REQUEST FOR PROPOSAL (RFP)

REQUEST FOR PROPOSAL (RFP) TITLE: Provide and Maintain Software For Document Imaging and Management Solution RFP NUMBER: P07-021 DATE ISSUED: January 29, 2007 DUE DATE: March 15, 2007 TIME: 2:00 P.M. LOCATION: UNIVERSITY OF MEDICINE AND DENTISTRY

OF NEW JERSEY – DEPARTMENT OF PURCHASING SERVICES LIBERTY PLAZA 335 George Street, 2nd Floor New Brunswick, New Jersey 08903

Important Note: Bidders should check Section 1.3 of this document to verify if attendance at a mandatory event (e.g., pre-bid conference, site visit, etc.) is required for this procurement. Failure to attend a mandatory event will result in the rejection of your proposal.

In accordance with the requirements of this proposal, the undersigned offers and agrees, if their proposal is accepted, to furnish any and all services for which the prices are submitted in accordance with the attached conditions as specified in this proposal. BIDDER’S NAME SIGNATURE AND TITLE OF AND ADDRESS AUTHORIZED INDIVIDUAL _________________________ Name (signature) _________________________ Name (print) _________________________ Title

_____________________________________________________________________________________ Request for Proposal: Provide Software and Maintenance for Document Imaging and Management Solutions (RFP #P07-021)

- 2 -

1.0 INFORMATION FOR BIDDERS 1.1 Purpose and Intent of the Procurement 1.1.1 Purpose This Request for Proposal (RFP) is being issued by the University of Medicine and Dentistry of New Jersey (UMDNJ), Department of Purchasing Services on behalf of the University The purpose of this RFP is to enter a contract for the purchase of an Enterprise Site License for the unlimited use of an independent application neutral and integrated Document Imaging, Document Management and Workflow system at the University of Medicine and Dentistry of New Jersey. The University is seeking a Contractor whose primary business offering is document management and work flow. Another purpose of this RFP is to enter a contract for the Software Maintenance of the Document Imaging, Document Management and Workflow system. 1.1.2 Intent It is the intent of the University of Medicine and Dentistry of New Jersey to award a contract to one Contractor for the supply and maintenance of the Document Imaging, Document Management and workflow system. 1.2 Background 1.2.1 UMDNJ is the nation’s largest, freestanding public health and sciences university. It includes eight (8) schools on five (5) campuses in key locations in the state: Newark, Piscataway, New Brunswick, Stratford and Camden. Offering a broad spectrum of health education programs, with more then 4,500 students enrolled in programs in medicine, dentistry, the biomedical sciences and other health professions. It has over 14,500 full time faculty and staff and a network of more then 100 affiliates throughout the state. The University consists of the following units: New Jersey Medical School New Jersey Dental School Robert Wood Johnson Medical school- Piscataway and Camden School of Osteopathic Medicine Stafford and Camden Graduates School of Biomedical Sciences School of Health Related Professions


- 3 -

School of Nursing School of Public Health University Hospital University Behavioral Healthcare at Newark and Piscataway Central Administration Operation and Maintenance of Physical Plant 1.2.1 Technical Background 1.2.3 The UMDNJ IT environment supports an array of healthcare and non-healthcare applications spread across divergent hardware platforms and relying on state-of-the-art processes in order to function as reliably as possible. Applications include Healthquest, IDX, EPIC,Logician and Egate (interface engine). The University has made a substantial investment in HL7, a health care protocol for interfaces. The university’s administrative functions utilize the Banner system, a series of applications provided to higher education customers by Sunguard/SCT. The environment is tied together by the University’s Network, which is secured in order to provide the utmost safety of information and to facilitate compliance with HIPAA, FERPA, OPRA, and other federal and state laws and regulations. The following further technical background is provided in order to assist bidders in understanding the UMDNJ environment: 1.2.4 Network The UMDNJ state wide data network infrastructure is comprised of a combination of technologies that reach across multiple campuses and remote offices. The majority of the data network hardware resides on a Gigabit Ethernet backbone with the capability to deploy switched port speeds up to 100 mbps. However, legacy infrastructures, which utilize a shared Ten Ethernet backbone operating at an aggregate speed of 10 mbps shared, still exist in some locations. The Data Center core network backbone, which provides connectivity to many critical University computing assets, was recently upgraded to 10 Gigabit Ethernet; the highest amount of bandwidth available today. The University has two 45 mbps redundant connection points into the Internet: one in Piscataway and the other in Newark. Both of the Internet connections are fire walled, or protected from the Internet. Only specified traffic is permitted into the University data network from the Internet.


- 4 -

The Inter-Campus Network connections also referred to as Intranet connections utilize Asynchronous Transfer Mode, ATM as the means for data transport between campuses and remote locations. UMDNJ is a member of the NJEDge.net, the statewide higher education inter-institutional network. NJEDge.net ATM Intranet connections have been deployed between University Campuses, and as such; have the capability to provide enhanced network services while recognizing economies of scale. The average connection between University Campuses is 18 mbps. NJEDge.net is also the provider of the University’s 20 mbps connection to Internet – 2. Internet2 is a consortium led by over 200 universities in partnership with industry and government to deploy advanced network applications across a non commodity based internet of tomorrow 1.2.5 Security The University is deploying Microsoft’s Active Directory across the enterprise. Active Directory is enabling a secure method of authenticating against using standard LDAP requests. UMDNJ users and devices authenticate against Active Directory for access to resources, for wired and wireless network connectivity, and for VPN connectivity. UMDNJ has deployed an “empty root” structure with one child domain that contains accounts for every staff and faculty member, students, vendors, volunteers, and temporary staff. Twelve Domain Controllers spread across the state of New Jersey with at least one Domain Controller in each major campus support it. 1.3 Key Events 1.3.1 Questions and Inquiries It is the policy of the UMDNJ, Purchasing Services to accept questions and inquiries from all potential bidders receiving this RFP. Written questions should be mailed or faxed to the UMDNJ, Purchasing Services to the attention of the assigned buyer at the following address: UMDNJ, DEPARTMENT OF PURCHASING SERVICES 335 GEORGE STREET, 2ND FLOOR NEW BRUNSWICK, NEW JERSEY 08903 ATTN: Dennis Fountain Buyer’s Phone Number:732-235-9036 Buyer’s Fax Number: 732-235-9058


- 5 -

1.3.1.1 Cut-Off Date for Questions and Inquiries A mandatory Pre-bid Conference has been scheduled for this procurement, therefore, the cut-off date for submission of questions will be the conclusion of the mandatory Pre-Bid Conference. While all questions will be entertained at the mandatory Pre-bid Conference, it is strongly urged that questions be submitted in writing prior to the mandatory Pre-bid Conference. Written questions must be delivered to the Department of Purchasing Services’ Buyer. It is requested that bidders having long, complex or multiple part questions submit them in writing as far in advance of the mandatory Pre-bid Conference as possible. This request is made so that answers can be prepared prior to the mandatory Pre-bid Conference. 1.3.1.2 Question Protocol Questions should be submitted in writing to the attention of the assigned UMDNJ, Purchasing Services buyer. Written questions should be directly tied to the RFP by the writer. Questions should be asked in consecutive order, from beginning to end, following the organization of the RFP. Each question should begin by referencing the RFP page number and section number to which it relates. Short procedural inquiries may be accepted by telephone by the buyer, however, oral explanations or instructions given over the telephone shall not be binding upon the University. Bidders shall not contact any person within the University directly, in person, or by telephone, other than the assigned buyer, concerning this RFP. 1.3.2 Mandatory Pre-Bid Conference A mandatory Pre-Bid Conference has been scheduled for this procurement. The purpose of the mandatory Pre-Bid Conference is to provide a structured and formal opportunity for bidders to raise questions and clarify any of the proposal requirements. The date, time and location are provided as follows: DATE: February 19, 2007 TIME: 10:00 A.M. LOCATION: UMDNJ, DEPARTMENT OF PURCHASING SERVICES, LIBERTY PLAZA, 335 GEORGE STREET, 2ND FLOOR, NEW BRUNSWICK, NEW JERSEY CAUTION: Bids will be automatically rejected from any bidder that was not represented or failed to properly register at the Mandatory Pre-bid Conference. It is the responsibility of the bidder to identify and address any additional requirements or information needed to submit a proposal. No special consideration shall be given to any bidder, because of the bidder's failure to be knowledgeable of all the requirements of the proposal after the pre-bid conference date.


- 6 -

Bidders requiring directions to the Site Inspection should contact the following individual: NAME: Joseph Konopka PHONE NUMBER: 732-743-3290 Bidders should contact this representative ONLY to obtain directions to the site. 1.4 Additional Information for Bidders 1.4.1 Revisions to this RFP In the event that it becomes necessary to clarify or revise this RFP, such clarification or revision will be by addendum. Any RFP addendum will be distributed as follows: Since a mandatory Pre-Bid Conference has been scheduled for this procurement, any addendum issued before the mandatory Pre-Bid Conference will be distributed to all bidders who were sent the initial RFP. Any addendum issued at the time of or after the mandatory Pre-Bid Conference will be distributed only to those bidders represented and properly registered at the mandatory Pre-Bid Conference. 1.4.2 Addendum as a Part of this RFP Any addendum to this RFP shall become part of this RFP and part of any contract resulting from this RFP. 1.4.3 Issuing Office This RFP is issued by the UMDNJ, Department of Purchasing Services. The buyer noted in Section 1.3.1 is the sole point of contact between the bidder and the UMDNJ for purposes of this RFP. 1.4.4 Bidder Responsibility The bidder assumes sole responsibility for the complete effort required in this RFP. No special consideration shall be given after bids are opened because of a bidder’s failure to be knowledgeable of all the requirements of this RFP. By submitting a proposal in response to this RFP, the bidder represents that it has satisfied itself, from its own investigation, of all the requirements of this RFP. 1.4.5 Cost Liability UMDNJ assumes no responsibility and bears no liability for costs incurred by bidders in the preparation and submittal of proposals in response to this RFP.


- 7 -

1.4.6 Contents of Bid Proposal The entire content of every bid proposal will be publicly opened and becomes a public record. This is the case notwithstanding any statement to the contrary made by a bidder in its bid proposal. All bid proposals, as public records, are available for public inspection. Interested parties can make an appointment to inspect bid proposals received in response to this RFP with the buyer. 1.4.7 Price Alterations Bid prices must be typed or written in ink. Any price changes (including "white-outs") must be initialed. Failure to initial price changes may preclude an award being made to the bidder. 1.4.8 Joint Venture If a joint venture is submitting a bid, the agreement between the parties relating to such joint venture should be submitted with the joint venture’s proposal. Authorized signatories from each party comprising the joint venture must sign the bid proposal. A separate Ownership Disclosure Form, Affirmative Action Employee Information Report, MacBride Principles Certification and, if applicable, foreign (out of State) corporate registration must be supplied for each party to the joint venture. 1.4.9 Bid Bond Not applicable under this Contract. 1.4.10 HIPAA Compliance As a State Agency, New Jersey State regulations require that we obtain documentation regarding our vendor “HIPAA Compliance” status. In order to be in compliance and conduct business with your company for the procurements of goods and/or services, it will be necessary for your company to complete a Business Associate Agreement. This agreement involves the access to protected health information that is considered protected pursuant to federal, state and/or local laws and regulations in accordance with the privacy requirements of the “HIPAA” – Health Insurance Portability and Accountability Act of 1996. The requirement is a precondition of entering into a valid and binding contract.


- 8 -

1.4.12 Business Registration Notice All New Jersey and out of State business organizations must obtain a Business Registration Certificate (BRC) from the Department of the Treasury, Division of Revenue, prior to conducting business with the State of New Jersey. Proof of valid business registration must be submitted by a bidder with its bid proposal. Failure to submit such valid business registration with a bid will render the bid materially non-responsive. The business registration form (Form NJ-REG) can be found online at: http://www.state.nj.us/treasury/purchase/busreg.htm 1.4.12.1 Definitions “Affiliate” means any entity that (1) directly, indirectly, or constructively controls another entity, (2) is directly, indirectly, or constructively controlled by another entity, or (3) is subject to the control of a common entity. An entity controls another entity if it owns, directly or individually, more than 50% of the ownership in that entity. “Business organization” means an individual, partnership, association, joint stock company, trust, corporation, or other legal business entity or successor thereof. “Business registration” means a business registration certificate issued by the Department of the Treasury or such other form or verification that a contractor or subcontractor is registered with the Department of Treasury. “Contractor” means a business organization that seeks to enter, or has entered into, a contract to provide goods or services with a contracting agency. “Contracting agency” means the principal departments in the Executive Branch of the State Government, and any division, board, bureau, office, commission or other instrumentality within or created by such department, or any independent State authority, commission, instrumentality or agency, or any State college or university, any county college, or any local unit. “Subcontractor” means any business organization that is not a contractor that knowingly provides goods or performs services for a contractor or another subcontractor in the fulfillment of a contract. 1.4.12.2 Requirements Regarding Business Registration Form A contractor shall submit a copy of its business registration at the time of submission of its bid proposal in response to this RFP. A subcontractor shall provide a copy of its business registration to any contractor who shall forward it to the contracting agency. No contract with a subcontractor shall be entered into by any contractor unless the subcontractor first provides proof of valid business registrations.

http://www.state.nj.us/treasury/purchase/busreg.htm


- 9 -

The contractor shall provide written notice to all subcontractors that they are required to submit a copy of their business registration to the contractor. The contractor shall maintain a list of the names of any subcontractors and their current addresses, updated as necessary during the course of the contract performance. The contractor shall submit to the contracting agency a copy of the list of subcontractors, updated as necessary during the course of performance of the contract. The contractor shall submit a complete and accurate list of the subcontractors to the contracting agency before a request for final payment is made to the using agency. The contractor and any subcontractor providing goods or performing services under the contract, and each of their affiliates, shall, during the term of the contract, collect and remit to the Director of the Division of Taxation in the Department of Treasury the use tax due pursuant to the “Sales and Use Tax Act, P.L. 1966, c. 30 (N.J.S.A. 54:32B-1 et seq.) on all their sales of tangible personal property delivered into the State. 1.4.13 Deficit Reduction Act The University of Medicine and Dentistry (UMDNJ) is committed to the prevention and detection of any fraud, waste, and abuse within the University related to all health care programs, including Federal and State programs. To this end, UMDNJ maintains a vigorous compliance program geared in part to educating our community on the range of fraud and abuse laws, including the importance of submitting accurate claims and reports to the Federal and State governments. Our policies prohibit the knowing submission of a false claim for payment in relation to any health care program, including a Federal or State funded health care program. Such a submission is a violation of Federal and State law and can result in significant administrative and civil penalties under the Federal and State False Claims Acts. To assist UMDNJ in meeting its legal and ethical obligations, any employee, contractor or agent who is aware of the preparation or submission of a false claim or report or reasonably suspects any other potential fraud, waste, or abuse in relation to a Federal or State funded health care program is required to report such information to his or her supervisor and UMDNJ’s Office of Ethics and Compliance. Any employee of UMDNJ who in good faith reports such information will be protected against retaliation for coming forward with such information both under UMDNJ’s internal compliance policies and procedures and United States and New Jersey law. As an organization, UMDNJ obligates itself to investigate any such information swiftly and thoroughly through its internal compliance programs and mechanisms. Nonetheless, if an employee, contractor or agent believes that the organization’s response is deficient and unresponsive, the employee shall bring these concerns to UMDNJ’s Office of Ethics and Compliance. If such follow-up still does not trigger an investigation, after a reasonable period of time, the employee, contractor or agent has the ability to bring his/her concerns to the appropriate government agency under the relevant Federal and/or State laws. This information shall be provided to all UMDNJ employees and all contractors and agents of UMDNJ.


- 10 -

2.0 DEFINITIONS The following definitions shall be part of any contract awarded or order placed as a result of this RFP: “Addendum” – Written clarification or revision to this RFP issued by UMDNJ, Purchasing Services. “Amendment” – A change in scope of work to be performed by the contractor. An amendment is not effective until it is signed by the Vice President for Finance and Treasurer. “Bidder” – An individual or business entity submitting a bid in response to this RFP. “Contract” – This RFP, any addendum to this RFP, and the bidder’s proposal submitted in response to this RFP and UMDNJ’s Contract Term Sheet. “Contractor” – The contractor is the bidder awarded a contract. “Evaluation Committee” – A committee established to review and evaluate bid proposals submitted in response to this RFP and to recommend a contract award to the Executive Director, Materials Management. “Director” – The Director of Purchasing Services; the contracting officer of UMDNJ. “HIPAA” – Health Insurance Portability and Accountability Act of 1996. “May” – Denotes that which is permissible, not mandatory. “Project” – The undertaking of services that are the subject of this RFP. “Request for Proposal (RFP)” – This document, which establishes the bidding and contract requirements and solicits proposals to meet the purchase needs as identified herein. “Shall” or “Must” – Denotes that which is a mandatory requirement. Failure to meet a mandatory requirement will result in the rejection of a bid proposal as materially non-responsive. “Should” – Denotes that which is recommended, not mandatory. “Subtasks” – Detailed activities that comprise the actual performance of a task. “Task” – A discrete unit of work to be performed. “UMDNJ” – The University of Medicine and Dentistry of New Jersey, or otherwise referred to as the “University.”


- 11 -

2.1 COMMODITY SPECIFIC DEFINITIONS “ADF”- Automatic Document Feeder. This is the means by which a scanner feeds the paper document. “AIIM”- The Association for Information and Image Management – focused on electronic imaging. “Annotations”- The changes or additions made to a document using sticky notes, a highlighter, or other electronic tools. Document images or text can be highlighted in different colors, redacted (blacked-out or white-out), stamped (e.g. “FAXED” or “CONFIDENTIAL”), or have electronic sticky notes attached. Annotations should be overlaid and not change the original document. “ANSI”-American National Standards Institute. “ANSI”-, American National Standards Institute. A Member of ISO and IEC. “Backfiles”- Existing paper or microfilm files. “Bar Code”- A small pattern of vertical lines that is read by a laser or an optical scanner, and which corresponds to a record in a database. An add-on component to imaging software, this feature is designed to increase the speed with which documents can be archived. “Batch Processing”- The name of the technique used to input a large amount of information in a single step, as opposed to individual processes. “Bi-Tonal”- Bi-tonal (black and white only, one bit per pixel). A thresholding process from a grayscale input creates a Bi-tonal image, either during the scanning process or subsequently. Thresholding is an irreversible process, which results in speckled images with noticeably "stair-stepped" diagonal lines. “Cache”- A dedicated, high speed portion of computer memory which can be used for the temporary storage of frequently used data to make the application run faster (prevents having to constantly access the data from disk/tape storage). “Caching” (of Images)- The temporary storage of image files on a hard disk for later migration to permanent storage, like an optical or CD jukebox.


- 12 -

“Client-Server Architecture vs. File-Sharing”- Two common application software architectures found on computer networks. With file-sharing applications, all searches occur on the workstation, while the document database resides on the server. With client-server architecture, CPU intensive processes (such as searching and indexing) are completed on the server, while image viewing and OCR occur on the client. File-sharing applications are easier to develop, but they tend to generate tremendous network data traffic in document imaging applications. They also expose the database to corruption through workstation interruptions. Client-server applications are harder to develop, but dramatically reduce network data traffic and insulate the database from workstation interruptions. “Coding” - A means of capturing specific, standardized data from a collection of documents and creating a database linking the data to the images. The term “coding” is generally used in the legal and medical markets. It is similar to “indexing” in the commercial marketplace. “COLD”- Computer Output to Laser Disk. The computer system contains files of ASCII data (from input or application programs) or bit-mapped files previously scanned from microfilm documents or pictures. These output files are compressed by a factor of 5-20:1 from the original documents and stored on WORM optical/laser disks. The stored data is then available to all on the network. Generally, the format of these databases is compatible with SQL and imaging formats. “CPI”- Characters Per Inch De-shading, Removing shaded areas to render images more easily recognizable by OCR. De-shading software typically searches for areas with a regular pattern of tiny dots. “De-skewing”- The process of straightening skewed (off-center) images. De-skewing is one of the image enhancements that can improve OCR accuracy. Documents often become skewed when they are scanned or faxed. “De-speckling”- Removing isolated speckles from an image file. Speckles often develop when a document is scanned or faxed. “Document Date”- The original creation date of a document usually noted on the document itself. In the case of a letter, when the letter was written indicated by the date of the letter. On an email indicated by the date-stamp of the email. “Document Imaging Programs”- Software used to store, manage, retrieve and distribute documents quickly and easily on the computer.

“Document Sizes”- (U.S.):A Size 8.5" by 11" (A4), B Size 11" by 17" (A3),C Size 17" by 22" (A2),D Size 24" by 36" (A1),E Size 36" by 48" (A0)


- 13 -

“Document Type or Doc Type”- A typical field used in bibliographical coding. Typical doc type examples include letter, memo, report, article and others. “Document/Record”- A document is a page or collection of pages that are physically or logically (or both) linked. “Dot Pitch”- Distance of one pixel in a CRT to the next pixel on the vertical plane. The smaller the number, the higher quality display. “DPI”- Dots per inch. “Drag”-and-Drop, The movement of on-screen objects by dragging them across the screen with the mouse. “EIM”- Electronic Image Management. “Electronic Data Discovery” (EDD or ED) -A process, just like that for paper documents, of documents and data that exist in a medium that can only be accessed through the use of a computer. “Electronic Document Management”- Imaging, Indexing/Coding and Archiving of scanned images “Encryption”- The coding of messages to increase security and make transmission only readable by recipients with the ability to decode only by using the same algorithms. transmission only readable by recipients with the ability to decode only by using the same algorithms. “End Document Number or End Doc#”- The last single page image of a document. “End User Program”- The program used to perform searches, viewing and retrieval of a scanned and/or coded collection of images. Examples include Summation, Concordance, JFS Litigators Notebook, Ringtail, Paradox, InMagic DB/Textworks and many others. “Flatbed Scanner”- A flat-surface scanner that allows users to input books and other documents. “Folder Browser”- A system of on-screen folders (usually hierarchical or “stacked”) used to organize documents. For example, the File Manager program in Microsoft Windows is a type of folder browser that displays the directories on your disk. “Full Duplex”- Data communications devices which allow full speed transmission in both directions at the same time.


- 14 -

“Full Text Search”- The ability to search a data file for specified key(s) defined by the occurrence of words, numbers and/or combinations or patterns thereof. “Full-text Indexing and Search”- Enables the retrieval of documents by either their word or phrase content. Every word in the document is indexed into a master word list with pointers to the documents and pages where each occurrence of the word appears. “Gigabyte”- One billion bytes. Also expressed as one thousand megabytes. In terms of image storage capacity, one gigabyte equals approximately 17,000 81/2" x 11" pages scanned at 300 dpi, stored as TIFF Group IV images. “Gray Scale” -The use of many shades of gray to represent an image. Continuous-tone images, such as black-and-white photographs, use an almost unlimited number of shades of gray. Conventional computer hardware and software, however, can only represent a limited number of shades of gray (typically 16 or 256). Gray-scaling is the process of converting a continuous-tone image to an image that a computer can manipulate. “Gray Scale”- The binary range of a graphic representation between pure black and pure white. A scale of 256 shades of gray will be a better representation than 16 shades. “HTML”- A Hypertext Markup Language, developed by CERN of Geneva, Switzerland. The document standard of choice of Internet. (HTML+ adds support for multi-media.) “Hub”- A central unit that repeats and/or amplifies data signals being sent across a network. “Icon”- In a GUI, a picture or drawing which is activated by "clicking" a mouse to command the computer program to perform a predefined series of events. “ICR”- Intelligent Character Recognition. The conversion of scanned images (bar codes or patterns of bits) to computer recognizable codes (ASCII characters and files) by means of software/programs which define the rules of and algorithms for conversion. “ICR”- Intelligent Character Recognition. A software process that recognizes handwritten and printed text as alphanumeric characters. “IDE”- Integrated Drive Electronics – An engineering standard for interfacing PC's and hard disks. “IEEE”- Institute of Electrical and Electronic Engineers. An international association which sponsors meetings, publishes a number of journals and establishes standards. “Image Enabling”- A software function that creates links between existing applications and stored images.


- 15 -

“Image Key”- The name of a file created when a page is scanned in a collection. “Image Processing”- To capture an image or representation, enter in a computer and process and manipulate it. “Image Processing Card (IPC)” -A board mounted in either the computer, scanner or printer that facilitates the acquisition and display of images. The primary function of most IPCs is the rapid compression and decompression of image files. “Index”- Creating a set of rules and data files which define scanned document sets and allow easy and complete retrieval. “Index/Coding Fields”- Database fields used to categorize and organize documents. Often user-defined, these fields can be used for searches. “Indexing”-Universal term for Coding and Data Entry “Internet”- A worldwide computer network containing a broad array of services and information available to any individual with a PC and the paid connection. “Internet Publishing”- Specialized imaging software that allows large volumes of paper documents to be published on the Internet or intranet. These files can be made available to other departments, offsite colleagues or the public for searching, viewing and printing. “IPX/SPX”- Communications protocol used by Novell networks. “ISA”- Industry Standard Architecture. “ISDN”- Integrated Services Digital Network. An all digital network which can carry data, video and voice. “ISIS and TWAIN Scanner Drivers”- Specialized applications used for communication between scanners and computers. “ISO”- International Standards Organization. “ISO 9660 CD Format”- The International Standards Organization format for creating CD-ROMs that can be read worldwide. “JMS”- Jukebox Management Software. “JPEG”- A compression algorithm for still images, see MPEG.


- 16 -

“JPEG”- An image compression format used for storing color photographs and images. “Jukebox”- A mass storage device that holds optical disks and loads them into a drive. “Juke-Box”- Automated disk changer for high-performance, centralized storage for multifunction CD-ROM's & optical disks “K”- Generally accepted as shorthand for 1,000. Actually stands for 2 10 or 1,024. “Key Field”- Database fields used for document searches and retrieval. Synonymous with “index field.” “Keywords”- Used in bibliographical coding to indicate that each page in a collection must be reviewed for certain important words and wherever they occur the database must reference the page where they occur. “Kofax Board”- The generic term for a series of image processing boards manufactured by Kofax Imaging Processing. These are used between the scanner and the computer, and perform realtime image compression and decompression for faster image viewing, image enhancement, and corrections to the input to account for conditions such as document misalignment, "speckles," etc. “LAN”- Local Area Network – usually a collection of PC's, connected by cable. Landscape Mode The image is represented on the page or monitor such that the width is greater than the height. “Laser Disk”- Same as an optical CD, except 12" in diameter. “Latency”- The time it takes to read a disk (or jukebox), including the time to physically position the media under the read/write head, seek the correct address and transfer it. “Leading/"Ledding", The amount of space between lines of printed text. “Level Coding”- Used in Bibliographical coding to indicate that certain document types will get a more thorough extraction of data than others. Thus they get a deeper “level” of coding. “Line Screen”- The number of half-tone dots that can be printed per inch. As a general rule, newspapers print at 65 to 85 lpi, large city newspapers at 100 or 120 lpi; magazines at 133 or 150 lpi; and, glossy, "coffee table" books at 175 to 200. “Load file”- A file that relates to a set of scanned images and indicates where individual pages belong together as documents.


- 17 -

“Lossless compression”- Exact construction of image, bit-by-bit, with no loss of resolution or color fidelity “Lossy compression”- Reduces storage size of image by reducing the resolution and color fidelity while maintaining minimum acceptable standard for general use. “LZW”- Lempel-Zif & Welch. A common, lossless compression standard for computer graphics – used for the majority of TIFF files. Typical compression ratios are 4/1. “Magneto-Optical Drive”- A drive that combines laser and magnetic technology to create high-capacity erasable storage. “MAPI”- Mail Application Program Interface. This Windows software standard has become a popular e-mail interface and is used by MS Exchange, GroupWise, and other e-mail packages. “MAPI Mail Near-Line”_ Documents stored on optical disks or compact disks that are housed in the jukebox or CD changer and can be retrieved without human intervention. “Marginalia”- Handwritten notes in the margin of the page in documents. “Mastering”- Making many copies of a CD-ROM from a single master. “MCA”_ Micro Channel Architecture – an IBM buss standard. “MDE”- Magnetic Disk Emulation. Software that makes a jukebox look and operate like a hard-drive such that it will respond to all the I/O commands ordinarily sent to a hard drive. “Megabyte”- A unit of information or computer storage equal to approximately one million bytes. A megabyte is commonly abbreviated as MB and sometimes meg. “Meta Data”- The data that is attached to files in a computerized filing system. For instance, in a word processing document, the metadata includes: the author, date created, person and date editing the document, the name of the document, the location stored on a hard drive, how many times and when it has been accessed, changed or altered, etc. “MICR”- Magnetic Ink Character Recognition. The process used by banks to encode checks. Microfilm Film on which documents etc. are photographically greatly reduced in size. “Microfiche”- Reduced sized document(s) filed on sheet microfilm (4" by 6"), containing reduced images of 270 pages or more in a grid pattern. Usually with a human-readable title.


- 18 -

“MO”- Magneto, Optical. A disk storage technology which competes with traditional magnetic hard disks. Form factors are 3.5", 5.25" and 12". Advantages are that one 5.25" MO drive can store about 1.3GB (3 1/2" hold up to 230MB); media is removable and portable; and, can last for 20 years – ideal for archival storage. The disadvantages are cost, traditionally slower disk access and longer disk write times. The information is written on the disk by changing the polarity with strong magnets and read by a laser by sensing the magnetic flux changes (1's or 0's). This technology is re, usable. “MODEM”- Modulator/Demodulator. A device which can take digital data from a computer, translate it into analog signals (tones) and transmit the information over telephones lines. Another modem at the receiving computer will receive the information, translate it back from analog to digital and store it. Typical speeds are from 1,200 to 14,400 bits per second. Some modems also correct any errors which occur in the transmission process. “Monochrome”- Displays capable of only two colors, usually black & white. Mosaic A program used for finding and reading documents on the World-Wide-Web. “MPEG-1 & 2”- Two different standards for full motion video to digital compression/decompression techniques advanced by the Moving Pictures Experts Group. MPEG-1 compresses the bandwidth needed for 30 frames/second of full-motion video (several hundred megabytes) down to about 1.5 Mbits/sec. MPEG 2 only compresses to about 3 Mbits and provides for better image quality when comparing compressed files of the same size. This industry application competes with other compression techniques, know as JPEG, Captain Crunch, Cinepak and Indeo. “MS-DOS”- Microsoft (MS)-Disk Operating System. Used in PC's as the control system. “MTBF”- Mean Time Between Failure. Average time between failures. Used to compute the reliability of devices/equipment. “MTTR”- Mean Time To Repair. Average time to repair. The higher the number, the most costly and difficult to fix. “Multisynch”- Analog video monitors which can receive a wide range of display resolutions, usually including TV (NTSC). Color analog monitors accept separate red, green & blue (RGB) signals. “NetWare Loadable Module (NLM)”- An application that runs as part of the network operating system (NOS) of a Novell NetWare server. “Non-Interlace”- When each line of the video image is scanned separately. Computer monitors use non-interlaced video.


- 19 -

“NT”-Network Technology. Refers to Microsoft Windows NT server and workstation software. “OCR”- Optical Character Recognition. The computer conversion of scanned input images (bar codes or patterns of bits) to computer recognizable codes (ASCII letters, numbers and characters). “OCR”- Optical Character Recognition. A software process that recognizes printed text as alphanumeric characters. “OEM”-Original Equipment Manufacturer – Classically, a company who buys products from another company, re-labels the products under its own name and re-sells (usually in large quantities). Has come to define nearly any large customer who re-sells products, branded or not. “Off-Line”- Archival documents stored on optical disks or compact disks that are not connected or installed in the computer, but instead require human intervention to be accessed. “OLE”- Object Linking and Embedding. A feature in Microsoft's Windows which allows each section of a compound document to call up its own editing tools or special display features. This allows for combining diverse elements in compound documents. 60 Glossary “OWR”- Optical word recognition is the next generation of text conversion. Available only with certain retrieval systems (including AmDoc's iCONECTnxt offering), OWR allows users to find misspelled words. Matches are done on word-by-word basis (entire string of characters) rather than on a letter-by-letter match. This allows more accurate recognition. “On-Line”- Documents stored on the hard drive or magnetic disk of a computer that are available immediately. “Optical Disks” Computer media similar to a compact disc that cannot be rewritten. An optical drive uses a laser to read the stored data. “Optical Jukebox”- See “Jukebox.” PackBits, A compression scheme which originated with the Macintosh. Suitable only for black & white. “Packet”- A fixed block of data transmission which also contains identity and routing information. “Page”- A single image of a “one piece of paper”. One or several pages make up a “Document”


- 20 -

“Paper Styles & Definitions”- a. Acid Free Paper – Won't change color (yellow) for many years. b. Brightness – The percentage of light the paper reflects. Most white papers reflect 60% to 90%. c. Coated Papers – "glossy" paper, coated with clay. d. Cotton "Rag" Paper – Premium paper with 25% to 100% cotton fibers. e. Laid finish – Paper surface embossed with lines to resemble handmade paper. f. Ream – 500 sheets. g. Vellum finish – A less smooth version of real vellum (fine parchment). h. Wove finish – Very smooth surface. Characteristic of the majority of papers made.

“Parallel”- Transmission of all the bits (e.g. in a character) at the same time. If the character has eight bits, there are eight wires. Faster and more expensive than serial where the eight bits would be sent, "sideways", one at a time. “Pattern Recognition”- An electronic application utilizing an algorithm that searches data for like patterns and flags or extracts the pertinent data. For instance, in looking for addresses, alpha characters followed by a comma and a space followed by two capital alpha characters followed by a space followed by five or more digits are usually the city, state and zip code. By programming the application to look for that pattern, the information can be electronically extracted rather than re-keyed by human intervention. “PCI”- Peripheral Component Interface (Interconnect). A high-speed interconnect local bus used to support multimedia devices. Promoted by Digital among others. “PCMCIA”- Personal Computer Memory Card International Association. Plug-in cards for computers (usually portables), which extend the storage and/or functionality. “PCX”- The file format used for drawings by Corel Paint and Windows Paint Brush. “PDA”- Personal Digital Assistant – a small, usually hand-held, computer which "assists" business tasks. “PDF”- See Portable Document Format “Petabyte”- A unit of information or computer storage equal to one quadrillion bytes. It is commonly abbreviated PB. “Phase Change”- A method of storing information on rewritable optical disks. “PICA”- One sixth (1/6) of an inch. Used to measure graphics/fonts. “PICT”- Picture Format. A color file format exclusively for Macintosh.


- 21 -

“Pitch”- Characters (or dots) per inch, measured horizontally. “PIXEL”- Picture Element. A dot. One step/addressable position in the total TV or CRT presentation. The minimum VGA display has 307,200 pixels (640 by 480). “Pixel”- Picture Element. A single dot in an image. It can be black and white, grayscale or color. “PMS”- Pantone Matching System. A color standard in printing. “POD”- Print On Demand. Document images are stored in electronic format and are available to be quickly printed and in the exact quantity required, long or short runs.

“Portable Document Format PDF”- A file standard for documents that can be processed (generally viewed and printed) by any computer, regardless of the specific application program which created the original. Adobe

“Portable Volumes”- A feature that facilitates the moving of large volumes of documents without requiring copying multiple files. Portable volumes enable individual CDs to be easily regrouped, detached and reattached to different databases for a broader information exchange. “Portrait Mode”- A display where the height exceeds the width. Proximity Search, For "full-text" searches, the ability to look for words which are within a prescribed distance of another word (e.g. Find "glove" within 15 words of "baseball".) “QBIC”- Query By Image Content. An IBM search system for stored images which allows the user to sketch an image and then search the images files to find those which most closely match. The user can specify color and texture – such as sandy beaches or clouds. “QIC”- Quarter Inch Cartridge. Digital recording tape, 2000 feet long, with an uncompressed capacity of 5 GB. “Quality Control”- The process of ensuring the highest level of results in a given task. In document management processes, this includes image quality (resolution, skew, speckle, legibility); data quality (correct information in appropriate fields, validated data for dates, addresses, names/issues lists).

RAID, Redundant Array of Inexpensive Disks. Arrays or Jukeboxes of CD-ROM's or CD-R's. There are five commonly uses, different levels of data protection, RAID 1 through RAID 5 which are tradeoffs of protection versus storage capacity.


- 22 -

Level 0 Data written in blocks across multiple drives without an protection on failures.

Level 1 Disk Mirroring.

Level 3 The drive spindles are synchronized such that the heads all seek at the same time and are positioned over the same read/write areas simultaneously. Data is written one bit at a time with parity to a separate drive. Thus if there were four disks in the array and there was a megabyte of data to transferred at 1 MB/sec, the effective rate is 4MB/sec.

Level 5 Writes data in chunks (usually smaller blocks 512 bytes to 2 K) with the parity striped along with the data. Achieves a higher I/O rate.

“RAID”- Redundant Array of Independent Disks. A collection of hard disks that act as a single unit. Files on RAID drives can be duplicated (“mirrored”) to preserve data. RAID systems may vary in levels of redundancy, with no redundancy being a single, non-mirrored disk as level 0, two disks that mirror each other as level 1, on up to level 5, the most common. “RAM”- Random Access Memory – Memory which can be read or written in any section with one instruction sequence. (See DRAM) Raster Display/Graphics, Represents images by an horizontal and vertical array of dots or pixels. Raster/Rasterized (Raster or Bitmap Drawing), A method of representing an image with a grid (or “map”) of dots or pixels. Typical raster file formats are GIF, JPEG, TIFF, PCX, BMP, etc. “Recycled Paper”- Federal Guidelines suggest at least 50% "non-virgin" content. “Redaction”- A portion of the image is blacked out intentionally to conceal information from the document. “Refresh Rate”- How many times a second and image on a CRT or TV is updated. “Region (of an image)”_ An area of an image file that is selected for specialized processing. Also called a “zone.” “Registration”- Lining up a forms image to determine which fields are where. Also, entering pages into a scanner such that they are correctly read. “Return on investment”- There are various ways to determine ROI. One way is to estimate the extra money a new IT system will bring in, or its cost savings, minus its cost and depreciation. Overall, companies have several tools to calculate the return on IT investments or how they will impact the bottom line. When figuring the real cost of IT projects, Norton recommends that a company factor in training and consider hiring a full-time project manager to lower the risk that the investment may not produce the return the company is expecting.


- 23 -

He notes that most IT projects take longer to complete than initially projected, and companies should take care to add more development time to their expense and earning projections. “Rewriteable Technology”- Storage devices where the data may be written more than once – typically hard drives, floppies and optical disks. The assets are re-use, high speed and capacity. The optical disks have the same basic characteristics as a CD-ROM, except that you can write over the existing data. “RGB”- Red, Green and Blue. The three primary colors in the additive color family which create all the computer color video signals for a computer's color terminal. “ROM”- Read Only Memory – random memory which can be read but not written (i.e. changed). “Rotary Camera”- In microfilming, the papers are read "on the fly" with a camera that's synchronized to the motion. “Sampling Rate”- The frequency at which analog signals are converted to digital values during digitization. The higher the rate, the more accurate the process. In printing The number of pixels scanned per half tone dot. “Scalability”- The capacity of a system to expand without requiring major reconfiguration or re-entry of data. Multiple servers or additional storage can be easily added. “Scale-to-Gray”- An option to display a black and white image file in an enhanced mode, making it easier to view. A scale-to-gray display uses gray shading to fill in gaps or jumps (known as aliasing) that occur when displaying an image file on a computer screen. Also known as grayscale. “Scanner”- An input device commonly used to convert paper documents into computer images. Scanner devices are also available to scan microfilm and microfiche. “Scanning Software”-Software that enables a scanner to deliver industry standard formats for images in a collection. Enables the use of coding of the images. IPRO, DocuLex and ZyImage are several examples. “SCSI”- Small Computer System Interface. A common, industry standard, electronic interface (highway) between computers and peripherals, such as hard disks, CD-ROM drives and scanners. “SCSI”- Small Computer Systems Interface. Pronounced “skuzzy.” A standard for attaching peripherals (notably mass storage devices and scanners) to computers. SCSI allows for up to 7 devices to be attached in a chain via cables. The current SCSI standard is “SCSI II,” also known as “Fast SCSI.”


- 24 -

“SCSI Scanner Interface”- The device used to connect a scanner with a computer. “Search Review”- AmDoc process of final quality control (when requested): utilizing images, data and/or text to find specific documents within a delivery; using the documents as a client would to search and retrieve. “Serif”- The little cross bars or curls at the end of strokes on type fonts. For example, in this sentence, the horizontal line at the bottom of the letter ‘r’. “Service-Level Agreement”- A service-level agreement is a contract that defines the technical support or business parameters that an application service provider or other IT outsourcing firm will provide its clients. The agreement typically spells out measures for performance and consequences for failure. “SGML”- Standard Generalized Markup Language. An informal industry standard (lingua franca) for open systems document management which specifies the data encoding of a document's format and content. “SGML/HyTime”- A multimedia extension to SGML, sponsored by DOD.\ “SIMM, Single”- In-Line Memory Module – A mechanical package (with "legs") used to attach memory chips to printed circuit boards. “Simplex”- One-sided page(s) “Six Sigma”- Six Sigma is a highly structured program for improving business processes and represents the latest incarnation of the quality movement. The program, grounded in efforts to improve manufacturing quality during the 1980s, brings the methods and analytic tools of engineers to bear on the questions, What matters to customers? and Where will changes to work processes most improve these points? “SLIP”- Serial Line Internet Protocol. A connection to Internet in which the interface software runs in the local computer, rather than Internet's. “Smart Card”- A credit card size device which contains a microprocessor, memory and a battery. “Splatter”- Data that should be kept on one disc of a jukebox goes instead to multiple platters. “SPP”- Standard Parallel Port (IBM-Centronics). See Centronics. “SQL”- Structured Query Language, a standard 4GL programming language.


- 25 -

“SQL”- Structured Query Language. The popular standard for running database searches (queries) and reports. “Subtractive colors”- Since the colors of objects are white light minus the color absorbed by the object, they are called subtractive. This is how ink on paper works. The subtractive colors of process ink are CMYK (Cyan, Magenta, Yellow and Black) and are specifically balanced to match additive colors (RGB). “SVGA”- "Super" Video Graphic Adapter – one which exceeds the minimum VGA standard of 640 by 480 by 16 colors. Can reach 1600 by 1280 and 256 colors. “TCP/IP”-Network communications protocol. This is the protocol used by the Internet. “Telephony”- Converting sounds into electronic signals for transmission. “Templates”- Document, Sets of index fields for documents. “Terabyte”- A measurement term for data storage capacity equal to approximately 1,000 gigabytes or one trillion bytes. It is commonly abbreviated TB. “TGA”- Targa format. This is a "scanned format" – widely used for color-scanned materials (24-bit) as well as by various "paint" and desktop publishing packages. “Thumbnails”- Small versions of an image used for quick overviews or to get a general idea of what an image looks like. “TIF/TIFF”- Tagged Image File Format. The "de facto" electronic/computer standard for scanned, bit-mapped images – 8 bit color and gray scale. Originated in 1986 as a joint project of Microsoft and Aldus. Includes several types and groups which are compressed & uncompressed. “TIFF”- Tagged Image File Format. A non-proprietary format raster graphics image that has many different compression formats. TIFF has been in use since 1981. “TIFF Group III (compression)”- A one-dimensional compression format for storing black and white images that is utilized by most fax machines. “TIFF Group IV (compression)”- A two-dimensional compression format for storing black and white images. Typically compresses at a 20-to-1 ratio for standard business documents. “Total Cost of Ownership”- Total cost of ownership (TCO) has been a steady beacon in the information technology landscape since 1987, when Bill Kirwin, vice president and research director at Stamford, Conn.-based Gartner Group Inc., first applied the model to desktop systems. Gartner has since extended the model into LANs, client/server software, distributed computing, telecommunications, mainframe data centers and most recently, Windows CE and


- 26 -

Palm OS handheld computers. Around the corner are models for storage technology and applications development. “True Resolution”- The "true" optical resolution of a scanner is the number of pixels per inch (without any software enhancements). “TWAIN”- Tool Kit Without An Interesting Name – a universal toolkit with standard hardware/software drivers for multi-media peripheral devices.

“Typeface”- There are over 10,000 typefaces available for computers. The general categories are:

Oldstyle: Faces have slanted serifs, gradual thick to thin strokes and a slanted stress (the "O" appears slanted)

Modern: Faces have thin, horizontal serifs, radical thick to thin strokes and a vertical street (the "O" does not appear to slant.) Slab Serif Faces have thick, horizontal serifs, little or no thick-to-thin in the strokes and a vertical stress (the "O" appears vertical).

Sans Serif Faces have no serifs.

Script: From elaborate handwriting styles to casual, freeform, unconnected letter forms.

“Decorative Unusual fonts”- designed to be very different and attention getting.

“Ultrafiche”- Microfiche which can hold 1,000 documents/sheet as opposed to the normal 270. “Unitization” – Physical and Logical, The assembly of individually scanned pages into documents. Physical Unitization utilizes actual objects such as staples, paper clips and folders to determine pages that belong together as documents for archival and retrieval purposes. Logical unitization is the process of human review of each individual page in an image collection using logical cues to determine pages that belong together as documents. Such cues can be consecutive page numbering, report titles, similar headers and footers and other logical cues. “UNIX”- A software operating system. Originally pioneered by Bell Labs – now widely used by workstations. V.32bis, The ITU standard for 14.4 kbs modem communications. V.34, The proposed ITU standard for 28.8 kbs modem communications. VAR/VAD/VASD, Value-Added Reseller/Value-Added Dealer/Value-Added Specialty Distributor.


- 27 -

Companies or people who sell computer hardware or software and "add-value" in the process. Most usually the value added is specific technical or marketing knowledge and/or experience. “VDT”- Video Display Terminal – generic name for all display terminals. “Vector”-Representation of graphic images by mathematical formulas. For instance, a circle is defined by a specific position and radius. “Verbatim Coding”- Extracting data from documents in a collection in a way that matches exactly as the information appears in the documents. The opposite of the standardization type coding treatment “VESA”- Video Electronics Standards Association – concentrates on computer video standards. “VGA”- Video Graphics Adapter. A PC industry standard, first introduced by IBM in 1987, for color video displays. The minimum dot (pixel) display is 640 by 480 by 16 colors. Then "Super VGA" was introduced at 800 x 600 x 16, then 256 colors. VGA can extend to 1024 by 768 by 256 colors. Replaces EGA, an earlier standard and the even older CGA. Newer standard displays can range up to 1600 by 1280.

Video Scanner Interface

A type of device used to connect scanners with computers. Scanners with this interface require a scanner control board designed by Kofax, Xionics or Dunord.

VPN Virtual Private Network WAN Wide Area Network. Generally a network of PC's, remote to

each other, connected by telecommunications lines. WAV File extension name for Windows sound files. Compression is

not required. .WAV files can reach 5 Mbytes for one minute of audio.

Workflow, Ad Hoc A simple manual process by which documents can be moved around a multi-user imaging system on an “as-needed” basis.

Workflow, Rule-Based

A programmed series of automated steps that route documents to various users on a multi-user imaging system.

Workgroup A group of computer users connected to share individual talents and resources as well as computer hardware and software – often to accomplish a team goal.

“WORM”- Write-Once, Read-Many – Data storage devices (e.g. CD-ROM's) where the space on the disks can only be written once. The data is permanently stored. WORM's can also be configured into jukeboxes. There are various technologies:


- 28 -

Technology Description, Benefit, Drawback

Ablative: Laser burns holes in disk , Unalterable data , Dust, moisture may affect media

Bubble-forming: Laser forms bubbles in the media , Unalterable data , Few drives available

Dye Polymer: Laser heats dyed layer to form bumps , Potential low media cost , Laser mechanism more expensive; disks wear out faster; few drives available

Magneto: Laser focuses magnetic field , Many suppliers, long disk life , No true WORM in multi-function; data theoretically alterable

Phase change: Laser heat changes disk's molecular structure , One-pass data (no erase step) , Same as Dye Polymer

“WORM Disks”- Write Once Read Many Disks. “X.25, A standard protocol for data communications. Xerox Printing, A beam of light hits an electrically charged drum and causes a discharge at that point. Toner is then applied which sticks to the non-charged areas. Paper is pressed against the drum to form the image and is then heated to dry the toner. Used in laser printers and copying machines. “ZIP”- A common file compression format that allows quick and easy storage for transport. Zone OCR, An add-on feature of the imaging software that populates document templates by reading certain regions or zones of a document, and then placing the text into a document index


- 29 -

3.0 SCOPE OF WORK The Document Management Imaging System (DMIS) must provide functionality for image capture, indexing, storage, retrieval, display and distribution via print, fax or e-mail. The system must include integrated workflow software that provides easily implemented automation of document-centric work processes. The Document Management Imaging System application must integrate with SCT SunGard Banner software. 3.1 RAPID DEPLOYMENT AND INTEGRATION 3.1.2 The DMIS must provide a non programmatic application integration technology, easily configurable by non-technical staff. 3.1.3 The DMIS integration solution must provide simplified integration, extraction and data upload with any business application, including UMDNJ applications, notably SCT Sungard (Banner). 3.1.4 Deployment of Contractor’s DMIS must be rapid, limiting time onsite and must leverage technology instead of requiring extensive programming labor. 3.1.5 The integration approaches must be non-intrusive, requiring little or no modification to existing application system or databases. 3.2 DOCUMENT RETRIEVAL 3.2.1 The DMIS must provide single click instant and simultaneous access for document retrieval. 3.2.2 The DMIS must provide integrated document retrieval directly from any business

application as well as from bidder’s system. 3.2.3 The DMIS must provide configurable search capabilities. 3.3 FLEXIBLE CAPTURE CONFIGURATION 3.3.1 The DMIS must allow scanning and capture functions to be distributed and centralized or both. 3.3.2 Indexing of documents should be distributed as appropriate and should not have to be co-located with scanning function.


- 30 -

3.3.3 DMIS must support various methods of electronic capture of documents including OCR. 3.3.4 DMIS must provide single click indexing of single as well as multi page documents. 3.3.5 The DMIS must provide user defined index values. 3.4 MULTIPLE OBJECT TYPES 3.4.1 The DMIS must support multiple common object types. 3.4.2 Scanned paper documents must be captured as TIFFs using at least CCITT group 4 compression. 3.4.3 Word, PDF, spreadsheets, facsimile, e-mail messages, e-mail attachments and computer output must be supported for capture and must be managed in their native formats. 3.5 WAN, LAN, or NET COMMUNICATIONS 3.5.1 The DMIS shall be deployable across TCP/IP network and can be accessed across a range of private and public infrastructures all with various security implementation options. 3.6 INTEGRATED WORKFLOW 3.6.1 The system must include document – centric workflow functionality. 3.6.2 The workflow must be configurable by the users of the system via a graphical design tool that allows process and queues to be designed without programming. 3.6.3 The system must support an array of routing options, inbound/outbound processing controls and trigger/alarm mechanisms. 3.7 ADDITIONAL FEATURES 3.7.1 In addition to the features already mentioned the DMIS must include print, fax, email, annotation, reporting and COLD/Computer Output Management capabilities. 3.7.2 The Contractor’s system must support both web-based and stand alone clients.


- 31 -

3.8 SECURITY 3.8.1 The DMIS must have the ability to encrypt data. 3.8.2 User access must be via signon and password. 3.8.3 The DMIS must support privilege-based security for individual users. 3.8.4 The DMIS must have the capability of electronically “tagging” each scanned document with security classifications and /or access restrictions such as: Confidential, Attorney-Client Communications, Proprietary Information, HIPAA PHI, FERPA Restricted Information, etc. 3.9 SYSTEM AUDITING 3.9.1 The DMIS must provide audit capabilities that log system functions such as who viewed, routed, deleted, or re-indexed an object, where the user connected from , date/time action was performed and user session information. 3.10 CUSTOMER SUPPORT/DOCUMENTATION 3.10.1 The Contractor must supply 24x7 Customer Support access. 3.10.2 The Contractor must provide current system documentation and related manuals. 3.11 RESPONSE TIME 3.11.1 The bidder must define response time. Response time must be rapid and meet user expectations. 4.0 SPECIAL CONTRACTUAL TERMS AND CONDITIONS 4.1 Contract Term and Extension Option 4.1.1 Contract Term The contract will be awarded for the purchase and the installation of the Document Imaging and Management Software. The Contractor will also provide the maintenance and upgrades of the Document Imaging and Software Management Solution for three (3) years, commencing from the date of award. If delays in the bid process result in an adjustment of the anticipated contract effective date, the bidder agrees to accept a contract for the full term of the contract.


- 32 -

4.1.2 Contract Extension Option This contract may be extended for two (2) one (1) year periods. Each extension is for one (1) year. Any extension of this contract under this provision will be put into effect by mutual agreement between the University and the Contractor, with written notification being provided to the Contractor by the University. The original terms and conditions will remain in effect for any extension period. Unless otherwise noted in this RFP (or any Addendum thereto), pricing for each optional year is to remain the same as the final year of the original contract term. 4.2 Contract Transition In the event services end by either contract expiration or termination, it shall be incumbent upon the Contractor to continue services, if requested by the Director of Purchasing Services, until new services can be completely operational. The Contractor acknowledges its responsibility to cooperate fully with the replacement Contractor and UMDNJ to ensure a smooth and timely transition to the replacement Contractor. Such transitional period shall not extend more than ninety (90) days beyond the expiration date of the contract, or any extension thereof. The Contractor will be reimbursed for services during the transitional period at the rate in effect when the transitional period clause is invoked by UMDNJ. 4.3 Precedence of the University’s Standard Terms and Conditions The contract resulting from this procurement shall consist of this RFP (including UMDNJ’s Standard Terms and Conditions); any addendum to this RFP, the Contractor’s bid proposal and UMDNJ’s Contract Term Sheet. Unless specifically noted within this RFP, UMDNJ’s Standard Terms and Conditions take precedence over the Special Terms and Conditions contained in this Section of the RFP. The Standard Terms and Conditions in effect for this procurement can be found at the following Internet address: www.umdnj.edu/purchweb


- 33 -

The version of the Standard Terms and Conditions that apply to this procurement is as follows:

1) If a mandatory event is conducted as part of this procurement (e.g., mandatory pre-bid conference, mandatory site visit, etc.), the Standard Terms and Conditions that apply to this procurement are those that are posted on the Web site referenced above on the business day prior to the mandatory event; or,

2) If no mandatory event is conducted as part of this procurement, yet an addendum is

issued (e.g., in response to questions from bidders), the Standard Terms and Conditions that apply to this procurement are those that are posted on the Web site referenced above on the business day prior to the date of issuance of the addendum; or,

3) If no mandatory event is conducted and no addendum is issued for this procurement, the

Standard Terms and Conditions that apply to this procurement are those that are posted on the Web site referenced above on the business day prior to the bid opening date.

In the event of a conflict between the provisions of this RFP, including UMDNJ’s Standard Terms and Conditions and the Special Terms and Conditions contained in this Section, and any addendum to the RFP, the addendum shall govern. In the event of a conflict between the provisions of this RFP, including any addendum to this RFP, and the bidder’s proposal, the RFP and/or the addendum shall govern. 4.4 Departure From Bid Specifications or Terms and Conditions Notwithstanding the forgoing, a bidder's proposal may be deemed NON-COMLPLIANT AND BE REJECTED and/or be found non-responsive if the change is a material departure from the bid specifications or the terms and conditions of this RFP. A material departure occurs when the change increases the likelihood that the waiver from compliance with the RFP is capable of giving the appearance of corruption or favoritism, or encouraging excessive spending or is likely to affect the amount or price of the bid or to influence any potential bidder to refrain from bidding or is capable of affecting the ability of the University to make a bid comparison, or is unacceptable to the University. The determination of material departure shall be in the sole discretion of the University. 4.5 Contract Amendment Any changes or modifications to the terms of the contract shall only be valid when they have been reduced to writing and executed by the Contractor and the Director of Purchasing Services.


- 34 -

4.6 Contractor Responsibilities The Contractor shall have sole responsibility for the complete effort specified in the contract. Payment will be made only to the Contractor. The Contractor shall have sole responsibility for all payments due any subcontractor. The Contractor is responsible for the professional quality, technical accuracy and timely completion and submission of all deliverables, services or commodities required to be provided under the contract. The Contractor shall, without additional compensation, correct or revise any errors, omissions, or other deficiencies in its deliverables and other services. The approval of deliverables furnished under this contract shall not in any way relieve the Contractor of responsibility for the technical adequacy of its work. The review, approval, acceptance or payment for any of the services shall not be construed as a waiver of any rights that UMDNJ may have arising out of the Contractor’s performance of this contract. 4.7 Substitution of Staff If it becomes necessary for the Contractor to substitute any management, supervisory or key personnel, the Contractor will identify the substitute personnel and the work to be performed. The Contractor must provide detailed justification documenting the necessity for the substitution. Résumés must be submitted evidencing that the individual(s) proposed as substitution(s) have qualifications and experience equal to or better than the individual(s) originally proposed or currently assigned. The Contractor shall forward a request to substitute staff to the The Director of Purchasing Services, through the University’s Project Manager, for consideration and approval. No substitute personnel are authorized to begin work until the Contractor has received written approval to proceed from the The Director of Purchasing Services, through the University’s Project Manager. 4.8 Substitution or Addition of Subcontractor(s) If it becomes necessary for the Contractor to substitute and/or add a subcontractor, the Contractor will identify the proposed new subcontractor and the work to be performed. The Contractor must provide detailed justification documenting the necessity for the substitution or addition. The Contractor must provide detailed résumés of the proposed subcontractor’s management, supervisory and other key personnel that demonstrate knowledge ability and experience relevant to that part of the work, which the subcontractor is to undertake.


- 35 -

In the event a subcontractor is proposed as a substitution, the proposed subcontractor must equal or exceed the qualifications and experience of the subcontractor being replaced. In the event the subcontractor is proposed as an addition, the proposed subcontractor’s qualifications and experience must equal or exceed that of a similar subcontractor proposed by the Contractor in its bid proposal. The Contractor shall forward a request to substitute/add a subcontractor to The Director of Purchasing Services, through the University’s Project Manager, for consideration and approval. No substitution or addition of a subcontractor is authorized until the Contractor has received written approval to proceed from the Director of Purchasing Services, through the University’s Project Manager. 4.9 Ownership of Material All data, technical information, materials gathered, oriented, developed, prepared, used or obtained in the performance of the contract, including, but not limited to, all reports, surveys, plans, charts, literature, brochures, mailings, recordings (video and/or audio), pictures, drawings, analyses, graphic representations, software computer programs and accompanying documentation and print-outs, notes and memoranda, written procedures and documents, regardless of the state of completion, which are prepared for or are a result of the services required under this contract shall be and remain the property of UMDNJ and shall be delivered to UMDNJ upon 30 days notice by UMDNJ. With respect to software computer programs and/or source codes developed for UMDNJ, the work shall be considered “work for hire,” i.e., UMDNJ, not the Contractor or subcontractor, shall have full and complete ownership of all software computer programs and/or source codes developed. 4.10 Data Confidentiality All financial, statistical, personnel and/or technical data supplied by UMDNJ to the Contractor are confidential. The Contractor agrees to be bound by the terms of HIPPA Business Associate Agreements entered into with UMDNJ, and that any proprietary or confidential information that a contractor’s personnel should acquire, either as a result of this contract, or through inadvertence, remains the property of UMDNJ, and shall not be disclosed. The Contractor is required to use reasonable care to protect the confidentiality of such data. Any use, sale or offering of this data in any form by the Contractor, or any individual or entity in the Contractor’s charge or employ, will be considered a violation of this contract and may result in contract termination and the Contractor’s suspension or debarment from UMDNJ contracting. In addition, such conduct may be reported to the State Attorney General for possible criminal prosecution.


- 36 -

4.11 News Releases The Contractor is not permitted to issue news releases pertaining to any aspect of the services being provided under this contract without prior written consent of the Director of Purchasing Services. 4.12 Advertising The Contractor shall not use UMDNJ’s name, logos, images, or any data or results arising from this contract as a part of any commercial advertising without first obtaining the prior written consent of the Director of Purchasing Services 4.13 License and Permits The Contractor shall obtain and maintain in full force and effect all required licenses, permits, and authorizations necessary to perform this contract. The Contractor shall supply UMDNJ with evidence of all such licenses, permits and authorizations. This evidence shall be submitted subsequent to the contract award. All costs associated with any such licenses, permits and authorizations shall have been included by the Contractor its bid proposal. 4.14 Claim and Remedies 4.14.1 Claims The following shall govern claims made by the Contractor regarding contract award recision, contract interpretation, Contractor performance and/or suspension or termination. Final decisions concerning all disputes relating to contract award recision, contract interpretation Contractor performance and/or reduction, suspension or termination are to be made in a manner consistent with N.J.A.C. 17:12-1.1, et seq. The Director of Purchasing Services final decision shall be deemed a final agency action reviewable by the Superior Court of New Jersey, Appellate Division. All claims asserted against UMDNJ by the Contractor shall be subject to the New Jersey Tort Claims Act, N.J.S.A. 59:1-1, et seq., and/or the New Jersey Contractual Liability Act, N.J.S.A. 59:13-1, et seq. However, any claim against UMDNJ relating to a final decision by The Director of Purchasing Services regarding contract award recision, contract interpretation, Contractor performance and/or contract reduction, suspension or termination shall not accrue, and the time period for performing any act required by N.J.S.A. 59:8-8 or 59:13-5 shall not commence, until a decision is rendered by the Superior Court of New Jersey, Appellate Division (or by the Supreme Court of New Jersey, if appealed) that such final decision by the Director of Purchasing Services was improper.


- 37 -

4.14.2 Remedies Nothing in the contract shall be construed to be a waiver by UMDNJ of any warranty, expressed or implied, or any remedy at law or equity, except as specifically and expressed stated in writing executed by the Director of Purchasing Services. 4.15 Form of Compensation and Payment The Contractor must submit one (1) invoice for the installation of the software for the Document Imaging and Management Solution to UMDNJ with supporting documentation evidencing that work for which payment is sought has been satisfactorily completed. The Contractor must also submit an annual invoice for the Maintenance, license(s) and Upgrade of the Document Imaging and Management Solutions. Invoices must reference the contract or purchase order number and must be in strict accordance with the firm, fixed prices submitted for each task or subtask on the RFP pricing sheet. When applicable, invoices should reference the appropriate RFP price sheet line number from the Contractor’s bid proposal. All invoices must be approved by UMDNJ before payment will be authorized. Invoices must also be submitted for any special projects, additional work or other items properly authorized and satisfactorily completed under the contract. Invoices shall be submitted according to the payment schedule agreed upon when the work was authorized and approved. Payment can only be made for work when it has received all required written approvals and has been satisfactorily completed. 4.16 Additional Work and/or Special Projects The Contractor shall not begin performing any additional work or special projects without first obtaining written approval from the Director of Purchasing Services In the event that the need for additional work and/or a special project arises, UMDNJ will submit such a request to the Contractor in writing. The Contractor must present a written proposal to perform the additional work/special project to UMDNJ. The proposal should provide justification for the necessity of the additional work/special project. The relationship between the additional work/special project being requested and the work required by the Contractor under the base contract must be clearly established by the Contractor in its proposal for performing the additional work/special project. The Contractor’s written proposal must provide a detailed description of the work to be performed, broken down by task and subtask. The proposal should contain details on the level of effort, including hours, labor categories, etc., necessary to compete the additional work.


- 38 -

The written proposal must detail the cost necessary to complete the additional work in a manner consistent with the contract. The written cost proposal must be based upon the hourly rates, unit costs or other cost elements submitted by the Contractor in the Contractor’s original bid proposal submitted in response to this RFP. Whenever possible, the cost proposal should be a firm, fixed cost perform the required work. The firm fixed price should specifically reference and be tied directly to costs submitted by the Contractor in its original bid proposal. A payment schedule, tied to successful completion of tasks and subtasks, must be included. Upon receipt of the Contractor’s written proposal, it shall be forwarded to The Director of Purchasing Services for written approval. Complete documentation from the using agency, confirming the need for the additional work/special project, must be submitted. No additional work and/or special project may commence without the Executive Director, Materials Management’s written approval. In the event the Contractor proceeds with additional work and/or special projects without the written approval of The Director of Purchasing Services, it shall be at the Contractor’s sole risk. UMDNJ shall be under no obligation to pay for work done without The Director of Purchasing Services written approval. 4.17 Option to Reduce Scope of Work UMDNJ has the option, in its sole discretion, to reduce the scope of work for any task or subtask called for under this contract. In such an event, The Director of Purchasing Services shall provide advanced, written notice to the Contractor. Upon receipt of such written notice, the Contractor will submit, within five (5) working days to The Director of Purchasing Services, an itemization of the work effort already completed by task or subtasks. The Contractor shall be compensated for such work effort according to the applicable portions of its cost proposal. 4.18 Suspension of Work The Director of Purchasing Services may, for valid reason, issue a stop order directing the Contractor to suspend work under the contract for a specific time. The Contractor shall be paid until the effective date of the stop order. The Contractor shall resume work upon the date specified in the stop order, or upon such other date as The Director of Purchasing Services may thereafter direct in writing. The period of suspension shall be deemed added to the Contractor’s approved schedule of performance. The Director of Purchasing Services and the Contractor shall negotiate and equitable adjustment, if any, to the contract price.


- 39 -

4.19 Change in Law Whenever an unforeseen change in applicable law or regulation affects the services that are the subject of this contract, the Contractor shall advise The Director of Purchasing Services in writing and include in such written transmittal any estimated increase or decrease in the cost of its performance of the services as a result of such change in law or regulation. The Director of Purchasing Services and the Contractor shall negotiate an equitable adjustment, if any, to the contract price. 4.20 Performance Bond No performance bond is required under this contract. 4.21 Late Delivery and Liquidated Damages Not applicable under this contract. 4.22 Retainage Not applicable under this contract. 4.23 Minority/Female Business Subcontractor Utilization Plan Not applicable under this contract. 4.24 Material Safety Data Sheets The Contractor is required to furnish material safety data sheets (MSDS), or manufacturers’ equivalent information sheets, on the products and/or chemicals used in performing the services specified in this RFP to the University’s Project Manager. These sheets must list complete chemical ingredients including the percentage composition of each ingredient on the mixture (down to 0.1%), the chemical abstract services numbers for those substances listed any potentially hazardous products which may off gas during or flowing application. Failure to do so may constitute reason for termination of the contract. 4.25 Contractor’s Personnel 4.25.1 Direct Management of Personnel The Contractor will be solely responsible for all direct management, supervision, and control of the work performed by the Contractor's personnel. The Contractor shall be responsible for determining the proper work methods and procedures to be used and for ensuring that the work is properly and safely undertaken and completed in a satisfactory manner.


- 40 -

4.25.2 Employees of the Contractor All parties must clearly understand that all Contractor personnel provided by the Contractor or any of his subcontractors shall be considered employees of the Contractor or subcontractor. Under no circumstances shall these people be considered employees of the University or as independent Contractors. Therefore, the Contractor and any of his subcontractors must provide all functions related to these personnel with respect to their classification as employees. These functions will include such services as salary, benefits and proper payroll deductions such as federal and state income taxes, disability and unemployment insurance, etc. Contractor's personnel will be in uniform, clearly indicating name of firm and identifying their affiliation with the firm. In addition, personnel shall bear identification cards at all times with their name as well as the firm name listed on the card. 4.25.3 Employee Conduct All Contractor personnel must observe all University regulations in effect at the location where the work is being performed. While on University property, the Contractor’s personnel shall be subject to oversight by the University’s Project Manager. Under no circumstances shall the Contractor’s or any subcontractor’s personnel be deemed employees of the University. Contractor or subcontractor personnel shall not represent themselves to be employees of the University. The Contractor’s employees agree to be bound by the terms of HIPPA Business Associate Agreements entered into by their employer, and that any proprietary or confidential information that the contractor’s personnel should acquire, either as a result of this contract or through inadvertence, remains the property of UMDNJ, and shall not be disclosed. Contractor's personnel will at all times make their best efforts to be responsive, polite, and cooperative when interacting with representatives of the University or any other University employees. The Contractor's personnel shall be required to work in a harmonious manner with University employees as well as outside contractors, if applicable. Nothing contained in this RFP shall be construed as granting the Contractor the sole right to supply personal or contractual services required by the University. The Contractor agrees that, upon request by the University's Project Manager, the Contractor shall remove from the work crew any of its personnel who are, in the opinion of the University, guilty of improper conduct or who are not qualified or needed to perform the work assigned to them. Examples of improper conduct include, but are not limited to, insobriety, sleeping on the job, insubordination, tardiness, or substandard performance. The University's Project Manager or their representative is empowered to request that the Contractor replace offending personnel immediately.


- 41 -

The University's Project Manager may require replacement and removal from the work crew any employee who is identified as a potential threat to the health, safety, security, general well being, or operational mission of the facility and its population. 4.25.4 Criminal Background Check In addition, in connection with the performance of work under this contract, the Contractor agrees not to employ any person undergoing sentence of imprisonment, except as provided under Public Law 89-176, September 10, 1965 (18 U.S.C. 4082)(c)(2) and Executive Order 11755, December 29, 1973. All employees supplied by the Contractor may be required to have a criminal background check and/or be investigated during the term of this contract. 4.26 Licenses and Permits The Contractor shall obtain and maintain in full force and effect all required licenses, permits, and authorizations necessary to perform this contract. The Contractor shall supply the University's Project Manager with evidence of all such licenses, permits and authorizations. This evidence shall be submitted subsequent to the contract award, in the event that it had not been required as part of the Contractor’s bid. 4.27 Requirements of PL 2005, Chapter 51 (Formerly Executive Order 134) In order to safeguard the integrity of State government procurement by imposing restrictions to insulate the award of State contracts from political contributions that pose the risk of improper influence, purchase of access, or the appearance thereof, Executive Order 134 was signed on September 22, 2004 (EO 134). Pursuant to the requirements of EO 134, the terms and conditions set forth in this section are material terms of any contract resulting from this RFP: 4.27.1 Definitions For the purpose of the section, the following shall be defined as follows: a) Contribution – means a contribution reportable as a recipient under “The New Jersey Campaign Contributions and Expenditures Reporting Act.” P.L. 1973, c. 83 (C.10:44A-1 et seq.), and implementing regulations set forth at N.J.A.C. 19:25-7 and N.J.A.C. 19:25-10.1 et seq. Currently, contributions in excess of $400 during a reporting period are deemed “reported” under these laws. As of January 1, 2005, that threshold will be reduced to contributions in excess of $300.


- 42 -

b) Business Entity – means any natural or legal person business corporation, professional services corporation, limited liability company, partnership, limited partnership, business trust, association or any other legal commercial entity organized under the laws of New Jersey or any other state or foreign jurisdiction. It also includes (i) all principals who own or control more than 10 percent of the stock in the case of a business entity that is a corporation for profit, as appropriate ; (ii) any subsidiaries directly or indirectly controlled by the business entity; (iii) any political organization organized under 26 U.S.C.A. 527 that is directly or indirectly controlled by the business entity, other than a candidate committee, election fund, or political party committee; and (iv) if a business entity is a natural person, that person’s spouse or child, residing therewith. 4.27.2 Breach of Terms of Executive Order 134 Deemed Breach of Contract It shall be a breach of terms of the contract for the Business Entity to (i) make or solicit a contribution in violation of this Order, (ii) knowingly conceal or misrepresent a contribution given or received; (iii) make or solicit contributions through intermediaries for the purpose of concealing or misrepresenting the source of the contribution; (iv) make or solicit any contribution on the condition or with the agreement that is will be contributed to a campaign committee or any candidate of holder of the public office of Governor, or to any State or county party committee; (v) engage or employ a lobbyist or consultant with the intent or understanding that such lobbyist or consultant would or solicit any contribution, which if made or solicited by the business entity itself, would subject that entity to the restrictions of EO 134; (vi) fund contributions made by third parties, including consultants, attorneys, family members, and employee; (vii) engage in any exchange of contributions to circumvent the intent of EO 134; or (viii) directly or indirectly through or by any other person or means, do any act which would subject that entity to the restriction of EO 134. 4.27.3 Certification and Disclosure Requirements a) The University shall not enter into a contract to procure from any Business Entity services or any material, supplies or equipment, where the value of the transaction exceeds $17,500, if that Business Entity has solicited or made any contribution of money or pledge of contribution, including in-kind contributions to a candidate committee and/or election fund of any candidate for or holder of the public office of Governor, or to any State or county political party committee during certain specified time periods. Accordingly, the Business Entity shall submit with its bid proposal Executive Order 134 Certification in the form set forth in Section 9.0, Form DPP 134-C&D, certifying that no contributions prohibited by Executive Order 134 have been made by the Business Entity. A separate Certification is required for each person or organization defined above as a Business Entity. Failure to submit the Certificate(s) with the Bid Proposal shall be cause for automatic rejection of the bid proposal.


- 43 -

b) Prior to awarding any contract or agreement to any Business Entity, the Business Entity, the Business Entity proposed as the intended awardee of the contract shall report all contributions the Business Entity made during the preceding four years to any political organization organized under 26 U.S.C.527 if the Internal Revenue Code that also meets the definition of a “continuing political committee” within the mean of N.J.S.A. 19:44A-3(n) and N.J.A.C. 19:25-1.7, in the form of the Disclosure attached hereto in Section 9.0, Form DPP 134-C&D. A separate Disclosure is required for each person or organization defined above as a Business Entity. Upon receipt of a Notice of Intent to Award a Contract, the intended awardee shall submit to the University Buyer, the Disclosure(s) within five (5) business days of the University’s request. c) Further, the Contractor is required, on a continuing basis, to report any contributions it makes during the term of the contract, and any extension(s) thereof, at the time any such contribution is made. A copy of the Continuing Disclosure of Political Contributions is attached hereto in Section 9.0, Form DPP 134-CD. 4.27.4 State Treasurer Review The State Treasurer or his designee shall review the Disclosures submitted pursuant to this section, as well as any other pertinent information concerning the contributions or reports thereof by the intended awardee, prior to award, or during the term of the contract, by the Contractor. If the State Treasurer determines that any contribution or action by the Contractor constitutes a breach of contract that poses a conflict of interest in the awarding of the contract under this solicitation the State Treasurer shall disqualify the Business Entity from award of such contract. 4.28 New Jersey Election Law Enforcement Commission Requirement The Contractor is advised of its responsibility to file an annual disclosure statement on political contributions with the New Jersey Election Law Enforcement Commission (ELEC), pursuant to N.J.S.A. 19:44A-20.13 (P.L. 2005, c.271, section 3) if the Contractor receives in excess of $50,000 from a public entity in a calendar year. It is the Contractor’s responsibility to determine if filing is necessary. Failure to so file can result in the imposition of financial penalties by ELEC. Additional information about this requirement is available from ELEC at 888-313-3532 or at www.elec.state.nj.us.

http://www.elec.state.nj.us/


- 44 -

5.0 PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS 5.1 General The bidder must follow instructions contained in this RFP and in the bid cover sheet in preparing and submitting its bid proposal. The bidder is advised to read thoroughly and to follow all instructions. The information required to be submitted in response to this RFP has been determined to be essential in the bid evaluation and contract award process. Any qualifying statements made by the bidder to the RFP’s requirements could result in a determination that the bidder’s proposal is materially non-responsive. Each bidder is given wide latitude in the degree of detail it elects to offer or the extent to which plans, designs, systems, processes and procedures are revealed. Each bidder is cautioned, however, that insufficient detail may result in a determination that the bid proposal is materially non-responsive or, in the alternative, may result in a low technical score being given to the bid proposal. The bidder is instructed to clearly identify any requirement of this RFP that the bidder cannot satisfy. 5.2 Proposal Delivery and Identification In order to be considered a bid proposal must arrive at the Department of Purchasing Services in accordance with the instructions on the RFP cover sheet. Bidders submitting proposals are cautioned to allow adequate delivery time to ensure timely delivery of proposals. UMDNJ regulations mandate that late proposals are ineligible for consideration. The exterior of all bid proposal packages must be labeled with the Request for Proposal identification number, final bid opening date and the buyer’s name. 5.3 Number of Bid Proposal Copies Each bidder must submit one (1) complete original bid proposal, clearly marked as the “ORIGINAL” bid proposal. Each bidder should also submit five (5) full, complete and exact copies of the original. The copies required are necessary in the evaluation of the bid. It is suggested that the bidder make and retain a complete copy of its bid proposal. 5.4 Proposal Form and Content The proposal should follow the format indicated in the following Sections of this RFP. The bidder should limit their response to one volume, if at all possible, with that volume divided into three (3) sections as indicated below.


- 45 -

5.5 Section 1 – Forms 5.5.1 Ownership Disclosure Form The bidder must complete the attached Ownership Disclosure Form. A complete Ownership Disclosure Form must be received prior to, or accompanying, the bid. Failure to do so will preclude the award of a contract. 5.5.2 MacBride Principles Certification The bidder must complete the attached MacBride Principles Certification evidencing compliance with the MacBride Principles. Failure to do so may result in the award of the contract to another bidder. 5.5.3 Affirmative Action The bidder must complete the attached Affirmative Action Employees Information Report, or, in the alternative, supply either a New Jersey Affirmative Action Certificate, or evidence that the bidder is operating under a Federally approved or sanctioned affirmative action program. The requirement is a precondition of entering into a valid and binding contract. 5.5.5 Bid Bond Not applicable under this Contract. 5.5.6 Business Associate Agreement The bidder must complete the attached Business Associate Agreement, involving the access to protected health information that is considered protected pursuant to federal, state and/or local laws and regulations in accordance with the privacy requirements of the “HIPAA” – Health Insurance Portability and Accountability Act of 1996. The requirement is a precondition of entering into a valid and binding contract. 5.5.7 Business Registration Notice All New Jersey and out of State business organizations must obtain a Business Registration Certificate (BRC) from the Department of the Treasury, Division of Revenue, prior to conducting business with the State of New Jersey. Proof of valid business registration must be submitted by a bidder with its bid proposal. Failure to submit such valid business registration with a bid will render the bid materially non-responsive. The business registration form (Form NJ-REG) can be found online at: http://www.state.nj.us/treasury/revenue/gettingregistered.htm#busentity

http://www.state.nj.us/treasury/revenue/gettingregistered.htm#busentity


- 46 -

5.5.8 PL 2005, Chapter 51 (Formerly Executive Order 134) Forms Bidders are reminded of the provisions contained in Section 4 of this RFP, entitled “Requirements of Executive Order 134,” specifically those pertaining to the forms that are required to be submitted by this Order. This Section reads, in part: “Accordingly, the Business Entity shall submit with its bid proposal Executive Order 134 Certification in the form set forth in Section 9.0, Form DPP 134-POFW, certifying that no contributions prohibited by Executive Order 134 have been made by the Business Entity. A separate Certification is required for each person or organization defined above as a Business Entity. Failure to submit the Certificate(s) with the Bid Proposal shall be cause for automatic rejection of the bid proposal.” 5.6 Section 2 - Technical and Organizational Support and Experience Proposals Bidders must submit their technical and organizational support and experience proposals by fully and accurately completing the Bidder Data Sheets included in this RFP as Section 7.0. A bidder's failure to fully, properly and accurately complete all of the technical proposal and organizational support and experience information required by Section 7.0 of the RFP may result in their bid being considered non-responsive. 5.7 Section 3 - Cost Proposal 5.7.1 Bidders must submit their cost proposal in accordance with the Price Sheet(s) included in this RFP as Section 8.0. Failure to submit all information required will result in your bid being considered non-responsive. Each bidder is requested to hold its prices firm for a minimum of ninety (90) days so that an award can be made. 5.7.2 Each bidder should also provide a comprehensive listing of all labor categories that may be used to perform additional work and/or special projects or according to the additional work and/or special project clause(s) of this RFP. Loaded hourly rates are to be submitted for all labor categories that the bidder anticipates may be required to perform additional work and/or special projects. Failure to include a labor category along with a loaded hourly rate will exclude that category from eligibility to perform additional work and/or special projects under the contract resulting from this RFP. Each bidder may submit labor categories for additional work that are not included in the base proposal to perform the Scope of Work required by this RFP.


- 47 -

Each bidder may also submit any additional price or cost information that the bidder feels may be required to perform any additional work and/or special projects required by this RFP. ONLY price and costing information provided by the bidder in its original bid proposal submitted in response to this RFP may later be used for additional work and/or special projects to be paid against the contract resulting from this RFP. 6.0 PROPOSAL EVALUATION AND CONTRACT AWARD 6.1 Proposal Evaluation Committee Proposals may be evaluated by an Evaluation Committee composed of members of affected departments together with representative(s) from the Department of Purchasing Services. Representatives from other governmental agencies may also serve on the Evaluation Committee. On occasion, the Evaluation Committee may choose to make use of the expertise of an outside consultant in an advisory role. 6.2 Oral Presentation and/or Clarification of Bids A bidder may be required to give an oral presentation to the Evaluation Committee concerning its bid proposal. The Evaluation Committee may also require a bidder to submit written responses to questions regarding its bid. The purpose of such communication with a bidder, either through an oral presentation or a letter of clarification, is to provide an opportunity for the bidder to clarify or elaborate on its bid. The original bid, as submitted, however, cannot be supplemented, changed, or corrected in any way during the evaluation process. No comments regarding other bids are permitted. Bidders may not attend presentations made by their competitors. It is within the Evaluation Committee’s discretion whether to require a bidder to give an oral presentation or require a bidder to submit written responses to questions regarding its bid. Action by the Evaluation Committee in this regard should not be construed to imply acceptance or rejection of a bid. The Purchasing Services’ buyer is the sole point of contact regarding any request for an oral presentation or written clarification.


- 48 -

6.3 Evaluation Criteria The following evaluation criteria categories, not necessarily listed in order of significance, will be used to evaluate bid proposals received in response to this RFP. The evaluation criteria categories may be used to develop more detailed evaluation criteria to be used in the evaluation process. 6.3.1 The bidder’s general approach and plans to meet the requirements of this RFP. 6.3.2 The bidder’s software must have the ability to perform all of the functions that are

required in section 7.0 of the RFP. 6.3.3 The bidder’s ability to maintain and upgrade the software for the Document Imaging and Management Solutions as required by this RFP. 6.3.4 The bidder’s documented experience in successfully completing software installation

contracts of a similar size and scope of those required by this RFP. 6.3.5 The bidder’s documented experience in successfully completing software maintenance

and upgrade contracts of a similar size and scope as those required by this RFP. 6.3.3 The qualifications and experience of the bidder’s management, supervisory or other key personnel assigned to the contract, with emphasis on documented experience in successfully completing work on contracts of similar size and scope to those required by this RFP. 6.3.4 The overall ability of the bidder to mobilize, undertake and successfully complete the

contract. This judgment will include, but not be limited to, the following factors: the number and qualifications of management, supervisory and other staff proposed by the bidder to complete the contract, the availability and commitment to the contract of the bidder’s management, supervisory and other staff proposed and the bidder’s contract management plan, including the bidder’s contract organizational chart.

6.3.5 The bidder’s cost proposal. 6.4 University’s Right to Consider Additional Information 6.4.1 The Director of Purchasing Services may obtain any information determined to be appropriate regarding the ability of the bidder to supply and/or render the service required by this RFP.


- 49 -

6.4.2 The Director of Purchasing Services may consider such other factors that, in the opinion of the Director of Purchasing Services, are important in evaluating the bidder's proposal and awarding contracts as determined to be in the best interest of the University. 6.4.3. The University reserves the right to request all bidders to explain the method used to arrive at any or all cost or pricing figures. 6.4.4 When making the contract award decision, the University may consider evidence of formal or other complaints against any bidder(s) by the University for contracts held in the past or present by the bidder. 6.4.5 The University reserves the right to check the bidder's financial capacity and ability to successfully undertake and complete the services required by this RFP by any means deemed appropriate. 6.4.6 The University reserves the right to conduct site inspections of any facility(s) serviced by the bidder(s) to assist in judging the bidder's ability to provide the services required by this RFP. This applies to all facilities services by the bidder or any sub-contractor to the bidder. This right extends to all facilities of which the University is aware, or about which it becomes aware, that the bidder is servicing, whether or not the facility is listed in the bidder's proposal. 6.5 Contract Award The contract shall be awarded with reasonable promptness by written notice to that responsible bidder whose bid, conforming to the invitation for bids, will be most advantageous to UMDNJ, price and other factors considered. Any or all bids may be rejected when the Director of Purchasing Services Executive Director determines that it is in the public interest to do so.


- 50 -

7.0 BIDDER’S DATA SHEETS (FORMS TO BE COMPLETED BY BIDDER) The bidder should fully complete and submit the following Bidder’s Data Sheets. Failure to satisfactorily complete and submit the Bidder’s Data Sheets may result in a determination that your bid is non-responsive, resulting in rejection of your bid. Bidders are strongly advised to use the Bidder’s Data Sheets supplied herein. The bidder should make additional copies, if necessary. 7.1 BIDDER’S GEAR-UP AND TRANSITION PLAN All bidders, including any present or incumbent contractor(s) should submit a detailed gear-up and transition plan with their bid proposal using the Bidder Data Sheets which follow. The plan should be designed to show the University that the bidder would be able to establish complete and satisfactory contract operation on the contract beginning date. The bidder should show how they plan to make an orderly and efficient transition from the current contract to complete and satisfactory delivery of all services required by the new contract. The Gear-Up and Transition Plan should provide for an orderly and efficient start-up.


- 51 -

7.1 .1 IMPLEMENTATION UMDNJ would like a phased implementation beginning with one (1) department of the University’s choice. The bidder must submit a plan to roll out the system to additional departments in the University. ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________ (MAKE ADDITIONAL COPIES OF THIS SHEET, IF NECESSARY)


- 52 -

7.1.2 The bidder’s proposal must define recommended training required of UMDNJ IT staff and end users in order to be capable of implementing bidder’s system. ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ (MAKE ADDITIONAL COPIES OF THIS SHEET, IF NECESSARY)


- 53 -

7.1.3 The bidder’s must detail the technical skills required of UMDNJ to support bidder’s product at UMDNJ during implementation and on an ongoing basis. ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ (MAKE ADDITIONAL COPIES OF THIS SHEET, IF NECESSARY)


- 54 -

7.2 Recruitment of Staff The bidder’s plan for recruitment and assignment of contractor’s required to perform the services, service categories or other work elements as detailed in the Scope of Work of this RFP. ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

(MAKE ADDITIONAL COPIES OF THIS SHEET, IF NECESSARY)


- 55 -

7.2.1 Orientation of Staff Provide below the Bidder’s Plan for Orientation of New Staff required to perform the services, service categories or other work elements as detailed in the Scope of Work of this RFP. ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 56 -

7.2.3 Supervisory Personnel Provide below the bidder’s plan for implementation and use of on-site supervisory staff during the gear-up and transitional period. This plan should show all personnel that will be assigned to manage, supervise and monitor your firm’s transition to the new contract. NOTE: The bidder should clearly identify management, supervisory or other staff assigned only during the gear-up and transitional period. ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

(MAKE ADDITIONAL COPIES OF THIS FORM, IF NECESSARY)


- 57 -

7.3 The Contractor must document how users and administrators will be authenticated to the

software system. The UMDNJ requires all applications to be capable of authenticating to Active Directory.

_____________________________________________________________________________ ______________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ (MAKE ADDITIONAL COPIES OF THIS FORM, IF NECESSARY)


- 58 -

7.4 HARDWARE REQUIREMENTS The Bidder must specify hardware configurations and requirements for all system servers as well as storage requirements. The recommended hardware configurations are to include, but are not limited to, sizing of servers, backend and front end, as well as recommendations for specific hardware platforms. _____________________________________________________________________________ _____________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ (MAKE ADDITIONAL COPIES OF THIS FORM, IF NECESSARY)


- 59 -

7.5 THE BIDDER MUST SPECIFY CONFIGURATIONS FOR ALL CAPTURE AND USER

WORKSTATIONS ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 60 -

7.6 THE BIDDER MUST SUPPLY A LIST OF SUPPORTED SCANNERS _____________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 61 -

7.7 SOFTWARE REQUIREMENTS The bidder must specify all software required for proper system functioning including versions and releases for servers capture stations and desktops ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 62 -

7.7.1 The Contractor must provide a detailed implementation project plan specific to UMDNJ.

The implementation project plan is to specify timeframes and levels of effort required for completion of project tasks.

________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 63 -

7.8 Functional Checklist 1. Bidder’s must respond to each of the following features.

A.Functionality Type

Document Scanning and Quality Assurance

Description Create TIFF images using CCITT group 4-compression Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Batch Scanning in high volume production environment Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Distribute scanning to multiple locations via Internet or other TCP/IP Route Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Scan batches locally and uploads to server at a time user specifies Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 64 -

5.Description Scan batches locally and upload batches to server in the background automatically based on

network traffic. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Scan batches directly to server. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 7.Description Scan-time indexing via bar code. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Scan-time indexing via patch code. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 9.Description Scan-time automated indexing via integration. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description Scan-time manual indexing. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 65 -

11.Description Distributed batch-level indexing. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description Distributed page level indexing. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 13.Description Automatic indexing via OCR. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 14.Description Scanning directly to workflow. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 15.Description Workflow routing for objects that are only partially indexed. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 16.Description Configurable saved scanning settings, such as resolution, page size, orientation, brightness

and threshold detection. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 66 -

17.Description Save and re-use scanning settings Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 18.Description System can automatically apply scanning settings Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 19.Description Users can manually apply saved scanning settings Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 20.Description Support scanners ranging from low speed (5ppm) to high speed

(200 + ppm)

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 21.Description Supports duplex scanning Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 22.Description Delete blank pages Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 67 -

23.Description Deskew and despeckle image enhancement Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 24.Description Configure index assignments via user prompt prior to scanning Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 25.Description Distribute quality assurance confirmation of scanned batches, allocating QA work

to location/resources outside of scanning facility

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 26.Description Perform QA on images at scan time Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 68 -

B.Functionality Type Object Indexing 1.Description Link documents directly to records in existing business software without keying Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Use a single key stroke to index multiple fields. Short cut for link page button Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Single click to re-index documents against host records or via manual keying Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Choose pre-defined index values via pick list/drop down menu Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 69 -

5.Description Index with non-dynamic data, such as serial number, date/time, unique ID and free form entry

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Index multiple images as a group without re-keying data (a single index set can be

applied to a group of images) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 7.Description Index large batches of scanned documents automatically by retrieving additional

index values from another database Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Validate index values against a database or rules based script. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 9.Description Validate index values against host application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description Index acquisitions via bar code without purchase of OCR product Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 70 -

11.Description Index based on text values extracted via OCR product Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description Advance forms OCR/ICR processing available Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 13.Description Document objects can be indexed same as last document Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

C.Functionality Type ELECTRONIC CAPTURE AND OBJECT SUPPORT 1.Description Capture a variety of objects - paper forms, photos,IDs, faxes.e-mails and more into

a single, electronic repository Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Support compound objects (page 1=TIFF, page 2=Word etc.) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Co-mingle, store, retrieve, and link electronic objects without additional software

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Import and display a wide range of object types, including Word, Excel, PDF,

JPEG, HTML and XML Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 71 -

5.Description Object types stored in original format Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Supports client-side and server-side batch import and single object import Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 7.Description Fax capture: automatically import high volume fax objects Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description E-mail capture: automatically import high-volume e-mail and attachment objects Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 9.Description Virtual printing: users can virtually print to TIFF individual documents, such as e-

mails, Word files, enterprise reports, etc. to add them to the imaging system Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 72 -

10.Description Virtual printing: print large jobs to TIFF on schedule from the server Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 11.Description Importing: unbundled multi-page TIFFs on import Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description Importing: Desktop clients can import files ad-hoc into imaging system Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 13.Description Importing: automatically import files in bulk and send them directly into the imaging

system’s workflow environment Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 73 -

D.Functionality Type

ELECTRONIC FORMS CAPTURE

1.Description Provide a means to collect data from electronic forms using advanced OCR functionality. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Distinguish between document types (i.e., invoices versus transcripts) and within document

types (i.e., Company A invoice versus Company B invoice). Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Automatically index forms based on extracted data. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Extract line-item data from forms. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Verification: Provide group digit verification. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Verification: Provide content verification of text field contents. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 7.Description Forms design: Allow for creation of templates for forms and/or layouts for semi-structured

documents. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 74 -

E.Functionality Type COLD /COMPUTER OUTPUT MANAGEMENT 1.Description Accept basic and advanced print streams in ASCII, TXT, IBM AFP, Xerox Metacode,

PostScript and HP PCL formats Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Monitor a different directory for each type of print stream Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Convert advanced print streams into searchable, non-proprietary PDF files Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Provide user access to select, formatted pages related to records in the business application,

such as a single invoice from a large print stream Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Define a different set of graphical form overlays for each type of print stream Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 75 -

F.Functionality Type USER INTERFACE/VIEWER 1.Description Retrieve objects (images/documents) from anywhere via WAN, LAN, VPN or intranet, or

via the Internet (any TCP/IP route) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Retrieve documents directly from the business application based on the user’s context,

without requiring programming changes to the application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Display documents side-by-side with records displayed in the business application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Single-page viewing Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Multi-page (MDI) viewing—display two or more pages simultaneously on the user’s

screen Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description View more than one document simultaneously—compare documents side-by-side Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 7.Description Manual zooming—Zoom via “lasso” (right-click mouse and drag over desired section to

zoom) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 76 -

8.Description Panning— Adjust zoom position on an image via “grab and drag” within viewer Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 9.Description Automated zooming—viewer can auto-position on data needed in high-volume situations. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description Multiple zoom regions can be saved as reference Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 11.Description Create document notes such as keywords, sticky notes and other forms of annotation Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description Rotate documents and save rotated views Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 13.Description Invert images (reverse black and white) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 14.Description Reorder pages within a single document Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 15.Description Re-index, move, copy, and delete pages within a single document Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 77 -

16.Description Copy and move pages from one document to another Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

17.Description Interface with MAPI e-mail clients for ad hoc routing of multiple pages or images via e-mail (outside oimaging system’s workflow)

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 18.Description E-mail multi-page TIFFs and allow renaming of file attachment Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 19.Description Jump to a specific page within a document Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

Description Automatically “feed” users the next item to process

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 21Description Performance: Consistent browsing and retrieval performance regardless of document load Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 78 -

22.Description Performance: Consistent browsing and retrieval performance regardless of user load Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

G.Functionality Type

RETRIEVAL AND SEARCH

1.Description Provide integrated document retrieval directly from business application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Single-click access to documents from any customer/employee/vendor/patient/ student

record displayed (without keying any index data) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Manual image/object retrieval via simple index search Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Partial index value search Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Tree control for browsing search results or exploring the document repository Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Sort documents using multi-level document indexes—ascending, descending, etc. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 79 -

7.Description Build complex, multi-field queries using conditions such as AND, OR, LIKE, range, exact match and wildcards

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Save, load and execute queries from either the client or the server. For each saved query,

system lets users configure the way data is sorted upon return. Saved queries can prompt users for a value to use when executing the query. Saved queries can extract values from the business application record displayed onscreen for integrated searches.

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 9.Description Full-text search the content of scanned images and more than 200 document formats,

including Word, Excel, PDF, WordPerfect, HTML and XML. Full-text query options include: wildcard searches, fuzzy searches, sounds-like and phonetic searches, stemming and synonym expansion, proximity searches, relevance ranking, and query-by-example. Automatically highlights search terms found in the document.

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description Build and execute searches for enterprise/COLD reports. Display the page that was

requested first, allowing you to navigate to other pages in the logical report. Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 80 -

H.Functionality Type

ANNOTATIONS

1.Description Customizable user options for annotations Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Support for attaching OLE objects Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Add, resize or delete (with security permission) annotations Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Add sticky notes—The DIMS should record the date and time and the user's ID. Users can

append additional notes to existing sticky note annotations by double-clicking a sticky note that appears on a document.

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Add text comments Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Highlight portions of a page Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 7.Description Apply red lines Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Apply arrows Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 81 -

9.Description Apply hollow masks without altering original image Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description Apply solid masks (redaction) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

11.Description Customize stamps Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description Audit trail for annotation creator (i.e., notes who created and date/time) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 13.Description Ability to give specified users annotation create/delete abilities Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 82 -

I. Functionality Type PRINTING 1.Description Print to any print device – as a standard desktop/network printing service Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Print with or without annotations Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Fax with or without annotations Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Print single selected pages within a multi-page doc

5.Description Print multiple pages Feature supported Out of the Box Via Configuration Via Customization Not Available Check o nly one Supporting Information 6.Description Print just the viewable area Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

7.Description Option to print index values at top of each document page Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Prevent document printing Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 83 -

J. Functionality Type WORKFLOW

1.Description Workflow configuration administration without programming Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Drag and drop graphical workflow design tool Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one 3.Description Assign users to queues, assign rights to documents within queues and develop document

routing without writing any software code Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Use workflow standalone, without integration into the business application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Workflow deployment optional? Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 84 -

6.Description Workflow module integrated into standard, out-of-the-box offering Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

7.Description Automate workflow routing based on index, time and day, user, watermark and more, with scripting.

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Controllable user access to workflow – rights to queues, routing rules and more Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 9.Description Automated watermark alarm triggers based on number of documents/objects in queue Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description Time-based alarm triggers (based on duration of document in queue) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 11.Description Alarm triggers prompt alarms (e-mail, visual, audible and pager) when documents are

received or alarm conditions met Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description Electronic object routing in addition to scanned paper (e-mail, fax, PDFs, Office documents

and more) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 85 -

13.Description Capture of user actions and document flow—including the queues the item has been in,

every time it was touched by a user, the action taken and additional relevant data captured for reporting

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 14.Description Automatically route documents based on any data element in the imaging database or

external RDBMS or ISAM data structure Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 86 -

K.Functionality Type

INTEGRATION

1.Description Options for both programmatic and non-programmatic integration Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Direct integration with any core business system without programming Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Extended integration functionality allows placement of imaging application icon in

screens of our current business applications to prompt calls to the imaging system. Use of scripting for advanced integration options such as lookup value, set value, or open record in an external application.

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

4.Description Non-programmatic integration with a character cell application delivered via a terminal emulator

Feature supported Out of the Box Via Configuration Via Customization Not Available Check o nly one Supporting Information 5.Description Non-programmatic integration with a graphical, Windows-based application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Non-programmatic integration with a browser-delivered application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one 7.Description Non-programmatic integration with Citrix-delivered applications Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Prior history of integration with SCT/Banner solutions Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one


- 87 -

9.Description Prior history of integration with home-grown, custom applications Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description Ability to demonstrate your integration capabilities by performing an actual integration

demonstration? Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

11.Description Optional integration via Web services Feature supported Out of the Box Via Configuration Via

Customization Not Available

Check only one Supporting Information

12.Description Ability to extract and upload data to third party system Feature supported Out of the Box Via Configuration Via

Customization Not Available

Check only one Supporting Information


- 88 -

L.Functionality Type

INTEROPERABILITY

1.Description Web services-based data exchange with external applications over firewall-friendly HTTP or HTTPS

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one 2.Description Place documents in workflow process from any location, using any Windows-based

business application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Develop interactive applications using standards such as SOAP, XML and WSDL Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Allow development of interactive applications based on Web Services Interoperability

(WS-I) standards, maximizing options for development environments and platforms Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Asynchronous messaging option to reduce complexity of real-world integration projects Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Ability to Support HL7 Protocol Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 89 -

M.Functionality Type

SYSTEM ADMINISTRATION

1.Description Graphical administrator interface on Windows servers Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Configure all server parameters in one place Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Option for automatic distribution of capture and device profiles Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Instant message all users or just users in a particular workflow application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Automatically log off users Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Disable user accounts without deleting them Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 7.Description Give multiple users permission to a workflow queue in one step Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 90 -

8.Description Add multiple users to a group in one step Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

9.Description View real-time interaction between logged-on clients and the server for real-time auditing and troubleshooting

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description Monitor specific clients for auditing purposes Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

11.Description View all database tables directly from the console logically, along with their properties

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description View server log files from the administrative GUI Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

13.Description Graphical wizard for repository setup (mirroring, spanning, set creation, tree creation, tree priority)



- 91 -

14.Description Add new users in bulk from the local machine Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 15.Description Add new users in bulk from the Windows domain Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 16.Description Add new users in bulk from an LDAP server Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 17.Description Add new users in bulk from a text file Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 92 -

N.Functionality Type SERVER

1.Description Windows NT/2000/2003 compatible Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description IBM AIX compatible Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Sun Solaris compatible Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Hewlett Packard HP/UX compatible Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

5.Description n-Tier, client/server design with a 32-bit server application that supports centralizing or distributing processes via any combination of Microsoft or UNIX server platforms.

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Integrates with domain security for user ID and password validation Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 93 -

7.Description Does NOT require drive mapping from client for storage of objects Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Does NOT require drive mapping from client for retrieval of objects Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 9.Description Stores data objects in a non-proprietary format Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

10.Description Stores general binary data object such as word processing file, spreadsheet and digital images in original formats


11.Description Server-side tools support calls to host-based systems for data validation, retrieval or update, to support advanced functionality, COM, scripting, command-line tools

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description Support for different long-term storage options, e.g. RAID and magneto/optical Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 94 -

13.Description Support for non-proprietary near-line or offline storage (hierarchical storage management)

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 14.Description All metadata structures available via ODBC Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 15.Description Database deployment options include Oracle, MS SQL database, or IBM DB2 Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information O.Functionality Type CLIENT

1.Description 32-bit application Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Both thick and thin client options Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description All client viewer options can be deployed locally or remotely Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

4.Description Supports retrieval from anywhere via WAN, LAN, VPN or intranet, or via the Internet (any TCP/IP route)



- 95 -

5.Description Supports workstations running on Windows 98 Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 6.Description Supports workstations running on Windows NT Workstation Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 7.Description Supports workstations running on Windows 2000 Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Supports workstations running on Windows XP Professional Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 96 -

P.Functionality Type SCANNER

1.Description Supports centralized scanning operations (back office) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Supports de-centralized scanning operations (remote locations) Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Receive faxes directly into system as TIFFs Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Compatible with multiple scanner models by all major manufacturers Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information Q.Functionality Type REPORTING

1.Description Supports pre-developed reports, custom reports and run-time report viewer Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

2.Description Allow user-defined reports via Crystal Reports or other ODBC-compliant reporting tools



- 97 -

R.Functionality Type SYSTEM AUDITING

1.Description Configure multiple audit templates, via a GUI, to log imaging system functions (such as who viewed, deleted, or re-indexed an object, where the user connected from, when the user performed the action, and their session information)

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Unlimited audit templates Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Designate specific users and groups to each audit template Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Export audit files as text or XML Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 98 -

S.Functionality Type ACCESS

1.Description Retrieve documents from anywhere via TCP/IP Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

2.Description Retrieve documents via these browsers: Netscape Navigator, Internet Explorer, Mozilla FireFox, and Apple Safari

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description Encrypted communication between client and server Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 99 -

T.Functionality Type STORAGE

1.Description Store scanned data objects in industry standard file formats with no proprietary information that would preclude access from third-party tools


2.Description Freedom from proprietary data storage methods that would preclude access from third-party tools

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 3.Description System supports 200 or more file types Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Supports multiple storage devices including hard drive, RAID, NAS, SAN or optical Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Supports the use of a Hierarchical Storage Management (HSM) solution Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

6.Description Support for multiple object stores—Create separate object storage structures that can be subdivided by virtually any logical construct



- 100 -

7.Description Support for spanning object stores—Represent several physical drives as one logical drive, allowing a single designated storage area to be much larger


8.Description Support for mirroring object stores—Distribute duplicate object storage structures to multiple sites


9.Description Support for data set management—Move, copy and delete object store structures based on business rules



- 101 -

U.Functionality Type SECURITY

1.Description Encrypts data between viewer and server Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 2.Description Supports 128-bit Triple DES encryption Feature supported Out of the Box Via Configuration Via Customization Not Available

Check only one Supporting Information 3.Description Access control via user ID and passwords Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 4.Description Access control via document group and logical filing hierarchy Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 5.Description Access control via deferral to host application security Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

6.Description Access control via workflow queue—Option to allow users access to only those documents currently residing in workflow queues to which they have permission



- 102 -

7.Description User validation against network domain Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 8.Description Single-login process for Windows operating systems Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 9.Description Administrator-configurable, time-based automatic user log-off Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 10.Description HIPAA support for electronic data security guidelines Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 103 -

11.Description Supports privilege-based security for individual users, such as the ability to delete, copy, move, print, fax, link, scan, search or view documents

Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 12.Description Audit tracking, supervisory and management reporting capabilities Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information 13.Description Support for local domain, network domain, LDAP and SQL Server authentication Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information


- 104 -

V.Functionality Type CUSTOMER SUPPORT

1.Description Support portal Web site with 24 x 7 availability Feature supported Out of the Box Via Configuration Via Customization Not Available Check only one Supporting Information

2.Description

Support portal Web site providing the ability to: Interact with vendor’s support via chat and screen sharing Download software Search product documentation Search FAQs Search technical knowledgebase Review training course schedules Review course outlines and exercise guides Participate in the imaging system User Community forum



- 105 -

7.9 Gear-Up and Transitional Timetable Provide below the bidder’s gear-up and transitional plan. The plan should include a detailed timetable for gear-up and transition. The timetable should convince the University that the new contract will be operational on the contract beginning date required. For evaluation purposes only, bidders should use a contract award date of 12/10/06 for the beginning of the gear-up and transitional period. The new contract should begin and be operational of 12 /16 /06. ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 106 -

7.10 LISTING OF POTENTIAL PROBLEMS The bidder should include below a summary of any areas it anticipates encountering in implementing or providing the services or other work elements as detailed in the Scope of Work of this RFP. The bidder should list problems, which the bidder, in its judgment, feels may become problems. It is important for the bidder to convince the University of its understanding of, and ability to solve, these problem areas. 1. Potential Problem: ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 2. Show in a brief narrative that you understand the cause and substance of the potential problem. Be specific. __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 3. Give a specific recommendation on how to address and solve the problem. ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 107 -

7.11 CONTACT INFORMATION 7.11.1 The bidder should provide the location of bidder’s business office that will be responsible for management of this contract. Name: ______________________________________________ Address: ______________________________________________ ______________________________________________ ______________________________________________ Business Phone Number: ( _ )-___-____ Business Fax Number: ( _)-___-____ 7.11.2 The bidder should provide the name(s) and phone number(s) of bidding firm’s management personnel to be contacted if problems or emergencies occur (24 hours per day). Name: ____________________ Role of this person for this contract: ___________________________ Work Telephone Number: (___)-___-____ Home Telephone Number: (___)-___-____ Name: ____________________ Role of this person for this contract: ___________________________ Work Telephone Number: (___)-___-____ Home Telephone Number: (___)-___-____ Name: ____________________ Role of this person for this contract: ___________________________ Work Telephone Number: (___)-___-____ Home Telephone Number: (___)-___-____ Name: ____________________ Role of this person for this contract: ___________________________ Work Telephone Number: (___)-___-____ Home Telephone Number: (___)-___-____



- 108 -

7.12 The bidder should list below the name of the individual that may be contacted at all times if service or information is required from the contractor by the University. Name: ______________________________________________ Address: ______________________________________________ ______________________________________________ ______________________________________________ Role of this person for this contract: ___________________________ Work Telephone Number: ( _ )-___-____ Business Fax Number: ( _ )-___-____ Home Telephone Number: ( _)-___-____ 7.12.1 The bidder should list below the name, address and telephone number of the of insurance firm from which it intends to purchase the insurance required for this contract, and a person to contact at this firm. Name of Insurance Firm: ______________________________________ Address of Insurance Firm: _____________________________________________ ____________________________________________ ____________________________________________ Name and telephone number of individual at the insurance company that the University may contact to verify this information: Name: _________________________ Telephone Number: ( _ )-___-____


- 109 -

7.13 BIDDER’S ORGANIZATIONAL CHART The bidder should provide, using this page, an organizational chart that shows the bidding firm’s entire organizational structure. The chart should include actual names and titles. The purpose of this organizational chart is to show the University how the bidder’s contract management and on-site supervisors proposed for this contract fit into the overall organizational structure.



- 110 -

7.14 PROJECT ORGANIZATION CHART The bidder should provide, using this page, an organizational chart showing the bidder’s organization for this term contract alone. The term contract organization chart should show the bidder’s management and on-site supervisor(s) assigned directly to this contract. Show individuals with their names and titles. If subcontractors are proposed, show the subcontractor’s management and supervisory personnel with name and titles.



- 111 -

7.15 LISTING OF BIDDER’S MANAGEMENT AND SUPERVISORY PERSONNEL The bidder should provide a complete list of all contract management and on-site supervisory personnel to be assigned to this contract by the bidder. The bidder should also include subcontractor personnel, if applicable. This list should identify the position/title of each individual assigned and provide a summary of each individual’s function and role in the contract. 1. NAME OF INDIVIDUAL ASSIGNED: _____________________ 2. POSITION/TITLE ON THIS CONTRACT: ______________________ 3. PROPOSED FUNCTION/ROLE ON THIS CONTRACT: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 1. NAME OF INDIVIDUAL ASSIGNED: _____________________ 2. POSITION/TITLE ON THIS CONTRACT: ______________________ 3. PROPOSED FUNCTION/ROLE ON THIS CONTRACT: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


- 112 -

1. NAME OF INDIVIDUAL ASSIGNED: _____________________ 2. POSITION/TITLE ON THIS CONTRACT: ______________________ 3. PROPOSED FUNCTION/ROLE ON THIS CONTRACT: _________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 1. NAME OF INDIVIDUAL ASSIGNED: _____________________ 2. POSITION/TITLE ON THIS CONTRACT: ______________________ 3. PROPOSED FUNCTION/ROLE ON THIS CONTRACT: __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


- 113 -

1. NAME OF INDIVIDUAL ASSIGNED: _____________________ 2. POSITION/TITLE ON THIS CONTRACT: ______________________ 3. PROPOSED FUNCTION/ROLE ON THIS CONTRACT: _________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 1. NAME OF INDIVIDUAL ASSIGNED: _____________________ 2. POSITION/TITLE ON THIS CONTRACT: ______________________ 3. PROPOSED FUNCTION/ROLE ON THIS CONTRACT: ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 114 -

7.15.1 RESUMES FOR BIDDER’S PERSONNEL ASSIGNED TO THIS CONTRACT The bidder should provide a detailed resume for each contract manager and on-site supervisor(s) to be assigned to this contract as listed in Section 7.7, above. Resumes submitted should also correspond directly to the chart provided in response to Section 7.6. NOTE: The bidder should submit at least one (1) acceptable resume for the bidder’s contract manager. The bidder should submit at least two (2) acceptable resumes for bidder’s on-site supervisor(s). Resumes should emphasize the relevant qualifications and experience of the individuals assigned in successfully providing services similar in size and scope to those required by this RFP. A description of the contract given as a reference should be provided and should show how the individual’s work under the contract relates to the services required by this RFP. Bidders are strongly urged to utilize the format specified below:


- 115 -

7.15.2 RESUME FORM: CONTRACT MANAGER(S) TITLE OR POSITION PROPOSED FOR THIS CONTRACT: _______________________ EMPLOYEE’S NAME: _____________________________________ YEARS EMPLOYED BY YOUR FIRM: _____________ CURRENT POSITION WITH YOUR FIRM: ____________________________________ TOTAL YEARS WORKED IN THE INDUSTRY PROVIDING SERVICES REQUIRED BY THIS RFP: _____________ EMPLOYMENT DATA: PROVIDE ONLY INFORMATION RELATED TO PRIOR EMPLOYMENT IN THE INDUSTRY PROVIDING SERVICES REQUIRED BY THIS RFP: 1. EMPLOYER NAME: ______________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF EMPLOYER’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY THIS REFERENCE: __________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES EMPLOYED: FROM _________ TO _________ LIST TOTAL NUMBER OF EMPLOYEES MANAGED: ______ PROVIDE A BRIEF DESCRIPTION OF DUTIES AT THIS JOB. EMPHASIZE DUTIES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ________________________ __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________

(RESUME FORM: CONTRACT MANAGER(S) CONTINUED ON FOLLOWING SHEET)


- 116 -

2. EMPLOYER NAME: ______________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF EMPLOYER’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY THIS REFERENCE: __________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES EMPLOYED: FROM _________ TO _________ LIST TOTAL NUMBER OF EMPLOYEES MANAGED: ______ PROVIDE A BRIEF DESCRIPTION OF DUTIES AT THIS JOB. EMPHASIZE DUTIES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ________________________ __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 3. EMPLOYER NAME: ______________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF EMPLOYER’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY THIS REFERENCE: __________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES EMPLOYED: FROM _________ TO _________ LIST TOTAL NUMBER OF EMPLOYEES MANAGED: ______ PROVIDE A BRIEF DESCRIPTION OF DUTIES AT THIS JOB. EMPHASIZE DUTIES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ________________________ __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

(RESUME FORM: CONTRACT MANAGER(S) CONTINUED ON FOLLOWING SHEET)


- 117 -

CONTRACT MANAGER(S)’ RELEVANT EDUCATION AND TRAINING: ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________

(MAKE ADDITIONAL COPIES OF THESE SHEETS IF, NECESSARY)


- 118 -

7.15.3 RESUME FORM: ON-SITE SUPERVISOR(S) TITLE OR POSITION PROPOSED FOR THIS CONTRACT: _______________________ EMPLOYEE’S NAME: _____________________________________ YEARS EMPLOYED BY YOUR FIRM: _____________ CURRENT POSITION WITH YOUR FIRM: ____________________________________ TOTAL YEARS WORKED IN THE INDUSTRY PROVIDING SERVICES REQUIRED BY THIS RFP: _____________ EMPLOYMENT DATA: PROVIDE ONLY INFORMATION RELATED TO PRIOR EMPLOYMENT IN THE INDUSTRY PROVIDING SERVICES REQUIRED BY THIS RFP: 1. EMPLOYER NAME: ______________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF EMPLOYER’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY THIS REFERENCE: __________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES EMPLOYED: FROM _________ TO _________ LIST TOTAL NUMBER OF EMPLOYEES MANAGED: ______ PROVIDE A BRIEF DESCRIPTION OF DUTIES AT THIS JOB. EMPHASIZE DUTIES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ________________________ __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________

(RESUME FORM: ON-SITE SUPERVISOR CONTINUED ON FOLLOWING SHEET)


- 119 -




- 120 -

ON-SITE SUPERVISOR(S)’ RELEVANT EDUCATION AND TRAINING: ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________

(MAKE ADDITIONAL COPIES OF THESE SHEETS, IF NECESSARY)


- 121 -

7.15.4 RESUME FORM: ON-SITE SUPERVISOR(S) TITLE OR POSITION PROPOSED FOR THIS CONTRACT: _______________________ EMPLOYEE’S NAME: _____________________________________ YEARS EMPLOYED BY YOUR FIRM: _____________ CURRENT POSITION WITH YOUR FIRM: ____________________________________ TOTAL YEARS WORKED IN THE INDUSTRY PROVIDING SERVICES REQUIRED BY THIS RFP: _____________ EMPLOYMENT DATA: PROVIDE ONLY INFORMATION RELATED TO PRIOR EMPLOYMENT IN THE INDUSTRY PROVIDING SERVICES REQUIRED BY THIS RFP: 1. EMPLOYER NAME: ______________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF EMPLOYER’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY THIS REFERENCE: __________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES EMPLOYED: FROM _________ TO _________ LIST TOTAL NUMBER OF EMPLOYEES MANAGED: ______ PROVIDE A BRIEF DESCRIPTION OF DUTIES AT THIS JOB. EMPHASIZE DUTIES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ________________________ __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________



- 122 -




- 123 -

ON-SITE SUPERVISOR(S)’ RELEVANT EDUCATION AND TRAINING: ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________ ______________________________________________________________________________

(MAKE ADDITIONAL COPIES OF THESE SHEETS IF, NECESSARY)


- 124 -

7.16 REFERENCES OF IMPLEMENTATIONS The bidder must provide at least one reference that has successfully integrated their document management application with Banner. 1. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ 2. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT YOUR FIRM PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ (MAKE ADDITIONAL COPIES OF THESE SHEETS IF, NECESSARY)


- 125 -

7.16.1 REFERENCES OF IMPLEMENTATIONS The bidder must provide the number of installation of your product as a enterprise wide solutions for Universities or Medical Institutions. Your system must also support multi-locations, other departments with divergent business units at several sites. 1. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ 2. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________


- 126 -

7.16.2 REFERENCES OF IMPLEMENTATIONS The bidder must provide the number of imaging and work flow systems implemented to date comparable in size and scope to UMDNJ. 1. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ 2. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________



- 127 -

7.16.3 REFERENCES OF FIRM The bidder should list references that clearly demonstrate the bidder’s proven capabilities in performing services of a similar size and scope to those required by this RFP. It is requested that references be given in the format below. The bidder should provide a comprehensive listing of contracts requiring work of a similar size and scope to those required by this RFP. References provided should be for work that has been successfully undertaken and completed by the bidder. These references will serve as a demonstration of the firm’s ability to successfully undertake and provide the services required by this RFP. A description of the contract should be included and should show how the referenced contract relates to the ability of the firm to provide the services required by this RFP. 1. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT YOUR FIRM PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


- 128 -

2. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT YOUR FIRM PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 3. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT YOUR FIRM PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


- 129 -

4. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT YOUR FIRM PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 5. NAME OF COMPANY PROVIDED AS A REFERENCE FOR YOUR FIRM: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT YOUR FIRM PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 130 -

7.17 LISTING OF ALL CONTRACTS LOST IN LAST THREE (3) YEARS The bidder should provide a complete list of all contracts the bidder has lost or has had terminated during the last three (3) years, along with the reason why each one was lost or terminated. Include the name of a contact person and phone number for each contract lost or terminated. 1. NAME OF FIRM: ___________________________________ NAME OF CONTACT PERSON AT FIRM: ________________________________ PHONE NUMBER OF CONTACT PERSON: _______________________________________ REASON FOR TERMINATION: _________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ 2. NAME OF FIRM: ___________________________________ NAME OF CONTACT PERSON AT FIRM: ________________________________ PHONE NUMBER OF CONTACT PERSON: _______________________________________ REASON FOR TERMINATION: _________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ 3. NAME OF FIRM: ___________________________________ NAME OF CONTACT PERSON AT FIRM: ________________________________ PHONE NUMBER OF CONTACT PERSON: ______________________________________ REASON FOR TERMINATION: _________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________


- 131 -

4. NAME OF FIRM: ___________________________________ NAME OF CONTACT PERSON AT FIRM: ________________________________ PHONE NUMBER OF CONTACT PERSON: _______________________________________ REASON FOR TERMINATION: _________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ 5. NAME OF FIRM: ___________________________________ NAME OF CONTACT PERSON AT FIRM: ________________________________ PHONE NUMBER OF CONTACT PERSON: _______________________________________ REASON FOR TERMINATION: _________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ 6. NAME OF FIRM: ___________________________________ NAME OF CONTACT PERSON AT FIRM: ________________________________ PHONE NUMBER OF CONTACT PERSON: u______________________________________ REASON FOR TERMINATION: _________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________



- 132 -

7.18 SUBCONTRACTOR DATA SHEET(S) If the bidder is proposing to use subcontractors, the following information should be completed and submitted with your bid. NOTE: If there is more than one (1) subcontractor, bidders should submit the following data for each subcontracting firm. It is suggested that bidders make blank copies of this section and complete a copy for each subcontractor. 1. PROVIDE SUBCONTRACTOR’S NAME, ADDRESS, CONTACT PERSON AND 24-HOUR PHONE NUMBER: FIRM NAME: ____________________________________ ADDRESS: _________________________________________________________________ ___________________________________________________________________________ CONTACT PERSON: ______________________________ 24-HOUR PHONE NUMBER: ________________________________ 2. LIST BELOW THE NAME(S), TITLE(S) AND FUNCTION(S), OF THE RESPONSIBLE OPERATING OFFICERS: NAME TITLE FUNCTION ____________________ __________________ __________________ ____________________ __________________ __________________ ____________________ __________________ __________________ ____________________ __________________ __________________ ____________________ __________________ __________________ 3. SPECIFY, IN DETAIL, THE FUNCTION(S) THE SUBCONTRACTOR WILL BE PERFORMING: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


- 133 -

(SUBCONTRACTOR DATA SHEET (CONTINUED)) 4. INDICATE BELOW THE SUBCONTRACTOR’S EXPERIENCE IN PERFORMING SIMILAR SERVICES TO THOSE REQUIRED BY THIS RFP: __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 5. NAME AND ADDRESS, CONTACT NAME AND TELEPHONE NUMBER OF FIRM PROVIDED AS A REFERENCE FOR SUBCONTRACTOR: NAME OF COMPANY PROVIDED AS A REFERENCE FOR THE SUBCONTRACTOR: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT THE SUBCONTRACTOR PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


- 134 -

(SUBCONTRACTOR DATA SHEET (CONTINUED)) NAME OF COMPANY PROVIDED AS A REFERENCE FOR THE SUBCONTRACTOR: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT THE SUBCONTRACTOR PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ NAME OF COMPANY PROVIDED AS A REFERENCE FOR THE SUBCONTRACTOR: ________________________________________________________________ ADDRESS: ________________________________________________________________ ___________________________________________________________________________ NAME OF COMPANY’S MANAGEMENT PERSON THAT THE UNIVERSITY MAY CONTACT TO VERIFY REFERENCE: _______________________________________ PHONE NUMBER OF INDIVIDUAL LISTED ABOVE: ( )-___-____ DATES UNDER CONTRACT: FROM _________ TO _________ PROVIDE A BRIEF DESCRIPTION OF SERVICES THAT THE SUBCONTRACTOR PROVIDED FOR THIS COMPANY UNDER CONTRACT. EMPHASIZE SERVICES THAT ARE SIMILAR TO THOSE REQUIRED BY THIS RFP: __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________



- 135 -

7.19 BIDDER’S FINANCIAL CAPACITY The bidder should provide proof of the firm’s financial capacity and capabilities to undertake and successfully provide services required under this contract. A financial statement for the most recent fiscal year or bank reference is acceptable. The University reserves the right to check and evaluate the firm’s financial capacity and capability by any means deemed appropriate. The submission of this information with the bid is desired by the University, but is not mandatory. However, if a bidder chooses not to include this information with its bid, this information may be requested from the bidder during the evaluation process. If the bidder is requested to submit this information during the evaluation process, the bidder will be required to submit it, and failure to do so will be cause for finding the bid non-responsive. Attach information to this form.


- 136 -

8.0 PRICE SHEET AND SUPPORTING DETAIL Unlimited site license for the Document Imaging and Management Solution. $____________________________ The Annual Maintenance and Upgrade cost for the Document Imaging and Management Solution. $_____________________________ The Integration Cost for the Document Imaging and Management Solution. $_____________________________. The Initial Implementation Cost for the Document Imaging and Management Solution. $__________________________. The Recurring I T Support Cost for of the Document Imaging and Management Solution. $___________________________________.


- 137 -

9.0 REQUIRED FORMS

• Ownership Disclosure Form • MacBride Principle Certification • Affirmative Action Employee Information • Business Associate Agreement • EO 134 Forms


- 138 -

OWNERSHIP DISCLOSURE FORM INSTRUCTIONS: Provide below the names, home addresses, dates of birth, offices held and any ownership interest of all officers of the firm named above. If addition space is necessary, provide on an attached sheet. Name Home Address Date of Birth Office Held Ownership Interest __________________________________________________________________________________________________ __________________________________________________________________________________________________ INSTRUCTIONS: Provide below the names, home addresses, dates of birth, and ownership interest of all individuals not listed above, and any partnerships, corporations and any other owner having a 10% or greater interest in the firm named above. If a listed owner is a corporation or partnership, provide below the same information for the holders of 10% or more interest in that corporation or partnership. If additional space is necessary, provide that information on any attached sheet. If there are no owners with 10% or more interest in your firm, enter “None” below. Complete the certification at the bottom of this form. If this form has previously been submitted to the UMDNJ, Purchasing Department in connection with another bid, indicate changes, if any, where appropriate, and complete the certification below. Name Home Address Date of Birth Office Held Ownership Interest __________________________________________________________________________________________________ __________________________________________________________________________________________________ COMPLETE ALL QUESTIONS BELOW Within the past five years has another company or corporation had a 10% or greater interest in the firm identified above? (If yes complete and attach a separate disclosure form reflecting previous ownership interests.) Yes _____ No _____ Has any person listed in this form or its attachments ever been arrested, charged, indicted, plead guilty or been convicted in a criminal or disorderly persons matter by the State of New Jersey, any other Political subdivision state or the U.S. Government? (If yes, attach a detailed explanation for each instance.) Yes _____ No _____ Has any person or entity listed in this form or its attachments ever been excluded suspended, debarred or otherwise declared ineligible by any agency of government from bidding or Contracting to provide services, labor, material or supplies? (If yes, attach a detailed explanation for each instance.) Yes _____ No _____ Are there now any criminal matters, suspension or debarment proceedings pending in which the firm and/or its officers and/or managers are involved? (If yes, attach a detailed explanation for each instance.) Yes _____ No _____ Has any federal, state or local license, permit or other similar authorization, necessary to perform the work applied for herein and held or applied for by any person or entity listed in this form, been suspended or revoked, or been the subject of any pending proceedings specifically seeking or litigating the issue of suspension or revocation? (If yes to any part of this question, attach a detailed explanation for each instance.) Yes _____ No _____ CERTIFICATION: I, being duly sworn upon my oath, hereby represent and state that the foregoing information and any attachments thereto to the best of my knowledge are true and complete. I acknowledge that the State of New Jersey is relying on the information contained herein and thereby acknowledge that I am under a continuing obligation from the date of this certification through the completion of any contracts with the State to notify the State in writing or any changes to the answers or information contained herein. I acknowledge that I am aware that it is a criminal offense to make a false statement or misrepresentation, and if I do so, I recognize that I am subject to criminal prosecution under the law and that it will also constitute a material breach o my agreement(s) with the State of New Jersey and that the State at its option, may declare any contract(s) resulting from this certification void and unenforceable. I, being duly authorized, certify that the information supplied above, including all attached pages, is complete and correct to the best of my knowledge. I certify that all of the foregoing statements made by me are true. I am aware that if any of the foregoing statements made by me are willfully false, I am subject to punishment. (Print or Type) Date:_______________________ ________________________________________Signature ________________________________________Name ________________________________________Title


- 139 -

NOTICE TO ALL BIDDERS REQUIREMENT TO PROVIDE A CERTIFICATION IN COMPLIANCE WITH MACBRIDE PRINCIPLES

AND NORTHERN IRELAND ACT OF 1989 Pursuant to Public Law 1995, c.134, a responsible bidder selected, after public bidding, by the Director of the Division of Purchase and Property, pursuant to N.J.S.A. 52:34-12, or the Director of the Division of Building and Construction, pursuant to N.J.S.A. 52-32-2, must complete the certification below by checking one of the two representations listed and signing where indicated. If a bidder who would otherwise be awarded a purchase, contract or agreement does not complete the certification, then the Directors may determine, in accordance with applicable law and rules, that it is in the best interest of the State to award the purchase, contract or agreement to another bidder who has completed the certification and has submitted a bid within five (5) percent of the most advantageous bid. If the Directors find contractors to be in violation of the principles which are the subject of this law, they shall take such action as may be appropriate and provided for by law, rule or contract, including, but not limited to, imposing sanctions, seeking compliance, recovering damages, declaring the party in default and seeking debarment or suspension of the party. I certify, pursuant to N.J.S.A. 52:34-12-2, that the entity for which I am authorized to bid: ____ has not ongoing business activities in Northern Ireland and does not maintain a physical presence therein through the operation of offices, plants, factories or similar facilities, either directly or indirectly through intermediaries, subsidiaries or affiliated companies over which it maintains effective control; or ____ will take lawful steps in good faith to conduct any business operations it has in Northern Ireland in accordance wit the MacBride principles of nondiscrimination in employment as set forth in N.J.S.A. 52:18A-89.8 and in conformance with the United Kingdom’s Fair Employment 9Northern Ireland) Act of 1989, and permit independent monitoring of their compliance with those principles. I certify that the foregoing statements made by me are true. I am aware that if any of the foregoing statements made by me are willfully false, I am subject to punishment. ____________________________________________ Dated: ______________ Signature of Bidder ____________________________________________ Print or Type Name ____________________________________________ Title


- 140 -

AFFIRMATIVE ACTION DOCUMENTATION

Dear Vendor: As a State Agency, New Jersey State Regulations N.J.A.C. 17:27 requires us to obtain documentation regarding our vendors’ “Affirmative Action” status. In order for us to be in compliance and do business with your company for the procurement of goods and services, it will be necessary for you to provide only one of the following documents with your bid/proposal response. 1. A State of New Jersey “Certificate of Employee Information Report Approval,” or 2. A Form AA/302 Affirmative Action Employee Information Report, or 3. A Federal letter of approval from the Department of Labor. Please understand the importance of this request. Although you may have already submitted this information, our files must be updated annually with current employment statistics. Your noncompliance of this request may result in suspension of any future business with your company. Sincerely, Purchasing Services


- 141 -

SPECIAL VENDOR PROGRAM SET-ASIDE VENDOR POLICY/REQUIREMENTS

I. PURPOSE

To outline goals and action plans to support and enhance the University's vendor participation toward eradicating racial, ethnic, and gender discrimination from society at large through the New Jersey Set-Aside Program.

II. ACCOUNTABILITY

The Vice President for Administration shall ensure compliance with this policy. The Assistant Vice President for Supplier Diversity and Vendor Development shall implement this policy.

III. DEFINITIONS

Set-Aside Program - The University's commitment to ensure that a fair percentage of the total purchases for supplies, equipment, services, and construction is placed with small, minority and women businesses. The University has established a 15 percent goal for Small Business, a 7 percent goal for Minority Businesses, and 3 percent for Women Businesses.

Small Businesses - Independently owned and operated businesses whose principal place of business is in New Jersey with 100 or fewer full-time employees.

Minority Business - A business in New Jersey which is a sole proprietorship, partnership or corporation at least 51% of which is owned and controlled by persons who are African-American, Latino or Asian-American.

A minority is a member of one of the following groups:

African-American - having origins in any of the black racial groups of

Africa.

Asian-American - a person having origins in any of the original people of the Far East, Southeast Asia, and Indian subcontinent, Hawaii or the Pacific Islands.

Latino - of Spanish culture or origins in Mexico, Puerto Rico, Cuba,

Central or South America, or the Caribbean Islands, regardless of race.


- 142 -

Women Business - A business in New Jersey which is a sole proprietorship, partnership or corporation at least 51% percent of which is owned and controlled by women.

Construction Contract - any contract involving any construction, renovation, reconstruction, rehabilitation, alteration, conversion, extension, demolition, repair or other changes or improvements of any kind whatsoever of any structure or facility. The term also includes the supervision, inspection and other on-site functions incidental to actual construction.

IV. POLICY

A. Requirements:

1. General Guidelines:

a. As part of its Supplier Diversity and Vendor Development encompassing small, minority and women businesses, the University is committed to actively and affirmatively seek set aside business relations. The goal is to ensure that an equitable portion of the University's total purchases for construction, goods, equipment and services is placed with set-aside businesses. Vendors are to complete the Sub-Contractor Utilization Report in order to comply with target goals set by the University.

b. All academic, healthcare and administrative units of the University are

encouraged to examine the commodities and services listed in the various set-aside business-buying guides for consideration of set-aside purchases.

2. UMDNJ Set-Aside Program Goals and Targets:

a. Small Business 15%

b. Minority 7%

c. Women 3%

3. Other UMDNJ Policies and Procedures:

The UMDNJ Set-Aside Program requirements shall apply to all other policies and procedures of the UMDNJ Department of Purchasing Services.


- 143 -

B. Responsibilities 1. The Assistant Vice President for Supplier Diversity and Vendor Development is responsible for:

a. Actively and affirmatively seeking set-aside business relations;

b. Ensuring that an equitable portion of the University's total purchases is placed with set-aside concerns; and,

c. Reporting on a quarterly basis to the Vice President for Finance and

Treasurer, the usage and effectiveness of the set-aside program.


- 144 -

Sub-Contractor Utilization Report

Project Name

Date

Purchase Order #

Project Coordinator

Representative

Address

Phone #

Prime Vendor Representative – Please fill in the following sub-contractor information (If applicable). List subcontractor vendor type as follows: (1) Small Business, (2) Minority, (3) Women-Owned. Photocopy this form as needed to list all subcontractors you will be utilizing for this awarded contract. Sub-Contactor/Vendor Name Type:__

Contact Person

Address

Phone #

* Amt. $ Pd. To Sub-contractor

Scope/Type of Service

Fed. ID #

Sub-Contractor/Vendor Name

Type:__

Contact Person

Address

Phone #

* Amt. $ Pd. To Sub-contractor

Scope/Type of Service

Duration period of Sub-Contract

Prepared By: ______________________________________ Phone #: _________________ Print Name ______________________________________ Bid/Bid #: ________________________ Print Title ______________________________________ Term of Signature Contract: _________________________ Return to: UMDNJ Director of Purchasing *Amount Paid to Subcontractor, by

Liberty Plaza, 2nd Floor invoice: By-Weekly, Monthly, etc. 335 George Street New Brunswick, New Jersey 08903


- 145 -

Business Associate Agreement Involving the Access to Protected Health Information

The following provisions (Amendment) are added and incorporated into the attached (Name of Agreement) (“Agreement”) entered in between UMDNJ-related entity (“Covered Entity”) and Name of Contracting Party (Business Associate), herein collectively referred to as the “Parties”. Any conflict in the terms of the Agreement and this Amendment shall be governed by the terms of this Amendment. WHEREAS Covered Entity is the state university of health sciences in New Jersey which maintains and operates (fill in the name of the covered entity); WHEREAS Business Associate performs _______________ work which requires it to have access to confidential health information that is considered protected pursuant to federal, state and/or local laws and regulations; WHEREAS Covered Entity desires to protect the confidentiality and integrity of the information noted above, prevent inappropriate disclosure of such information and comply with all applicable federal, state and/or local laws and regulations governing the use and disclosure of such information; NOW therefore, the parties agree as follows: 1. Confidentiality and Disclosure of Patient Information. The Parties to this Agreement agree that Business Associate, its agents and employees may have access to confidential protected health information (“PHI”), including but not limited to demographic information. As used herein, PHI shall mean individually identifiable health information, as defined in 45 CFR § 164.501which includes health information that (i) identifies an individual (or can be used to form a reasonable basis upon which to identify an individual), (ii) is created or received by a health care provider, health plan, employer, or health care clearinghouse; (iii) relates to the past, present, or future physical or mental health or condition of an individual; the provision of health care to an individual; or the past present, or future payment for the provision of health care to an individual; and (iv) is shared, transmitted or otherwise communicated between Covered Entity and Business Associate (including subcontractors or agents of such parties) in connection with this Agreement.


- 146 -

The Parties to this Agreement agree that Business Associate: will not use or further disclose PHI other than as permitted by this Agreement; will ensure that all transmissions of PHI are authorized and in accordance with the privacy requirements of the Health Insurance Portability and Accountability Act of 1999, as amended from time to time (“HIPAA”) and will not use or disclose PHI in a manner that violates or would violate HIPAA; will implement administrative, physical and technical safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of the Electronic Protected Health Information that it creates, receives, maintains or transmits on behalf of the Covered Entity. will use appropriate safeguards to prevent use or disclosure of the information other than as provided for by its contract; will (i) promptly report to Covered Entity any use or disclosure of PHI not provided for by this Agreement, including but not limited to systems compromises, immediately upon becoming aware of such unauthorized use or disclosure; (ii) will take all necessary steps to prevent and limit any further improper or unauthorized disclosure and misuse of such information; and (iii) indemnify and hold Covered Entity, its directors, officers, agents, and employees harmless from all liabilities, costs and damages arising out of, or in any manner connected with, the disclosure by Business Associate, its employees, agents, or independent contractors; and (iii) permit Covered Entity to investigate any such report and to examine Business Associate’s premises, records and premises; will promptly report to the Covered Entity any security incident of which the Business Associate becomes aware; a security incident is defined as the attempted or successful unauthorized access, use, disclosure, modification, or destruction of information or interference with system operations in an information system. will ensure that to the extent that the Business Associate it uses one or more agents, including subcontractors, to provide services under this Agreement, such subcontractors or agents who receive or have access to PHI that is received from Covered Entity, or created or received by Business Associate on behalf of Covered Entity, will comply with the same restrictions and conditions to which Business Associate is bound by entering into a separate written agreement between Business Associate and its subcontractors to that effect; will ensure that any agent, including a subcontractor, to whom the Business Associate provides electronic protected health information, agrees to implement reasonable and appropriate safeguard to protect the electronic protected health information.


- 147 -

will, at the request of, and in the time and manner designated by the Covered Entity, provide access to the PHI to the Covered Entity or the individual to whom such PHI relates or his or her authorized representative in order to meet a request by such individual under promptly notify Covered Entity as required by 45 CFR §164.524; will, at the request of, and in the time and manner designated by the Covered Entity, incorporate any and all amendments or corrections to PHI when notified by Covered Entity that such information is inaccurate or incomplete in accordance with 45 CFR § 164.526; will, at the request of, and in the time and manner designated by the Covered Entity, provide to the Covered Entity such information as is requested by the Covered Entity, including but not limited to current policies and procedures, operational manuals and/or instructions, and/or employment and/or third party agreements, to permit Covered Entity to respond to a request by an individual for an accounting of the disclosures of the individual’s PHI in accordance with 45 CFR 528; will make its internal practices, books and records relating to the use and disclosure of PHI available to the Secretary of Health and Human Services governmental officers and agencies and Covered Entity for purposes of determining compliance with 45 CFR §§ 164.500-534; and will adhere to the Covered Entity’s HIPAA policies and procedures. Termination for violation of disclosure restrictions. Notwithstanding any other provision of this Agreement, Covered Entity may terminate this Agreement and any related agreements, without penalty if Covered Entity determines that Business Associate has violated a material term of this Agreement’s restrictions, safeguards or requirements relating to the proper use and disclosure of PHI. Alternatively, Covered Entity may choose to: (i) provide Business Associate with written notice of the existence of a breach of the terms of this Agreement relating to PHI; and (ii) afford Business Associate an opportunity to cure such breach upon mutually agreeable terms. In the event that mutually agreeable terms cannot be achieved within 10 business days, Business Associate must cure said breach to the satisfaction of the Covered Entity within 10 business days. Covered Entity may immediately terminate this Agreement for Business Associate’s failure to cure in the manner set forth in this section. Return/Destruction of PHI. Business Associate agrees that, upon termination of this Agreement for any reason, it will if feasible, return or destroy all PHI maintained in any form (including ensuring the return or destruction of all PHI in the possession of its subcontractors or agents) received from, or created or received by it on behalf of Covered Entity and retain no copies of such information. An authorized representative of Business Associate shall certify in writing to covered Entity, within five (5) days from the date of termination or other expiration of this Agreement, that all PHI has been returned or disposed of as provided above, (including all PHI in the possession of its subcontractors or agents) and that neither Business Associate nor its subcontractors or agents retains any such PHI in any form.


- 148 -

No Feasible Return/Destruction of PHI. To the extent that the return or destruction of PHI as provided for in Section 4 above is not feasible, Business Associate shall extend the precautions of this Agreement to the information and limit further uses and disclosures to those purposes that make the return or destruction of the information infeasible. Notwithstanding any other provision of this Agreement to the contrary, Business Associate shall remain bound and shall ensure that the provisions of this Agreement, similarly bind its subcontractors and agents even after termination of this Agreement, until such time as all PHI has been returned or otherwise destroyed as provided in accordance with this section. Disclaimer. Covered Entity makes no warranty or representation that compliance by Business Associate with this Agreement or the HIPAA regulations will be adequate or satisfactory for Business Associate’s own purposes or that any information in the possession of Business Associate or control, or transmitted or received by Business Associate, is or will be secure from unauthorized use or disclosure, nor shall Covered Entity be liable to Business Associate for any claim, loss or damage relating to the unauthorized use or disclosure of any information received by Business Associate from Covered Entity or from any other source. Business Associate is solely responsible for all decisions made by Business Associate regarding the safeguarding of PHI. Legal Action. Business Associate agrees that unauthorized disclosure of PHI may give rise to irreparable injury to the patient or to the owner of such information and accordingly the patient or owner of such information may seek legal remedies against Business Associate. Business Associate further agrees that the remedy at law for any breach by it of the terms of this Agreement shall be inadequate and that the damages resulting from such breach and are not be susceptible to being measured in monetary terms. Accordingly, in the event of a breach or threatened breach by Business Associate of the terms of this Agreement, covered Entity shall be entitled to immediate injunctive relief and may obtain a temporary order restraining any threatened or further breach. Nothing herein shall be construed as prohibiting Business Associate from pursuing any other remedies available to Business Associate for such breach or threatened breach, including recovery of damages from Business Associate. Business Associate further represents that it understands and agrees that the provisions of this agreement shall be strictly enforced and construed against it. Construction. This Agreement shall be construed as broadly as necessary to implement and comply with HIPAA. The parties agree that any ambiguity in this Agreement shall be resolved in favor of a meaning that complies and is consistent with HIPAA. Severability. In the event that any provision of this Agreement violates any applicable statute, ordinance or rule of law in any jurisdiction that governs this Agreement, such provision shall be ineffective to the extent of such violation without invalidating any other provision of this Agreement.


- 149 -

Authority. The persons signing below have the right and authority to execute this Agreement for their respective entities and no further approvals are necessary to create a binding agreement. Governing Law. This Agreement shall be governed by the laws of the State of New Jersey and shall be construed in accordance therewith. Reference: Code of Federal Regulations, Title 45, Part 160 et seq. IN WITNESS WHEREOF, the parties have executed this Agreement the day and year first written below. Covered Entity Business Associate By: ___________________________ By: ___________________________ Title: __________________________ Title: _________________________ Date: _________________________ Date: _________________________

REQUEST FOR PROPOSAL (RFP)

Technology

maintenance fordocument imaging

additional work special project

name

intelligent character recognition

list total number

web site referenced

descriptionsupports workstations running

make additional copies