| Ability to override check-in/check-out functions for administrators |
C.9 Security
| C.9.1 |
| M |
| Support user, group, or departmental level security - Limit what users can see based on security access |
Optional Requirement
| Requirement |
| Key* |
| Comments |
| C.9.2 |
| M |
| As a general rule Walworth County staff that support each of the departments or certain groups within the organization, cannot access the files of their peers or of the superiors. Walworth County staff from different departments also may not access files in another department. However, the flexibility is needed to allow specific documents or files to be shared with other departments across the agency on an as needed basis. |
| C.9.3 |
| M |
| Document hierarchy security and document level security |
| C.9.4 |
| M |
| Annotation level security - system’s security should give the system administrator control over who can view annotations and see through redactions |
| C.9.5 |
| M |
| System provides user profile creation and management to allow and restrict access to documents, workflows and system features |
C.10 Indexing
| C.10.1 |
| M |
| Proposed system must facilitate electronic document storage and indexing using Optical Character Recognition (OCR) technology |
| C.10.2 |
| M |
| Allow Administrator to define fields for automatic indexing of documents using OCR capabilities |
| C.10.3 |
| M |
| Provide indexing assistance by giving the ability to create metadata from data fields on a form |
| C.10.4 |
| M |
| Must be able to support Full-text indexing |
Optional Requirement
| Requirement |
| Key* |
| Comments |
C.11
General Technical Requirements
| C.11.1 |
| O |
| The system shall provide well defined change management processes, including pre-defined all inclusive migration processes for software releases, operating system upgrades, layered software upgrades, and hardware configuration changes. |
| C.11.2 |
| O |
| The system shall support Electronic Data Interchange (EDI). |
| C.11.3 |
| O |
| The system shall be compatible with Business Intelligence / Data Warehousing (BI/DW). |
| C.11.4 |
| O |
| The system shall comply with all current government standards and web-based transaction encryption standards |
| C.11.5 |
| O |
| The system shall provide customizable user interfaces |
| C.11.6 |
| O |
| The system shall provide the ability to automatically integrate user-defined fields into software upgrades & be reflected in new software releases |
| C.11.7 |
| O |
| Software fixes found at other client implementations shall be made available to the County at no charge. |
| C.11.8 |
| O |
| The vendor shall maintain a web or FTP site from which software fixes can be downloaded and installed by the County and shall provide detailed instruction on how to install. |
| C.11.9 |
| O |
| The software vendor shall provide access to 24/7 client support. |
| C.11.10 |
| O |
| The system shall provide best practice workflow templates |
| C.11.11 |
| O |
| Development licenses for all system utilities and tools shall be provided. |
| C.11.12 |
| M |
| Application source code must be placed in escrow. |
| C.11.13 |
| O |
| The system shall provide utilities and tools to monitor resource utilization. |
| C.11.14 |
| M |
| The system must provide the ability to maintain and update non-production environments |
| C.11.15 |
| M |
| The system must provide the ability to apply software upgrades to a non-production database environment before migrating it to a production database environment. |
Optional Requirement Requirement
Key*
Comments
C.12
Application Architecture
| C.12.1 |
| M |
| The system shall support a graphical user interface (GUI) |
| C.12.2 |
| O |
| The system shall support, at a minimum, 32-bit front-end (client) and 64-bit and 128-bit back-end (server) processing including but not limited to multiprocessors and multi-threaded processes. |
| C.12.3 |
| M |
| The system must have single sign-on capabilities with Active Directory. |
| C.12.4 |
| O |
| The system shall support online real-time data entry in both centralized and decentralized environments, with proper user authentication (Active Directory). |
| C.12.5 |
| O |
| The system shall allow users to view records during batch processing |
| C.12.6 |
| O |
| The system shall accommodate background (batch) jobs concurrently with online updates. |
| C.12.7 |
| M |
| The system must edit all transactions for errors and provide immediate user feedback, including error messages and possible corrective actions. |
| C.12.8 |
| O |
| The system shall provide the capability to support public/private key encryption. |
| C.12.9 |
| M |
| The system must provide data and transaction logic validation through the use of centralized or distributed business rules. |
| C.12.10 |
| O |
| The system shall provide support for inter-process communication including, but not limited to, the following: |
· Attachment of standard object types in an object library
· Cut and paste capability from data fields and screens to other applications
| C.12.11 |
| O |
| The system shall provide an internal real-time message routing capability for broadcasting information to all or a selected portion of users. |
| C.12.12 |
| O |
| The system shall allow both online and batch entry of data. |
| C.12.13 |
| M |
| The system shall provide system modules that are fully integrated with one another to avoid redundant data entry and which allow for drill down and hierarchical data summaries |
| C.12.14 |
| M |
| The system must provide an audit trail for tracking changes for what was changed, who made the change, and when the change was made. Including but not limited to the following: |
· Applications
· User Access
· Database Modifications
| C.12.15 |
| M |
| The system must take a snap-shot of the data at a user-defined period in time. The snapshot must be able to identify when the snapshot was taken. |
Optional Requirement
| Requirement |
| Key* |
| Comments |
| C.12.16 |
| O |
| The system shall allow for date driven business rules engine. |
| C.12.17 |
| O |
| The system shall be compliant with open standards such as but not limited to, MAPI, SNMP, and FTP. |
| C.12.18 |
| O |
| The system shall provide the ability to interface with MS Exchange Online. |
| C.12.19 |
| O |
| The system shall have industry-standard open system architecture that supports equipment and applications running on Microsoft operating systems. |
| C.12.20 |
| O |
| The system shall provide the user with the ability to drill down from the transaction view to the supporting record(s) view. |
C.13
System Administration & Customizations
| C.13.1 |
| M |
| The system must allow user/role based security based upon pre-defined roles by Walworth County. |
| C.13.2 |
| O |
| The system shall provide for user-defined elements, not limited to: |
· Tables
· Fields
· Screens
· Reports
· Forms
· Menus
· Business rules and workflows
| C.13.3 |
| O |
| The system shall provide user defaults view based upon security roles. |
| C.13.4 |
| O |
| The system shall provide for configurable/customizable web pages |
C.14
Database Management System
| C.14.1 |
| M |
| The system must use and maintain a primary key across all Databases \ Tables. |
| C.14.2 |
| M |
| The system must use a relational database management system (RDMS). |
| C.14.3 |
| M |
| The system must be compatible with MS-SQL Server |
| C.14.4 |
| M |
| The system must be Open Database Connectivity (ODBC) compliant |
| C.14.5 |
| M |
| The system must utilize appropriate database rules and constraints to enforce and maintain referential integrity. |
| C.14.6 |
| O |
| The system shall provide a GUI database maintenance tool |
| C.14.7 |
| O |
| The system shall include application and system configuration tables accessible by all modules. |
| C.14.8 |
| M |
| The system must provide for simultaneous access to data by concurrent users. |
| C.14.9 |
| O |
| The system shall provide the ability to lock database records at a row and column level. |
| C.14.10 |
| O |
| The system shall provide data modeling, data definition and data dictionary components. |
| C.14.11 |
| O |
| The system shall provide a database that is integrated with all tools supplied for application development and ad hoc database access and ad hoc reporting. |
Optional Requirement
| Requirement |
| Key* |
| Comments |
| C.14.12 |
| O |
| The system shall allow for data replication for disaster recovery. |
| C.14.13 |
| M |
| The system must provide standard structured query language (SQL) capabilities for database queries. |
| C.14.14 |
| O |
| The system shall provide documented best practices including but not limited to optimum database and client maintenance |
C.15
Network and Operating Systems
| C.15.1 |
| O |
| The system shall provide the ability to operate in a multi-tier, multi-platform environment. |
| C.15.2 |
| M |
| The system shall use TCP/IP and subsequent standards as approved by IEEE as the standard network protocol |
| C.15.3 |
| M |
| The system shall operate on a platform which provides extensibility, redundancy, scalability, reliability and connectivity. |
| C.15.4 |
| M |
| The system shall provide the ability to copy and/or archive data to external storage media (data warehouse, tape, cloud) based on user-defined selection criteria and times. |
| C.15.5 |
| O |
| The system shall provide a utility to do load modeling. |
| C.15.6 |
| O |
| The system shall provide the ability to use cross-platform development tools. |
| C.15.7 |
| O |
| The system shall have the ability to interface with current standard desktop protocols. |
| C.15.8 |
| O |
| The system shall provide the ability for remote administration. |
| C.15.9 |
| O |
| The system shall provide the ability to define event triggers with an escalation path to be forwarded to user-defined communication method, including but not limited to: |
· Electronic Mail
· Mobile Devices, i.e. Smart Phones
C.16
Security
| C.16.1 |
| M |
| The system must provide Walworth County the ability to create and assign user IDs and passwords based on Active Directory. |
| C.16.2 |
| M |
| The system shall provide the ability to authenticate users via directory services. |
| C.16.3 |
| M |
| The system must be configurable to provide expiration dates for passwords. |
| C.16.4 |
| M |
| The system must have the ability to notify users and force them to change passwords on a pre-defined frequency. |
| C.16.5 |
| M |
| The system must provide a single sign-on to enter all modules for which the user is allowed access. |
| C.16.6 |
| M |
| The system shall provide the ability to apply role-based authorization and security throughout the system. |
| C.16.7 |
| M |
| The system shall provide lock-out capability after a series of unsuccessful sign-on attempts by the user and allow the administrator the ability to override the lock out. |
Optional Requirement
| Requirement |
| Key* |
| Comments |
| C.16.8 |
| O |
| The system shall provide the ability to control access by security level, including, but not limited to: |
· System
· Module
· Field
· Inquiry
· Approval
· Transaction
· Table
· Individual
· Work Unit
· Group
· Organization
· Department
| C.16.9 |
| M |
| The system must provide summarized and detailed reports on user access, usage and audit logs, etc. |
| C.16.10 |
| M |
| The system must provide security control, audit and setup capabilities for the system administrator. |
| C.16.11 |
| O |
| The system shall utilize secure electronic signatures in the system. Authorized users will only have the ability to access the electronic signature. System must have the ability to report on the usage of digital signature by user. |
C.17
System Redundancy and Availability
| C.17.1 |
| M |
| The system high availability standard must be greater than or equal to 99.9% during normal business hours. |
| C.17.2 |
| M |
| The system must provide full recovery and restart following system failure or error. |
| C.17.3 |
| O |
| The system shall support dynamic load balancing and automatic fail-over between multiple servers. |
C.18
Backup and Restore Capabilities
| C.18.1 |
| M |
| The system shall be compliant with both Storage Area Network and IP standards |
| C.18.2 |
| M |
| The system must accommodate backup and recovery of critical system tables, files, operating system and other information. |
| C.18.3 |
| O |
| The system shall provide the capability to restore data to a user-defined time and date |
| C.18.4 |
| O |
| The system shall accommodate full recovery and backup capabilities for all online and batch transactions. |
| C.18.5 |
| O |
| The system shall be available for user input during backup. |
| C.18.6 |
| O |
| The system shall perform full, incremental, hot and live backups |
| C.18.7 |
| O |
| The system shall backup specified databases, files, or applications. |
| C.18.8 |
| O |
| The system shall support a choice of backup media. |
| C.18.9 |
| O |
| The system shall provide the ability to restore transactions from the database transaction log. |