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RFI - Electronic Records Management System



  Reference Number AB-2011-01640
  Solicitation Number Q0328
  Organization Name Alberta Public Sector
  Source ID PV.MN.AB.10080.C4
  Associated Components No


  Published 2011-03-23
  Revised 2011-04-08
  Closing 2011-05-12 02:00 PM Alberta Time


  Category Information Processing and Related Telecommunications Services
  Region of Delivery Alberta
  Region of Opportunity Canada
  Agreement Type
  Tender Type Request for Information (RFI)
  Estimated Value
  Solicitation Method Open

Notice Description

  RFI - Electronic Records Management System

Date: March 21, 2011


Issued by:

Agriculture Financial Services Corporation

RFI #:                     Q0328
CONTRACTED SERVICE:     Electronic Records Management System (Acquisition and Implementation Information)

CLOSING:                 April 27, 2011, 2:00 PM (MST)

AFSC BUYER:             Melanie Ducholke
TITLE:                 Manager, Administrative Services

ADDRESS:                 AFSC
Purchasing Department
5718 56th Avenue
Lacombe, Alberta T4L 1B1

PHONE:                 403-782-8273
FAX :                    403-782-5650

1.1    INTRODUCTION    - 1 -
1.2    MASTER SCHEDULE    - 1 -
1.2.1    MASTER SCHEDULE TABLE    - 1 -
1.3    DEFINITIONS    - 2 -
1.5    INQUIRIES    - 2 -
1.7    PROTECTED PURPOSE (FOIP)    - 3 -
                AUTHORITY    - 3 -
                DISCLOSURE    - 3 -
                OWNERSHIP    - 4 -
                RESTRICTION    - 4 -
2.0    SCOPE OF WORK    - 5 -
2.1    BACKGROUND    - 5 -
2.3    SPECIFICATIONS    - 6 -
3.1    RESPONSE FORMAT    - 8 -
4.0    RESPONSE REVIEW    - 10 -

1.1    Introduction
Agriculture Financial Services Corporation (AFSC) is an Alberta Provincial Crown Corporation under the Ministry of Agriculture and Rural Development (ARD). AFSC’s core programs include business risk management programs and services to the agriculture industry as well as lending products and services to farmers’ agribusinesses, value added enterprises and commercial operations. More detailed information about AFSC is available on the website
For the purpose of this RFI, Electronic Records Management (ERM) solution encompasses the ERM project objectives, the project requirements and the system requirements. The purpose of the RFI is to gather information relating to the potential acquisition and implementation of an ERM system.
1.2    Master Schedule
The Master Schedule of RFI related events is set out in the table below and is governed by the following principles:
a)    In the event that any dates elsewhere in this RFI conflict with a date set out in this table, the date set out in this table shall prevail;
b)    All times listed are based on Mountain Time (MT);
c)    AFSC reserves the right to adjust the dates of the schedule if required through an addendum process.

1.2.1    Master Schedule Table
#    Event    Scheduled Date/Time
1    AFSC to accept e-mail inquiries relevant to this RFI to
April 12, 2011
2    Issuance of the final written response by AFSC to inquiries received by interested Respondent(s).    April 14, 2011
3    Final receipt of Responses.    April 27, 2011 (2:00 pm MST)
4    Evaluation of RFI Responses    Responses will be reviewed for information purposes only. If a subsequent competitive bid is issued AFSC may reserve the right to direct the competitive bid to only those Respondents who submit a response to this RFI.

1.3    Definitions
The following abbreviations and terminology are used throughout this RFI:
Term    Description
ERM    Electronic Records Management solution
Personnel    Employees, contractors and subcontractors of the Respondent.
Respondent    Any business that is registered in Canada and is authorized to operate in Alberta, proposing to submit a response to the RFI
RFI    Request for Information
Scope of Work    The services required by this RFI
SRO    Senior Records Officer
ARDA    Administrative Records Disposition Authority
GOA    Government of Alberta

1.4    Confidentiality and Security of Information
The Respondent, the Respondent’s personnel will:
Be required to enter into an agreement of confidentiality with AFSC for the purpose of obtaining additional information in connection with this RFI that are in the opinion of AFSC confidential.
a)    Keep strictly confidential all information concerning AFSC or third parties, or any of the business or activities of AFSC or third parties acquired as result of participation in the RFI;
b)    Only use, copy or disclose such information as necessary for the purpose of submitting a Response or upon written authorization of AFSC.
c)    If the Respondent is not successful, destroy electronically or by shredding, all copies of any AFSC information obtained in association with this RFI, and confirm such destruction and disposal to AFSC in writing.
The Respondent will maintain security standards, including control of access to data and other information, consistent with the highest standards of business practice in the industry.
1.5    Inquiries
All inquiries related to this RFI must be addressed to the AFSC Buyer on or before the date specified in the Master Schedule and as per the following:
a)    Inquiries must be sent by e-mail to the AFSC Buyer, utilizing the Q&A template provided.
b)    No telephone inquiries will be accepted;
c)    No additional information or clarifications will be provided to inquiries received after the applicable deadline.
d)    In order to be considered, all inquiries must provide the following Respondent information:
•    Name of Primary Contact;
•    Address;
•    Telephone number;
•    E-mail address;
•    RFI Reference “Q0328–”Electronic Records Management System”
e)    All inquiries received will be reviewed by AFSC.
f)    All inquiries will be compiled and answered in the form of written response(s) issued by AFSC to all Respondent(s);
g)    Respondent(s) are advised that all inquiries answered by AFSC will be provided verbatim in writing to all Respondent(s).
h)    AFSC reserves the right to not disclose information in conjunction with this RFI on any inquiry that requires releasing information that AFSC, at their sole discretion, regard as confidential to AFSC;
i)    It is the Respondent’s responsibility to notify AFSC, in writing and in advance, of any change in the Respondent(s) Primary Contact Information;
j)    AFSC assumes no responsibility or liability arising from information obtained in a manner other than as described in this RFI.
1.5.1    Notification of Changes
Any changes to this RFI as well as the response(s) to inquiries received will be e-mailed to Respondent(s).
1.6    Respondent’s Expenses
Respondents are solely responsible for their own expenses in preparing the Response, as well as any subsequent negotiations and Responses, including any costs associated with attendance to a potential short-listed Respondent’s interview with AFSC.
1.7    Protected Purpose (FOIP)
The personal information collected on this RFI is collected under the authority of the Agriculture Financial Services Act and the Freedom of Information and Protection of Privacy Act, section 33 and is protected by the Freedom of Information and Protection of Privacy Act. The information will be used to ensure the accuracy and reliability of the Response, and to enable AFSC to evaluate your response to this RFI. Any questions about the collection and use of this information should be addressed by e-mail to the AFSC Buyer.
Before disclosing to AFSC any individual’s personal information, the Respondent shall obtain the consent of the affected individual.
a)    The consent must be in writing and must specify:
•    To whom the personal information can be disclosed and
•    How the personal information can be used.
b)    The successful Respondent shall provide such consents to AFSC for confirmation and review upon AFSC’s request.
c)    AFSC shall not be held responsible for any errors or omissions in this regard on the part of the Respondent.
All documents submitted in response to this RFI become the property of AFSC, are in the custody and control of AFSC, and as such, are subject to the disclosure provisions of the Freedom of Information and Protection of Privacy Act.
The Freedom of Information and Protection of Privacy Act allows any person a right of access to records in the custody or control of AFSC subject to limited exceptions, as for example, personal information about an individual.
As it relates to FOIP, the Respondent may not use this document or any portion of this document for any purposes other than the submission of a Response.

2.1    Background
AFSC provides loans and guarantees to primary agriculture producers as well as emerging and expanding commercial operations. AFSC also delivers Business Risk Management (BRM) programs to primary agriculture producers such as income stabilization, disaster assistance and insurance for crops and livestock. Additional information about AFSC may be obtained from visiting

AFSC has embarked on an initiative to deliver major programs electronically with a minimum paper documentation requirement . Recently the corporation delivered Cattle Price Insurance program and Hail Insurance Programs electronically. AFSC has plans to expand on electronic delivery to other program areas in the years to come.

While the Corporation is proceeding on electronic delivery of major programs it is not planning to replace the existing delivery mechanisms completely. The existing mechanism will be complementary to coexist as long as our customers need them.

AFSC currently has records at several locations throughout the province for various purposes. The solution should be able to create records accessible by all staff regardless of physical location for carrying out their joint responsibilities.

This is anticipated to be achieved through the implementation of an ERM solution to manage electronic and legacy physical records across all business areas and the establishment of consistent and centrally established principles which leverage best practices and standards. AFSC is currently in the process of the development of a corporate wide strategy for records management. This RFI was designed to develop a more in-depth appreciation on the options that exist for an ERM solution.

AFSC is looking to realize the following benefits from an ERM solution:
?    Legislative Compliance –compliance with the Records Management Regulation of Alberta and FOIP Act requirements around protection of personal information and privacy.
?    Enhanced Value – The ERM solution supports efficient and (wherever possible) automatic creation, access and management of corporate records. Through an ERM implementation, AFSC anticipates being able to consolidate the storage and management of unstructured content stored on shared drives, personal drives and email into one centrally managed repository as well as transform paper based records into an electronic form. The objective is to ensure that records management systems efficiently and effectively support the business, and facilitate the sharing and reuse of records across AFSC. Staff should be able to easily classify and retrieve records they need to perform their jobs. The system should be able to link and connect records that are received from the client with the original request sent by AFSC.

2.2    Business and Record Disposition Information

AFSC has business line databases established for each operational program. Each internal client-server database contains historical information by program. AFSC has SAP as their core financial system (G/L, A/R, A/P) with integration points to/from the source systems that support the business lines. AFSC receives as well as sends out information both in electronic and paper form to its customers periodically.

Below is qualitative data for the current number of clients, physical documentation, AFSC personnel and locations.

•    35,000 AgriStability clients, who are required to submit tax and revenue information two – three times per year.
•    30,000 AgriInsurance clients, who are required to submit a large number of documents/information throughout the year.
•    15,000 Lending clients, who provide property insurance as security and other loan related documents on a continual basis.
•    All three business lines currently consist of approximately 16.5M physical documents and 1M images of microfilm. This does not include the electronic documents currently housed in the internal client-server databases.
•    There are approximately 650 full time AFSC personnel.
•    There are about 50 active AFSC offices in Alberta.

AFSC has multi-functional equipment in each office that has scan to pdf desktop capabilities. Some of the scanned documents (including MS office documents) are also user/uploaded in our legacy system as part of the business process.

AFSC has completed schedules for paper based in-active records, however, there are no schedules for active paper based records, electronic records or microfiche at this time.

2.3    Specifications
The Respondent is requested to provide responses and/or suggestions to the inquiries below and is asked to document in order as listed below for ease of review.

a)    Provide information on some potential systems or suites of systems (i.e. solutions) that would meet the criteria outlined in appendix A
b)    Based on the Respondents level of expertise:
i.     what are the potential one time financial impacts (high level non binding estimate) for the acquisition of a solution that would meet the criteria outlined in appendix A
ii.    what are the potential financial impacts (high level non binding estimate) for the continual maintenance of such a solution that would meet the criteria outlined in appendix A
iii.    What factors, other than price, should be considered when selecting a solution?
iv.    What are some “lessons learned” that AFSC should to be aware of or address prior to acquiring an ERM solution?
c)    What are reasonable criteria or industry standards that AFSC should consider in a decision process for acquiring and evaluating an ERM solution?
d)    How could interoperability or integration factor into evaluation considerations given the need to integrate with current AFSC systems (appendix B)
e)    Based on the Respondents level of expertise around implementation services what potential cost implications would exist for:
i.    Implementation plan
ii.    Technical and business implementation of the solution
iii.    Governance and training
iv.    Business process
v.    Architecture landscape
f)    What are some of the implementation approaches AFSC should consider in rolling out the solution to meet the desired outcome.
g)    What could be a potential (high level non-binding estimate) time frame around a typical implementation of an ERM solution, based on the information provided in this RFI.
h)    What are some of the approaches that AFSC should take into consideration when migrating content held in shared drives, published documents and Microsoft Outlook/Exchange?
i)    What are some of the risks or issues AFSC should be aware of in conducting this migration?
j)    What are the reasonable criteria, other than price, AFSC should consider when selecting an implementation partner.
k)    What business processes should AFSC consider changing to realize the value of an ERM solution as early as possible in the project?
l)    What other project requirements, outcomes or outputs should AFSC consider that have not been identified?
m)    What are basic criteria or industry standards that AFSC could consider when developing subsequent competitive bidding documents.
n)    Are there specific types of training that key AFSC personnel could attend that would assist them in an implementation of this magnitude?
2.4    Product Recommendation
2.4.1    Based on the Respondents level of expertise, provide a recommendation on a particular solution that would address AFSC’s overall requirements.
2.4.2    Based on a possible solution recommended provide a high level non-binding implementation strategy that would be required to complete the successful implementation of the possible solution into the AFSC environment, including timelines and resource commitments. Include any assumptions made that are relevant to the implementation strategy provided

3.1    Response Format
To facilitate ease of review of information, and to ensure each Response receives full consideration, Responses should be organized in the following format using the section titles and sequence listed below:
a)    Legal and Contact Information;
b)    Corporate Information and Capabilities;
c)    Responses to the Scope of Work identified in section 2.0
d)    References;
e)    Additional Information;
Additional information may be included at the Respondent’s discretion, but this must not detract from the ability of AFSC to easily reference information.
3.2    Response Submissions
Respondents must provide (3) complete hardcopies and also have the option to send one (1) email soft copy of their Response to this Request for Information prior to the hard copy being received. All response materials are to be sealed in a single package and clearly labelled as follows:
RFI Number:        Q0328
Closing Date:        April 27, 2011
Closing Time:        2:00 pm (MST)
Attention:        Buyer, Administrative Services
            5718 – 56th Avenue
            Lacombe, AB
            T4L 1B1
3.4    Legal and Contact Information
The Response must contain:
a)    The full legal name of the Respondent.
b)    The location of the Respondent’s head office and service centres.
c)    A Respondent contact for all questions and clarifications arising from the Response. The Response should include:

Individuals Name:

Respondent Address:

Position Title:


3.5    References/Client Overviews
Please provide a list of Canadian agencies that are currently using the solution(s) identified in your response. NOTE: References will not be contacted without discussion with Respondent.

Client Reference #1

Contact Name/Owner:

Date Solution was Implemented:

Client Reference #2

Contact Name/Owner:

Date Solution Was Implemented:

3.6    Additional Information

The Response may contain appendices to include additional Respondent information on any other material not specifically requested by this RFI; however AFSC requests that care be taken to ensure the additional information is not redundant or repetitive.

Respondent(s) proposing an alternative to an RFI requirement must clearly denote each as an alternative and substantiate the merit of that alternative. Proposed alternatives must substantially meet the fundamental intent of the requirement.

4.0    Response Review
AFSC will review Responses based on the following:
a)    Scope of work;
b)    Product Specifications and Overview;
c)    References

The following Appendices are included with this RFI:
6.1    Appendix A:    ERM Solution Requirements
6.2    Appendix B:    AFSC’s Current Technical Environment
6.3    Appendix C:    Question and Answer Template



Contracting Authority

  Name Melanie Ducholke
  State / Province
  Postal Code
  Phone 403-782-8273
  Fax 403-782-5650
  Website URL

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