Document Management and Case Handling System

Invitation to Tender (“ITT”)

Document Management and Case Handling System

Authority’s Response to Questions

Question / Answer / Attachment
General
Section 1
Submission date and time: in the contract notice on TED and on the first page of the Tender
document the deadline indicated is 30 October 2013 at 24h00. On page 11 of the Tender document the schedule presented gives 8 October 2013 as "Proposal submission date".
Could you confirm the date and time by when the Proposal has to be sent to ESA? / October 8th is the deadline for proposal
2 - 2.1.1: Support Maintenance:
Terms of support shall include response within four (4) hours and resolution within one (1)
business day.
Could you define more precisely "resolution"? If an issue results in a bug it might be difficult to have itsolved within one business day. Our support defines several processing and rules depending on the severity of the issue, would this be acceptable? / With “resolution” we would define it as problem solved or acceptable workaround presented.
A differentiated support definition dependent on severity would be acceptable
Section 2.2. p. 6
Can you give an example of some of the 120 template to be set-up and linked to different case and document profile for each department. / Currently, the templates are made up of 19 Microsoft Word templates, the rest are autotexts. Please see the attachments for an example of a template and an autotext. /

Section 2.2. P 6
Workflows. Would it be possible to get complete overview of all 15 workflows to be configured as a part of the deployment and configuration of the system or can you confirm the complexity to be similar to the example provided in App.IV. And can you confirm that all involved parties in the workflow are internal users of system? / Currently the workflows exist only on paper and haven’t been formalized in a machine-readable way. However, the major steps of the workflows are shown and the examples can be found in the attached PDF document. /
2.2: Design and Build of the new solution:
Set-up of approximately 120 templates and link to different case and document profiles for each department.
Is the supplier expected to set up the 120 templates or set up a limited number (10 to 20) and provide a training allowing ESA to set up the remaining templates? (the second option would reduce the budget)? / We would accept both alternatives
2.3 Implementation of the new solution
How many environments must be delivered of this system? / One
2.4 Migration of data
How many types of document profiles and case profiles in eDOCS ?
How many custom fields?
How many eDOCS libraries? / Currently, there are approximately 50 case types available, and 160 document types. Most of them will have the same, or similar, metadata fields.
We have appr. 100 custom fields and about 33 custom tables. I cannot say if all of them are currently in use, so use this as a rough estimate.
We have one library
According to information provided some of the existing reports are generated via Microsoft SQL Server Reporting Services (SSRS). Can you please inform if it will still be option to use SSRS to generate some of the required reports. / Yes.
Training
How many employees need training? How many administrator or RM or Super Users of the system will need training? / All 75 employees need training, appr. 5 administrators and 10 superusers.
4.7.6: Training plan:
The Proposal should provide a detailed plan that addresses the training needs of:
• System Administrators;
• Super Users (highest-level users);
• End Users; and
• Documentation (Manuals, Guides, Online, PDFs, and Videos).
Regarding training of End Users, what is the preferred option for ESA:
- Training of all users by the supplier?
or
- Training of a reduced group of users by the supplier in a "train the trainer" approach and ESA staff trainers for the remaining staff (this second option would reduce the budget)? / We would prefer training of all users by supplier, incl. super users and administrators
4.8: Cost Proposal - Appendix III:
What is the exact number of users that should be considered for license price of the Document
Management and Case Handling System? According to section 1.3 it should be 68 internal users, can you confirm this please? What should be the exact number of users that should be considered for the license price of the Extranet Portal access? According to section 2.2 it should be 50 external users, can you confirm this
please? / We have 75 internal users included trainees
And 50 external users
Technical requirements
2.10
1.  Can you specify the exact versions of MS Exchange and Outlook?
2.  Are there plans to upgrade in the time window till go-live?
3.  Can you specify the exact versions of RDBMS solutions you are using for the moment? / 1.  Exchange 2003 / Outlook 2007
2.  Yes, Exchange 2010 and Outlook 2007
3.  SQL version 2000 SP3
2.10
Is EFTA looking for a organization-wide Email archiving solution? Or only must only
emails be retained that are linked to cases? / Only emails linked to cases
3.12
What would be an example of this? „The system allows some document types to be restored in distinct operations (e.g., it should be possible to recover vital documents without having to achieve full recovery of all documents in the same repository)“ / E.g. if a document is accidentally deleted, it and only it can be recovered in one operation. Full restoration should also be possible.
Functional requirements
1.4
Currently eDocs is in use. Is there a preference for upgrading the current platform or for the replacement to a new platform? / A forklift upgrade is needed if keeping the current platform
1.9
Is there a preference in iOS meaning Apple, Android, Windows (Most case-handling functions are accessible from tablets and smart phones, with easy-to-use editing possibilities on tablets) / Currently using IOS on smart phones and tablets
2.2
1. Design and build of new solution - Set-up and modifications of departments case and event profiles, see examples in Appendix VI;
Could you please describe in more detail what is characterising an "event profile"?
2.Tender document mentions 50 portal users. What type of activities does a portal user do? Only consultation of cases? / 1.  An event profile holds the metadata of a document (in the current system a document is called an event). Similarly, a case profile will hold the metadata fields of a case. Some document types and case types might have different metadata fields than others, as outlined in Appendix VI.
2.  Only to upload and download documents
2.2
Could you please quantify the number of different case and event profile types? / Currently, there are approximately 50 case types available, and 160 document types. Most of them will have the same, or similar, metadata fields.
2.10 Software and Hardware
1.  How many internal users will work on the system? / 1.  75
3.15 "Users can take over the roles of other users temporarily"
What is the use case for this requirement? Is it related to requirement 4.4? / In case of absences, it must be possible to keep the workflow going with a substitute,
Yes it is related to 4.4
3.7
Possible to see document history for all users with access to document (open, read, copy, edit, print, changes to metadata, etc.)
Could you please explain the difference between "open" and "read" actions? / The Open action means that the document is opened in a program where it can be edited, the Read action means that the document is accessed in a read-only manner (e.g. with a viewer).
3.20
Users can easily move a document from one case to another, provided that he/she has sufficient access rights to do so and neither of the cases are locked
What is the relation between documents and cases (e.g., one document can only belong to one case; one document can belong to multiple cases and so on)? / Each document can only belong to one case.
3.20
Could you please explain further actions, that would be done with the document once it is moved from one case to another (such as re-launching the approval and/or signature cycle, and so on) / If a document is moved from one case to another it should be possible to restart the approval cycle, and to attain the values of the new case i.e. access rights.
4.7
Workflows can have intermediate steps in between tasks for added flexibility, e.g. adding a new approval of a document (a "sidestep")
Upon analysing the Appendix IV - Workflow examples, we haven't found such a "sidestep". Could you please provide us an example diagram with an explanation, which user(s) would request such a "sidestep", and at what moment in time? / Let’s define a simple example workflow with three steps (see below):
Step 1 -> Step 2 -> Step 3
Even if the workflow definition had no optional steps defined, a user would still be able to create an extra step (“sidestep”) in the middle of an ongoing workflow so it would in that case (and only in that case) look like this:
Step 1 -> Step 2 -> Sidestep (e.g. extra approval) -> Step 3
The choice of sidesteps should not be unlimited, though.
4.8
Electronic signatures are a part of the workflow
Do you mean the feature that requires a user to introduce his/her password while finishing the task, the feature to generate digitally signed documents within the workflow, or the feature to insert an electronic equivalent of the hand-written signature? / It should be possible to generate digitally signed documents and insert an equivalent of a hand-written signature.
4.8
Is the e-signature, internal signature or support for X509 certificates? / It can be both used internally and externally, but at this stage X509 is not required.
4.9
"Moving a task between steps in a workflow takes two mouse-clicks or less"
We don't understand this requirement. Could you please explain? / Completing a task in a step should take 2 mouse clicks or less, i.e to approve a document. When you receive a task in the workflow, you should be able to complete that task in two mouse clicks or less
4.10
Can you please explain further or give example of what could be a task that would be moved between workflows and example of how it would trigger automatic changes to metadata fields of a case or a document. / E.g. if a complaint is received, which at first glance seems to belong to the Competition Department, and is added there in their complaints work flow. Then, at closer reading, it is determined that it is actually an Internal Market Affairs complaint, and needs to be moved to an Internal Market Affairs workflow. The workflow would be restarted but the metadata fields of the document would stay the same where available (date received, title etc.). The metadata fields of the case would probably be different based on the different workflows so they would not be retained from the original.
5.1
"Knowledge management, pivotal documents or cases can be marked in a useful
manner and retrieved by users in a user friendly overview"
Could you please give more details on the use case ? Should this marking be done by
an end user for his own needs or should it be more global? / Important documents can be marked by an end user, and as “an important document”, and can then be consulted by all
5.2
"Content tagging: Important decisions, documents or cases could be tagged for later
reference, with a comment and easily retrievable." Please explain. / Meaning we can mark reference cases for future use on similar decisions, and f.ex tag them with what part of EEA agreement it concerns, and what sector it belongs to
5.3
"Result list clustering: ability to sort the tagged content according to different criteria, like sectors, paragraphs of the EEA agreement etc."
Please explain. / When we search it is also possible to see similar documents based on tagging in the system, the result will be grouped based on the tagging, and if possible also displayed graphically.
6
Migration
For the migration, costs will mainly depend on consistency and quality of source data, number and complexity of rules/mappings and expected quality level of migration (e.g. 98%, 99.x% of data successfully migrated, exceptions/rejections to be treated manually). Which assumptions should we make on these aspects for the proposal? / Expected quality level of the migration is no less than 99.5%. The database setup is not very complex, there is one main table which contains all metadata fields of cases and documents, then there are connected tables which contain access rights, case types, document types, users, etc.
6
Migration of data.
Can you please give further information of data and content of existing system to be migrated? Such as description of structure of the data and information of all document types to be migrated. / The Bidder shall plan, prepare, migrate and perform a quality check of data from the current case-handling system into the new solution. This includes estimated data of 300 GB, containing approximately 600,000 documents of mainly Word, Excel, PDF, PowerPoint and approximately 75,000 case profiles.