Request for Proposal
Electronic Document Management Systems
for
University of California, Davis
DRAFT
November 15, 1999
Due Date: February 1, 2000 4:00 p.m. PST
Request for Proposal: Document Management
University of California, Davis
Table of Contents
Section 0. Instructions ............................................................................................................. 4
Section 1. General and Contract Requirements ..................................................................... 5
1.1 Overview of UCD Computing Environment ............................................................... 5
1.2 Scope ............................................................................................................................ 5
1.3 Submittals .................................................................................................................... 6
1.4 Format of RFP Response ............................................................................................ 6
1.5 Questions ..................................................................................................................... 7
1.6 RFP Amendments ........................................................................................................ 7
1.7 Request for Supplementary Information.................................................................... 7
1.8 RFP Distribution .......................................................................................................... 7
1.9 Costs for Proposal Development ............................................................................... 8
1.10 Disclosure of Information ........................................................................................... 8
1.11 Vendor Pre-Qualifier Criteria ...................................................................................... 8
1.12 Basis of Award ............................................................................................................. 8
1.13 Produce Use Requirements ...................................................................................... 10
1.14 Prime Contractor Relationship ................................................................................. 10
1.15 Oral Presentations ..................................................................................................... 10
1.16 Vendor Information.................................................................................................... 10
1.17 Terms and Conditions ............................................................................................... 11
1.18 General Information................................................................................................... 13
Section 2. Overview .................................................................................................... 15
2.1 Overview of UCD Document Management Needs ................................................... 15
2.2 Type of Documents ................................................................................................... 16
2.3 Volumes...................................................................................................................... 16
2.4 Security Requirements .............................................................................................. 17
2.5 Current/Future System Operation - HW/SW Infrastructure .................................... 17
Section 3. Proposed Functional Requirements ........................................................ 19
3.1 Document Management System Functional Requirements ................................... 19
3.2 Imaging Requirements .............................................................................................. 30
3.3 Workflow Requirements ............................................................................................ 38
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Section 4. Proposed Technical Requirements .......................................................... 40
4.1 Architectural Requirements ...................................................................................... 40
4.2 Storage Requirements ................................................................................................ 42
Section 5. Proposed Support Requirements ............................................................ 44
5.1 Maintenance & Support ............................................................................................. 44
5.2 Training ...................................................................................................................... 44
5.3 Documentation........................................................................................................... 45
Section 6. Pricing ........................................................................................................ 46
6.1 Software ...................................................................................................................... 46
6.2 Hardware ..................................................................................................................... 46
6.3 Installation ................................................................................................................... 48
6.4 Training ....................................................................................................................... 48
6.5 Documentation ............................................................................................................ 48
6.6 Shipping ...................................................................................................................... 48
Section 7. Vendor Qualifications and Experience .................................................... 49
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Section 0
Section 0. Instructions
Vendors have been provided with a floppy disk, containing the RFP as a Microsoft Word 2000
document. All questions to which the vendor must respond are numbered and are in bold, italicized
print. Vendors must provide their responses in the Word document to facilitate the University's review.
Attachments may be included as part of a response to any question, however the attachment number
must be clearly indicated next to the corresponding question. Accordingly, all attachments must clearly
be marked with the corresponding question number.

Vendors must supply 1 original paper and 2 paper copies of their response.

Vendors may include an overview of their proposal.

Vendors should provide a total price for the proposed system.

On-going maintenance and support costs must be described separately.

Any on-going or third-party software licensing must be described separately.

All items described in the vendor’s response will be assumed to be included in the total
proposed price unless clearly indicated.
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Section 1
Section 1. General and Contract Requirements
1.1
Overview of UCD Computing Environment
The University of California, Davis (UCD), founded 1905, is a public, educational institution. The
university, one of nine campuses, has a student enrollment of over 24,000 undergraduate and graduate
students, supported by a faculty and staff of over 16,000 personnel.
We have an academic computing environment utilizing predominantly Sun Microsystems, Inc. ESeries computers, and an administrative computing environment utilizing Sun E-Series, HP K-Series,
and Dell/Compaq Windows NT/Citrix-based hardware platforms.
The University's network
infrastructure is TCP/IP based. The notion of a distributed database management system operating in
an Internet/Intranet, client/server and/or thin-client (i.e., Citrix) application environment with a
scaleable platform has been adopted by UCD as an excellent way to develop and deliver system-wide
administrative data and services across the expanding University network.
Configurations proposed in response to this RFQ must not degrade, obstruct or negatively impact the
current or expected functionality of the communications networks, hardware, or software. Vendors
whose proposals include elements/limitations, which would impact any component of the system, i.e.
hardware, software, or communications network, must specifically state the consequences of that
impact. The University of California, Davis, reserves the right to eliminate vendors from consideration
based upon their failure to comply with this requirement.
1.2
Scope
The primary intent of this RFP is to provide vendors with information and specifications for the
preparation of comprehensive proposals (specifications and pricing to include discounts) to include the
software, recommendations on hardware architecture and capacity, and estimates of both vendor and
client installation/implementation support needed to successfully deploy a document management
system for one or more departments on the UCD campus over an eighteen-month period.
Selection will be based on the vendor's ability to fully satisfy the functional and technical requirements
of this system, proposed pricing structure (including discounts), and the ability to deliver the required
service and support.
This RFP is not intended to preclude or limit vendors in any way from offering creative and economic
solutions to our needs.
The hardware, software, and services being proposed shall provide all identified features and the
vendor must comply with all requirements of this RFP.
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1.3
University of California, Davis
Submittals
Vendor is required to submit, one (1) signed original and two (2) paper copies of this proposal. The
“official copy” containing the required original signatures shall be identified by a sealed envelope
marked and addressed as required. The remaining copies may be boxed for convenience. Each copy
must include a complete request for proposal form and any other required information for University
evaluation.
RFQ responses must be delivered NO LATER THAN February 1, 2000 at 4:00 PM to the address
below:
Mr. Alex Martin
Buyer Supervisor
University of California-Davis
Purchasing Department
Davis, CA 95616-8690
Please respond to this request even if a "No Bid" is submitted.
Proposal(s) received after the RFP closing date shall be rejected and returned unless the delay is due to
negligence of the University. It is the vendor’s sole responsibility to assure that its proposal is received
on or before the RFP closing date. Telegraphic, facsimile, and oral proposals shall not be accepted.
A vendor may withdraw its proposal any time prior to the fixed deadline for receipt of proposals,
February 1, 2000 (closing date) by submitting to the University Contact, Alex Martin, a written
notification of its withdrawal, signed by the vendor or its authorized agent. The vendor may thereafter
submit a new or modified proposal prior to such date and time set for receipt of proposal.
Proposals in the possession of the University at the closing time for receipt of proposals will be
considered final and will be held as an irrevocable offer for one hundred (120) days from that date.
1.4
Format of RFP Response
Proposal must be submitted in a same format as the RFP, inclusive of all sections and appendices.
Vendors are required to identify each section of the RFP and respond accordingly. Vendors must
submit answers for all appropriate sections in exactly the same section sequence, with sections
identified as in the RFP, do not retype the section text. The proposal shall be prepared in a
straightforward and concise manner, identifying clearly and succinctly any and all Deviations, and
Enhancements. Emphasis should be placed on conformance to the RFP instructions, responsiveness to
the RFP requirements, and completeness and clarity of content. The proposal should include a Table of
Contents that gives page numbers and should be in sufficient detail to facilitate easy reference to all
requested information.
The proposal shall be signed by an individual who is authorized to bind the vendor contractually and
shall show the name of the company and the RFP identification number 98-#######. The signature
should be presented at the beginning of the proposal. The name and title of the individual signing the
form should be typed immediately below the signature. An unsigned proposal shall be rejected.
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1.5
University of California, Davis
Questions
Questions of a technical nature should be mailed or emailed to the following address:
Pat Kava
One Shields Avenue
University of California-Davis
Information Resources Department
Davis, CA 95616
(530) 757-3412
mpkava@ucdavis.edu
Questions regarding contractual requirements or RFP status should be mailed to the following address:
Alex Martin
One Shields Avenue
University of California-Davis
Purchasing Department
Davis, CA 95616-8690
(530) 757-8717
Fax: (530) 757-8720
1.6
RFP Amendments
The University may modify the RFP prior to the date set for its receipt of proposal, by issuance of
amendments, sent by facsimile, overnight courier, or certified mail with return receipt requested to all
vendors who receive a copy of this RFP from the University. Amendments will be clearly marked as
such. Each amendment will be numbered consecutively and will become part of this RFP.
Any vendor who fails to receive such amendments shall not be relieved of any obligation under this
proposal as submitted.
No oral or written statements made by University personnel shall be considered an amendment to this
RFP unless the statements is contained in a written document identified as a written amendment to this
RFP.
1.7
Request for Supplementary Information
The University may request a vendor to furnish such supplementary information as is sufficient, in the
opinion of the University, to assure the University that a vendor's technical competence, business
organization, and financial resources are adequate to successfully satisfy the University's requirements
under any resultant order(s) and/or to clarify any other aspect of a proposal submitted as a result of this
Request for Proposal.
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1.8
University of California, Davis
RFP Distribution
The University is the agency authorized to distribute proposals/quotes.
Distribution of
proposals/quotes to parties other than those specifically designated by the University is not authorized.
Failure to observe this guideline may result in vendor disqualification.
1.9
Costs for Proposal Development
All costs associated with the development of the proposal shall be borne entirely by the vendor.
1.10 Disclosure of Information
All information and materials submitted to the University in response to this RFP may be reproduced
by the University for the purpose of providing copies to authorized University personnel involved in
the evaluation of the proposals but shall be exempt from public inspection under the California Public
Records Act until such item as an Agreement is executed. Once an Agreement is executed, the
California Public Records Act limits the University’s ability to withhold data to trade secrets, as
defined by statute. If a vendor’s proposals contains any such trade secrets that the vendor does not
want disclosed to the public, subsequent to the execution of the Agreement, each sheet of such
information must be marked by the vendor as a “trade secret.” If, after the Agreement is executed, a
third party requests a copy of any vendor’s proposal and such documents contain material marked
“trade secret,” the University shall withhold that information if it meets the statutory definition of trade
secret and the vendor agrees to defend, indemnify, and hold harmless the University in any subsequent
legal action based on its withholding.
The University shall have the right to use and disclose information marked as a “trade secret” under the
following conditions:
1. Such information was already in possession of the University.
2. Such information has entered the public domain other than by the University’s breach of any
agreement to keep it confidential.
3. Such information is obtained lawfully from a third party.
4. Such information has been provided to a third party without confidentiality obligations.
1.11 Vendor Pre-Qualification Criteria
Important characteristics of the successful vendor shall be flexibility and responsiveness, especially
with regards to post-installation activities, such as assessing how well the selected system
accommodates the functional requirements, and to what degree does the vendor's hardware/software
combination support other third-party products (both hardware and software).
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1.12 Basis of Award
Proposal will be evaluated on a lowest cost per quality-weighted point basis using the categories shown
below. Points will be awarded for factors other than costs. To determine the lowest cost per quality
point each bidder's proposed cost of the project will be divided by the total quality points awarded to
that particular bidder's proposal. To determine the total quality points, an average will be taken of the
total points awarded by individual evaluators. Where more than one cost figure is involved, the
different costs may be weighted in order to establish a single cost. The resulting average of quality
points will be divided into the total cost to determine the cost per quality point.
The University will review all submittals and, if the University determines it necessary, select one or
more of the top finalists to make oral presentations to a University-selected committee. Proposals
selected for oral presentations will receive additional quality points based on the committee's
evaluation.
Responses that are incomplete in that there has been a failure to respond in all of the requested areas
may be disqualified. The University reserves the right to set the criteria for and make this determination independently in each case.
The University reserves the right to accept, reject, or waive any irregularities in any bid proposal. The
University reserves the right to award a contract after reviewing, evaluating, comparing all bid
proposals and negotiating an agreement pursuant to the following criteria:
1) Specifications: Ability to meet or exceed the functional and technical requirements listed in this
RFP;
 Functional capabilities of system proposed.
 Technical quality of proposal (architecture, operations).
 Degree of third party support (hardware and software) for proposed hardware/OS
configurations.
 Fit of solution to UCD environment.
2) Support: Bidder's qualifications and experience in providing the maintenance, functional and
technical support, training, and documentation required to implement and sustain this system.
3) Pricing: Bidders proposed pricing.
4) Vendor Qualifications and Experience: Bidder’s capability to remain a viable competitor in this
marketplace.
5) Responsiveness: Bidder's demonstrated understanding of the University's requirement, overall
approach and thoroughness of the proposal and in submitting all information designated and
requested within this request.
6) Warranty: Type of warranty, warranty period and response time, refer to terms and conditions for
minimum requirement.
7) Acceptance: of all University terms and conditions.
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The vendor whose proposal has the lowest cost-per-quality point score will be awarded the opportunity
to engage in final negotiations, if necessary, on the provisions of the Agreement. If, however, the
University and the vendor with the lowest cost-per-quality point score are unable to reach agreement,
the University reserves the right to cease negotiations with that vendor and either award the vendor
with the next lowest quality point score the opportunity to negotiate or reject all proposals. If the
parties are unable to reach agreement, the University reserves the right to cease negotiations with the
second vendor and either award the vendor with the third lowest quality point score the opportunity to
negotiate, or reject all proposals, and so on until either agreement on the provisions of the Agreement is
reached or the University rejects all proposals.
1.13 Product Use Requirements
This RFP requires that all hardware and system software product bids be currently in use by at least three other
customers and generally available by the vendor or subcontractor for a period of six months. System software
is defined as that general software required by the hardware for the operation such as the operating system,
database management systems, compilers, commercially available off-the-shelf software, and communications
software. Unreleased or Beta Test hardware and software must have prior approval by UCD before it is
proposed. It is understood that applications software required to be built is excluded from this provision.
1.14 Prime Contractor Relationship
UCD intends to contract only with the vendor of the winning proposal, to be known as the Prime Contractor.
The vendor selected shall be solely responsible for contractual performance. Subcontracting assignments are
allowed under this contract but UCD reserves the right to request information about any subcontracting
relationship. In the event of a subcontracting arrangement, the prime contractor assumes all responsibility for
delivery, installation, maintenance, and any support service, including documentation, that is supplied by the
subcontractor.
Vendors who bid components for which he/she is not an authorized dealer shall bear the responsibility to
ensure that the replacement, service, training, and maintenance of said components shall equal or exceed the
original manufacturer or the authorized dealer. Original manufacturer upgrades, fixes, or any other
enhancement to that component shall be made available to UCD under the same conditions as the original
equipment manufacturer or dealer provides.
1.15 Oral Presentations
Selected vendors may be required to make an oral presentation of their proposal. This presentation will be
made to the evaluation staff and executive staff responsible for awarding this contract. This opportunity is
given to allow vendors the chance to further define the primary features and benefits of their proposal, to allow
clarification of weak areas in their proposal, and to permit limited questions from the audience. Oral
presentations are mandatory if requested.
Presentation format is left to the discretion of the vendor. The presentation room will be equipped with
audio/visual equipment as required. Presentations will be limited to a three-hour period, which includes
questions and answers.
In the oral presentation, vendors will be required to provide the following information with their proposals:
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



University of California, Davis
Hardware and software configuration
Functional capabilities
Performance measurements
Integration capabilities
1.16 Vendor Information
Vendors shall provide a brief description of the overall organization of their company, including headquarters
organization, divisions, and operations. This description shall include how long the company has been in
operation and whether it is owned by a parent company or whether it owns other companies as a parent
company.
Vendors shall provide a description of their major facilities, unique or special manufacturing equipment, and
any other facilities that will provide support for this program.
Vendors shall provide a minimum of five similar contracts awarded within the last three years. The vendor
shall provide a synopsis of each contract and discuss it relevance to this project and proposal. Referenced
contracts may be arranged to demonstrate competency in functional areas. For example, Contract A may be
listed only to demonstrate competency in Project Management.
The referenced contract must include the following information:



Contract award and completion dates
Contract award dollar value
Customer contact for information
In addition, the vendor shall provide permission from at least two of the above references for site visits by
UCD personnel. These visits will be made only in the company of the vendors’ representatives.
The vendor shall provide a realistic discussion of the success in achieving technical, management, and budget
requirements for one of the above references.
The vendor shall supply as an appendix a current annual report and other information that is pertinent to
establish the financial stability of the company.
1.17 Terms and Conditions

Vendors shall respond to all requests for information, specifications, proposals, back-up
documents, etc. Failure to respond to all questions, requests for information, or other
specifications may result in the vendor's disqualification, at the sole discretion of University of
California, Davis.

Information released either verbally or in writing prior to issuance of the RFP does not bind
UCD in any way.

All discounts, if applicable, are to be clearly identified.
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
All costs chargeable to UCD need to identified by indicating if charges are for equipment,
services, materials or miscellaneous items.

University of California standard purchase order terms and conditions Appendix A, as attached,
apply to any resulting contract.

The seller warrants and represents that the equipment, when delivered, shall conform to all
applicable safety standards and, where applicable, requirements of the California Occupational
Safety and Health Act.

All electrical equipment purchased or leased by the University of California shall conform to
the California Administrative code, Title 8, electrical safety orders, Article 11, Section
2395-Grounding.

The vendor warrants that for one (1) year from the date of final acceptance of the entire system
as described herein, the system shall meet all the performance, specifications set forth herein
and in the operational manuals current as of the date of delivery and final acceptance and will
be free of defects. In the event of the vendor's breach of its warranty hereunder, the University
shall have the option to repair or replace the system and the vendor will be liable for excess
costs over and above the amount of this purchase order.

To facilitate timely award of this order, insurance requirements as outlined in the attached,
Appendix A must accompany your quote or be in force and on file in the University Purchasing
Department as a result of a previous order. All of the required policies shall name the Regents
of the University of California as an additional insured, shall be in a form as issued by an
insurer approved by the University, and shall contain an endorsement requiring not less than
thirty (30) days written notice to the University prior to any cancellation or modification
thereof. Thereafter, a certificate evidencing the renewal of each such policy shall be furnished
the University at least ten (10) days prior to the expiration of the term of such policy. Failure to
comply with this requirement may result in cancellation of any order resulting from this request
for proposal.

The University retains the right to cancel this order at any time, for cause, without penalty to the
University.

This agreement shall not be assigned by either party without the prior written consent of the
other party.

No form of the University's name shall be used in promotional materials, signs, announcements,
or other forms of communication or advertising originated by vendor unless the University's
express written permission for such use has been obtained in advance.

Product liability: Seller shall fully indemnify, defend, and hold harmless the University from
and against any and all claim, action, and liability, for injury, death, and property damage,
arising out of the dispensing or use of any of seller's product provided under authorized
University orders. In addition to the liability imposed by law on the seller for damage or injury
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University of California, Davis
(including death) to persons or property by reason of the negligence, willful acts or omissions,
or strict liability of the seller or his agents, which liability is not impaired or otherwise affected
hereby, the seller hereby assumes liability for and agrees to save University harmless and
indemnify it from every expense, liability or payment by reason of any damage or injury
(including death) to persons or property suffered or claimed to have been suffered through any
act or omission of the seller.

The University agrees to provide seller with prompt notice of any such claims and to permit
seller to defend any claim or suit, and that it will cooperate fully in such defense.

Any order resulting from this Request for Quote shall be subject to the examination and audit of
the Auditor General of the State of California for a period of three years after final payment
under this order. The examination and audit shall be confined to those matters connected with
the performance of the contract, including, but not limited to, the cost of administering the
contract.

Force Majeure: In the event any party is unable to meet its obligation hereunder as a result of Act
of God or of the Public Enemy, War, Insurrection, Fires, Floods, Epidemics, Quarantine
Restrictions, Strike, Lockouts, other labor disputes, or any other causes beyond the control of the
party affected, its obligation hereunder shall be excused and suspended for the duration of the
same.

Software/Hardware Compatibility: Vendor will ensure that all software, databases, and
computer hardware equipment necessary for operation of the system will be compatible.

Final Acceptance: The University will agree to final acceptance, only after the supplied
equipment or product is tested and found to perform within acceptable standards of operation,
in compliance with all published and implied performance specifications, and is considered by
the University to be ready for practical application.

This agreement shall be construed and enforced in accordance with the laws of the State of
California.

All hardware, operating system, or layered products proposed must be fully Year 2000
compliant.
1.18 General Information

Affirmative Action: Vendor shall not maintain or provide racially segregated facilities for
employees at any establishment under vendor’s control. Vendor agrees to adhere to the
requirements set forth in Executive Orders 11246 and 11375, and with respect to activities
occurring in the State of California, to the California Fair employment and Housing Act
Government Code section 2900 et seq.). Expressly, Vendor shall not discriminate against any
employee or applicant for employment because of race, color, religion, sex, national origin,
ancestry, medical condition (as defined by California Code section 12925[f]), marital status,
age, physical and mental handicap in regard to any position for which the employee or applicant
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University of California, Davis
for employment is qualified, or because he or she is a disabled veteran or veteran of the
Vietnam era.

Vendor shall further specifically undertake affirmative action regarding the hiring, promotion
and treatment of minority group persons, women, the handicapped, and disabled veterans and
veterans of the Vietnam era. Seller shall communicate this policy in both English and Spanish
to all persons concerned within its company, with outside recruiting services and the minority
community at large. Vendor shall provide the University on request a breakdown of its labor
force by groups, specifying the above characteristics within job categories, and shall discuss
with the university its policies and practices relating to its affirmative action programs.
* Please check in the space provided below, your business category:
(Note: Your business status is to be determined pursuant to current Federal Small Business
Administration criteria and current Federal Procurement definitions pertaining to disadvantaged
{minority}, and women-owned businesses.)
_____ Small Business*
_____ Small Disadvantaged Business*
_____ Woman-Owned Business*
_____ Disabled Veteran Business*
_____ Large Business
_____ Other
* In addition, if your business is a small, small disadvantaged {minority}, or woman-owned
business, please indicate your ethnicity:
____ Black
____ Asian
____ Hispanic
____ American Indian
____ Caucasian/White
____ Other (Specify: _____________)
- I certify that I am authorized to sign on behalf of the organization I represent for this offer, and agree
to all terms and conditions described herein.
___________
Date
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Telephone No.
_______________________________
Authorized Signature (With Area Code)
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University of California, Davis
Section 2
Section 2. Overview
2.1
Overview of UCD Document Management Needs
The University of California, Davis (UCD) is now considering the acquisition of electronic document
management systems, (EDMS) technologies to improve the efficiency of processes in several
departments. Specifically, UCD is evaluating imaging technologies, electronic document management
technologies (e.g., email, attachments, Microsoft Word files, Microsoft Excel spreadsheets, Microsoft
Powerpoint presentations, etc.), and integrated workflow technologies to enable the various campus
departments to accomplish several objectives:
a.
Recapture physical space that primarily holds physical originals of documents generated or
received by the University through the scanning of images and effective indexing of paper
documents. Another side benefit is to reduce the number of documents that are duplicated
throughout the institution.
Many of these original documents are currently filed as hard copies in folders on shelves, in
folders in filing cabinets, or in boxes in off-site storage facilities. Folders are generally arranged
in alphabetical order, by topic name, by date, or by an internal tracking number.
b.
Reduce liabilities through effective management of multiple types of documents (scanned or
electronically generated), and improving the tracking, retrieval, retention, and final disposition
of these documents. For example, the reduction in the “loss” of documents and files, reduction
of files that are were incorrectly lost due to errors in retention schedules, the effective
destruction of documents that are no longer required to be stored or archived.
c.
Eliminate the number of manual paper lists that are used by campus staff to track where
documents are stored or can be found.
d.
Provide for one or more repositories for multiple types of documents to enable an effective
capability to store, archive, research, and recover documents.
e.
Share documents in both a structured and ad-hoc manner across the organization and between
document management repositories.
f.
Migrate from an obsolete document management solution to a modern one with greater
functionality.
g.
Utilize a new master classification system as specified by UCD.
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h.
University of California, Davis
Interface/integrate with those document management capabilities built into the operating
systems (e.g., Unix, Windows 2000) and desktop applications (e.g., Lotus Notes, Domino, MS
Office suite, MS Outlook/Exchange).
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UCD seeks products that can provide electronic document management, imaging, and workflow
functionality. These products must be sufficiently flexible and scalable to meet the needs of other users
within the institution. Additionally, the product or products must be easy to implement; and UCD
intends to deploy the selected solution department by department during an eighteen-month period.
This section provides information on UCD’s current processes and applications, and the current
hardware and software infrastructure.
2.2
Type of Documents
Given the wide ranging interests in document management technologies it is not surprising to see that
the types of documents that may go into a central repository is quite extensive. Examples of documents
that would be considered for this system include:
Audit reports
Budget documents
Contracts
Correspondence
Electronic mail
Faxes
General notes/minutes
Grant proposals
Intellectual property/copywrite
Invoices
Letters
License agreements
Memos
Misc/Other
Patents
Personnel actions
Presentations
Project plans
Proposals
Reports/papers
Royalty agreements
Spreadsheets
Trademarks
Word processing documents
Documents handled by a typical department are 8½” x 11”, 8½ x 14”, or 11 x 17” in size, and can
include both printed and handwritten text. These documents can be both single/double-sided; they can
be folded, stapled, wrinkled, faded, and odd-size documents (e.g., post-it notes).
2.3
Volumes
The typical annual amount of document volume in a given department is estimated as follows:
Document
Employee Original Docs:
Email
Letters (mail)
Contracts
Grant proposals
License agreements
Trademarks
Intellectual property/copywrite
Performance review
Patents
Royalty agreements
Audit reports
Proposals
Reports/papers
Correspondence
Memos
Word processing documents
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Volumes
# of documents
# of documents
Number of
Pages
Avg. # of pages
Avg. # of pages
Retention
Period
Permanent
6 years
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Request for Proposal: Document Management
University of California, Davis
Faxes
Spreadsheets
Presentations
Invoices
General notes/minutes
Project plans
Budget documents
Personnel actions
Misc/Other
Table 1 – Typical Document Volumes: Average Department
2.4
Security Requirements
UCD has a requirement for group or role-based security, with provision for individual overrides, to
accommodate the security matrix it has developed for the documents that it maintains. Security must
ensure the user is authenticated, the level of authorization by role, and the ability to accommodate the
security of both individual files and folders.
As a general rule UCD staff that support each of the departments or certain groups within the
institution, cannot access the files of their peers or of their superiors. UCD staff from different
departments also may not access files in another department. However, the flexibility is needed to
allow specific documents or files to be shared with other colleagues across the institution on an as
needed basis.
UCD has widely deployed Kerberos authentication methods for many of its mission critical systems.
Part of whatever solution is presented for electronic document management must consider how this
aspect of the campus’ systems architecture can be incorporated without any additional costs. Future
technologies involve PKI digital certificates using LDAP.
2.5
Current and Future System Operation - Hardware and Software
Infrastructure
This section provides a review of UCD’s installed base for hardware and software.
Infrastructure Overview
As part of the underlying foundation for all of its systems, UCD has firmly supported a distributed
computing model for all campus systems. UCD maintains a client/server environment for its internal
mission critical computing operations (Student Information System, Financial Information System, and
Payroll/Personnel System). UNIX (Sun Solaris, HP/UX) and Oracle RDBMS fundamentally provides
the backbone for many of these applications. Microsoft Windows NT and Citrix Winframe are also
important aspects of this application architecture, with a mix of Windows 95/98/NT (68% combined),
Macintosh operating systems (30%), and UNIX workstations (2%) on the desktop.
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With a heavy proliferation of Macintoshes on campus, it is clear that a web-enabled solution would
most effectively support a variety of desktop systems. In the event, however, that such a solution is not
viable; the University fully intends upon supporting the Macintosh desktop environment with the use
of thin-client (Citrix Winframe/Metaframe) as part of the architectural model.
Architectural
Component
Databases
Development tools (OLTP)
OLAP
Workgroup Software
E-mail
Calendar
Web development tools
Web browsers
Middleware
Server OS
Client platform
Network WAN
LAN
Security
1999
Oracle
Microsoft Access
Microsoft SQL*Server
IBM DB2
Pro*Cobol
Pro*C
Oracle Forms
PL*SQL
Perl
CGI
Hyperion
Microsoft Outlook
Microsoft Exchange
Eudora
Microsoft Mail/Outlook
Pine
Microsoft Outlook
Meeting Maker
Oracle Web App Server
Allaire ColdFusion
Microsoft Internet Explorer
Netscape Navigator
SQL*Net
Net8
ODBC
Andrew File System
Sun Solaris (UNIX)
HP/UX (UNIX)
Citrix Winframe (NT)
Windows NT (NT)
MS Windows 95
MS Windows 98
MS Windows NTW
Macintosh v8.x +
Linux
Sun Solaris
TCP/IP
ATM (Nortel/Bay Ntwrks)
Switched 10MB Ethernet
Kerberos authentication
Primary products
Oracle
Microsoft SQL*Server
Pro*Cobol
Pro*C
Oracle Forms
PL*SQL
Perl
CGI
Hyperion
Microsoft Outlook
Microsoft Exchange
Eudora
Microsoft Mail/Outlook
Microsoft Outlook
Meeting Maker
Oracle Web App Server
Allaire ColdFusion
Microsoft Internet Explorer
Netscape Navigator
SQL*Net
Net8
ODBC
Andrew File System
Sun Solaris (UNIX)
HP/UX (UNIX)
Citrix Winframe (NT)
Windows NT (NT)
MS Windows 95
MS Windows 98
MS Windows NTW
Macintosh v8.x +
Linux
Sun Solaris
TCP/IP
ATM (Nortel/Bay Ntwrks)
Switched 10MB Ethernet
Kerberos authentication
Table 2 – Campus technical architecture
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Section 3
Section 3. Proposed Functional Requirements
This section highlights a list of functions that the proposed systems must address. UCD’s high-level
requirements are for a rich electronic document management functionality, moderate and integrated imaging
functionality, and for structured/ad-hoc workflow functionality. For each function, please provide the
following information:




Can your product support the function in the current release?
A brief description of how the system supports that function
If customization is required, please indicate the resources needed:
 Programming expertise required (e.g. Visual Basic, Java script, C++ programming)
 Time to completion with or without vendor assistance, e.g. weeks, months
 Financial costs associated with the customization
 Vendor support for the customization
 Third-party products if needed
Indicate any functions that will be supported in the next release, and estimated time-frame of
availability
3.1
Document Management System Functional Requirements
3.1.1 Document Hierarchy and Relationship

Document hierarchy in a tree structure
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Document repositories for each department
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to organize groups of documents based on multiple custom indexes (e.g. document
type, firms, unique case ID)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to support multiple levels within the hierarchy
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Cross reference or link documents across multiple repositories
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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3.1.2 Searching, Processing, and Retrieval

Multiple-field indexing
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Full-text indexing and searching
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Cross-repository, cross-document-type search
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Ability to search the document repository from other applications (e.g. desktop applications,
Windows Explorer, Outlook, Exchange Inbox)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Advanced searching capabilities (e.g. “fuzzy” search, natural language search, key word
search, Boolean search, search wizards)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to save searches
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to set up smart folders or agents (e.g. automated update notification for users)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Limit what users can see based on security access
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

User-define links between unrelated documents (e.g. hyperlinks)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to integrate and search across multiple applications (e.g. search through the Project
Management System’s repository)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to manage records, off-line paper documents, and other physical resources
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Ability to log user access
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.1.3 Concurrent User Access Control

Check-in/check-out of documents or groups of documents
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to override check-in/check-out functions for administrators
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to set timer or alarm for all documents that are checked out
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
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If function is in future release, provide timeframe for product availability:

Ability to check in/check out documents remotely
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.1.4 Version Management

Major and minor version support
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Published version support (finalized, available for public viewing) vs. non-published version
(editable, only users with sufficient security have access to)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Access to previous versions based on security control
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to search across multiple version of a document
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.1.5 Retention Scheduling

Ability to define custom retention schedules for each document type and levels within the
hierarchy
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to maintain a formal retention schedule that meets the legal and institutional
requirements
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
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If function is in future release, provide timeframe for product availability:

Ability to interact with the hierarchical storage management system to migrate data between
the optical system and the magnetic cache based on user access and/or retention schedule
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to schedule and log the deletion of files or folders
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.1.6 Hierarchical Storage Management

Ability to store data and associated indexes on the same platter
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Ability to cache data on magnetic based on frequency of access
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to support write-once-read-many (WORM) optical media
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.1.7 Integration/Compatibility

Ability to integrate with PoP3/IMAP mail infrastructure and Microsoft Exchange’s
messaging infrastructure
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Ability to save, retrieve, search, and link documents directly from Microsoft Office Suite,
Exchange Inbox, Outlook interface, and/or Explorer
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to save and index emails directly from Qualcomm’s Eudora 4.x or higher, Microsoft
Outlook, and Microsoft Exchange
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to route documents or collections of documents within Exchange?
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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3.1.8 Reditioning/Exporting

The system should be fully capable of providing a renditioning and exporting functionality.
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.2
Imaging Requirements
3.2.1 Viewer Functions

Annotation support (e.g. area highlights, redaction, text annotations, signature stamps)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to view multiple images simultaneously
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Annotation security
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Search across annotations
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Image format supports
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.2.2 Document Receipt and Sorting

What type of document preparation is required? (E.g., remove staples, separator sheets
between logical documents, optimal number of pages per batch)
How is it supported:
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3.2.3 Document Capture

High-volume scanning
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

High-volume scanner support
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to manage batch scanning from multiple scanners
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to import images from file system or fax server
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
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If function is in future release, provide timeframe for product availability:

Can the system support distributed scanning across different departments?
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to export images and data to document management system as needed
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to integrate with leading capture systems
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.2.4 Document Quality Control

Image enhancement features
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
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If function is in future release, provide timeframe for product availability:

Ability to manually group or route unacceptable images for re-scanning
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.2.5 Document Indexing

High-volume/heads-up indexing support (e.g. split-screen indexing with the image on one side
and the index fields on the other side)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Can the system associate OCR output with scanned-in images?
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Can the indexing component automatically organize images within batches into their
associated level within the imaging hierarchy?
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to link images to other documents within the document management system
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.2.6 Distribution

Ability to integrate the imaging functions with the document management functions
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Provide information about high-speed laser printer support
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
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If function is in future release, provide timeframe for product availability:

Provide information about image export and faxing support
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.2.7 Security

User, group, departmental level security
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Ability to integrate with the operating system security (e.g. Windows NT)
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Document hierarchy security and document level security
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
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If function is in future release, provide timeframe for product availability:

Annotation level security
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Audit log for user actions
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Discuss what type of audit trail the system provides
How is it supported:

The document management system should have the ability to integrate well into the current
information technology architecture (especially the security architecture) at UCD, reducing
the overall need for extensive modifications in order to work with the current infrastructure.
Examples of this infrastructure include Kerberos, Digital Certificates, and LDAP.
Does the proposed solution integrate with Kerberos?
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
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If function is in future release, provide timeframe for product availability:
Does the proposed solution integrate with Verisign’s version of PKI authentication/digital
certificates?
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
Does the proposed solution integrate with LDAP?
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
3.3

Workflow Requirements
Integrated workflow capability with document management and imaging functionality
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Request for Proposal: Document Management
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University of California, Davis
Route documents according to a pre-defined set of rules
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Flexibility to route documents in an ad-hoc fashion as necessary
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Capability to modify the workflow processes without programmer or systems administrator
intervention
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Request for Proposal: Document Management
University of California, Davis
Section 4
Section 4. Proposed Technical Requirements
4.1

Architectural Requirements
UCD will favor solutions that are natively developed by the same vendor versus products that
integrate solutions from multiple OEM sources. Is the proposed solution sourced from a
single vendor?
 Yes
 No
 Other (describe):
How is it developed:
If customization is required, describe what needs to be done:

If the proposed solution is NOT sourced from a single vendor?
Who is the original supplier of the proposed software?
Please describe:
If vendor is not the original supplier, list each software component by manufacturer.
Please describe:

UCD’s document management, imaging functionality, and workflow functionality solutions
should be able to function well with UNIX (Sun Solaris), Citrix Winframe/Metaframe,
Microsoft NT, Windows 95, Windows 98, and eventually Windows 2000, and should have
capabilities to leverage the robust features and the security of those operating system and
database system environments.
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Request for Proposal: Document Management
University of California, Davis
Which server-based functions are supported on the following server operating systems?
Operating System
OS Version
Software Module(s)
 UNIX (Sun Solaris)
 UNIX (HP/UX)
 Citrix Winframe
 Citrix Metaframe
 Windows NT Server
Which client-based functions are supported on the following client operating systems?
Operating System
Software Component
 Windows 95
 Windows 98
 Windows NT
 Macintosh 8.x
 UNIX

The system must use a high-end database software (Oracle and Microsoft SQL*Server) for
UNIX (Sun Solaris) or Microsoft Windows NT that can integrate with UCD’s existing
database systems as necessary.
Which RDBMS are supported and on which server operating systems?
RDBMS
Operating System
 Oracle RDBMS
 Microsoft SQL*Server
Which RDBMS is the primary port for your product line and on which operating system?

UCD requires that the document management system minimally be a 32-bit, multi-tier system
that may be deployed in a fat-client/thin-client/Intranet-enabled environment, with an
intelligent scheme to provide fast access over the wide area network (WAN).
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Request for Proposal: Document Management
University of California, Davis
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
Please describe your architecture and how these requirements are met:

Along with its tight integration with the operating system, the system should have an open
architecture that can integrate with all line-of-business applications and other electronic
document management systems. Examples include the Banner Student Information system,
the Davis Financial Information System, the Payroll/Personnel system, departmental
databases, etc.
Please describe the standards your products adhere to, and how your architecture can integrate with other
applications and document management systems:

UCD requires a system that can function in an advanced information technology
environment: one that is geographically distributed, with a variety of users, configurations,
applications, and varying depths and granularity of security.
Please describe how your solution would function in such an environment:

UCD will heavily favor solutions that are effectively web-based with much of the
functionality found in end-user PC based solutions.
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
4.2
Storage Requirements
4.2.1 Document Storage (Optical)

What type of storage device does the product support natively? Magnetic? Optical?
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Request for Proposal: Document Management
University of California, Davis
Please describe:
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Request for Proposal: Document Management

University of California, Davis
Provide a list of optical storage devices that the system supports
Please list the optical storage devices:
4.2.2 Document Storage (Magnetic)

Ability to support and manage RAID drives for caching
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:

Discuss how the system caches information from optical drives
Please describe:

What type of application programming interface does the product provide?
Please describe:

Ability to support WORM media jukeboxes
Can your product support the function in the current release?
 Yes
 No
 Other (describe):
How is it supported:
If customization is required, describe what needs to be done:
If function is in future release, provide timeframe for product availability:
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Request for Proposal: Document Management
University of California, Davis
Section 5
Section 5. Proposed Support Requirements

UCD requires solutions that are simple to use and does not require extensive end-user
training or the considerable involvement on the part of third-party experts to install and
configure this system.
5.1 Maintenance & Support

What does your annual maintenance program consist of?
Please provide a detailed description of what is included in the annual maintenance program associated
with your product:
 24 x 7 technical phone support; (if not list support hrs)
 Number of major upgrades in a year
 Number of minor upgrades in a year
 Number of minor patches/fixes in a year
 How are patches/fixes communicated/distributed
 If we report a bug or technical problem, describe the escalation procedure for how this bug
gets reported, fixed, and the average turnaround for providing a fix for such a bug report:
5.2 Training

What degree of competency or level of training is required to be fully functional in the following
areas? Specify what education and training will be conducted, as part of the acquisition cost,
relevant to the implementation of this product.
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Request for Proposal: Document Management
University of California, Davis
Recommend what UCD position, should undergo such training specified in the above
paragraph. Additionally, recommend the date, relative to the installation date, that such
training should take place.
Specify what optional education and training is available and recommend what UCD
personnel should undergo optional training.
Vendors shall provide one sample training handbook for evaluation. This handbook shall be placed
in an appendix to the proposal and marked as such.
 Systems administrator
 Database administrator
 Application developer
 Scanner/Index function
 Routing/Workflow
 Electronic Document Mgmt
 End-user
5.3 Documentation

What kind of documentation is included with this product?
Please check any box that applies and the number of copies we are licensed to receive?
 User manuals for software application and operation
 Operations manual for system software
 System interfaces and schematics
 System code/source code documentation

Occasionally the University looks to a vendor to provide a right to duplicate unlimited numbers of
user manuals on the product(s) acquired and any updates provided as part of the annual
maintenance. Will you also provide such flexibility?
 Yes
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 Other (describe):
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Request for Proposal: Document Management
University of California, Davis
Section 6
Section 6. Pricing
The vendor shall provide estimated pricing data for the proposed system, addressing the following
components:
6.1 Software (Please differentiate costs by module or function)

System software
 Server OS/firmware licenses
 Application code generators/compilers
 Middleware licenses (i.e., ODBC, SQL*Net, etc.)

Application software (by module)
 Imaging function
 Workflow function
 Electronic Document Management function

Software Warranty
 What is the length of the warranty?
 What is covered by the warranty?
6.2 Hardware

Server system hardware
For a 25 concurrent user workgroup, please describe the recommended (not minimum) server
configuration for each server in the architecture. Sample server to include number of CPUs, Mhz of
CPUs, amount of memory (RAM), etc.
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Request for Proposal: Document Management
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Please describe:
 What is estimated cost of each server?

Optical jukebox
For a 25 concurrent user workgroup, please describe the recommended (not minimum) optical jukebox
configuration in this architecture. Sample optical jukebox to include size, type of optical technology,
number of disk drives or disk platters, etc.
Please describe:
 What is estimated cost of the optical jukebox?

Client desktop workstation
For a “fat” or “thick” client, please describe the recommended (not minimum) client configuration to
support this application. Sample client desktop workstation to include CPU Mhz, memory, hard disk
space, monitor size, etc.
Please describe:
 What is estimated cost of the desktop workstation?

Scanner
For processing 200 documents (average 6 pages per document) per day, please describe the
recommended (not minimum) scanner technology that would be needed for this application.
Please describe:
 What is estimated cost of the scanner?
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Request for Proposal: Document Management
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6.3 Installation
Please describe the installation costs for the hardware and software or indicate that these costs are
included in the bids for the system.
 What is estimated cost for installing the hardware?
 What is estimated cost for installing the software?
3. Annual maintenance
 What are the annual software maintenance costs?
 What are the estimated annual hardware maintenance costs?
Server(s)
Optical jukebox
6.4 Training
 What are the training costs or training unit fees for classes offered to support your product?
6.5 Documentation
 What are the costs for documentation?
6.6 Shipping
 What are the shipping costs?
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Request for Proposal: Document Management
University of California, Davis
Section 7
Section 7. Vendor Qualifications and Experience

UCD requires a vendor that is an industry leader, provides a product that integrates well with
strategic infrastructure technologies, and will remain a viable competitor in this field. UCD also
requires a vendor with a global presence for implementation and support.
Please provide a detailed description the following:
 Company history
 Company financial data for three years
 Most recent annual report
 Current number of people employed
 Current number of locations




Sales
Service
Parts depot
Training locations
 Nearest service location to proposed installation
 Provide specific industry background
 Current number of image systems in specific industry
 Current number of image systems installed



Installed systems over two years
Installed systems under two years
Pilot systems
 Provide references for three installed systems similar to system proposed




Account name and address
Project manager name
Project manager’s telephone number
Description of system
 Site visit (provide on request the availability of one of the sites used as a reference account)
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