MATERIALS MANAGEMENT R E C O R D S M A N AG E M E N T

REQUIREMENTS FOR ELECTRONIC RECORDS MANAGEMENT SYSTEMS
FUNCTIONAL-TECHNICAL-QUESTIONNAIRE

FUNCTIONAL QUESTIONNAIRE

Materials Management

Vendor Name:
Out of the Box (With Configuration) Does Not Provide

Requirement

Customization Required

Out of the Box

Additional Notes

Client Software
1. 2. 3. Provide the ability for equal client functionality using Windows XP Desktop Operating Systems. Provide equally functional client/server (thick) and web (thin) clients. Provide the ability to create and edit macros for often repeated functions and assign shortcut keys.

Document Import/Export
4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. Provide ability to manage, import, export and display HTML files. Provide ability to manage, import, export and display PDF files. Provide ability to manage, import, export and display text files. Provide ability to manage, import, export and display TIFF files. Provide ability to manage, import, export and display Word (DOC) files. Provide ability to manage, import, export and display Excel (XLS) files. Provide ability to manage, import, export and display PowerPoint (PPT) files. Provide ability to manage, import, export and display MS Project (MPP) files. Provide ability to manage, import, export and display JPEG files. Provide ability to manage, import, export and display CAD (Computer Aided Drafting) files. Provide the ability to manage, import, export and run digital video and audio files. Provide the ability to import files directly from an internet browser. Provide ability to link or embed OLE objects into the application. Provide ability to support input from multiple types of digitized image record creation. (Ex. Optical Scanners, Fax, Email attached images.) Provide the ability to export multiple documents (batch mode) and their associated indices (in a comma-delimited text file) for providing to a microfilming vendor. The vendor will return the index file with an additional field containing the roll and frame information which must then be imported into the system, updating the appropriate existing document records with the microfilm information. This process must also change a status field for the documents included in the process. Provide the ability to download a folder or group of documents, both images and indices, for offline access, including the ability to synchronize any changes made while offline. Provide ability for Check In/Check Out control and tracking of documents and images stored in the application. Provide ability for Check In/Check Out control and tracking of physical documents. Provide the ability to email documents or pages as attachments to non-system users. Provide the ability to email links to documents or pages to other system users.

19.

20. 21. 22. 23.

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TECHNICAL QUESTIONNAIRE

Materials Management

Do cu me by On nt Co p ly py rote for rig ct Pr ht ed iva te Us e
Vendor Name:
Out of the Box (With Configuration)

#

Requirement

Does Not Provide

Out of the Box

Customization Required

Additional Notes

Application Integration

1.

Provide the ability to integrate with MS Office 97 and above.

2. 3. 4. 5. 6. 7. 8. 9.

Provide the ability to interface with Microsoft Exchange/Outlook (E-mail application). Provide the ability to support RightFax fax server.

Provide the ability to support digital electronic signature software. (Ex. E-Lock, veriSign) Provide the ability to image enable client server applications. Provide the ability to image enable web applications.

Provide the ability to image enable AS/400-based applications.

Provide the ability to integrate with Windows Sharepoint Services.

Provide the ability to integrate with Skire Unifier Project Management Software.

10.

Provide the ability to integrate with Enterprise GIS (see Page 26 for current/future situation) – integration will include Desktop GIS, IMS Applications, and Future ArcGIS Server Applications

Development/Customization

11.

Provide the ability to support Industry Standard XML.

12. 13.

Provide the ability to support Open Document Management API (ODMA) Compliant structures. Provide an API or other type of SDK (Software Development Toolkit) to develop integrations with other software applications, creation of custom COM objects and use with ODBC compliant tools for accessing data elements.

Storage

14.

Provide the ability to create backups of both images and indices for off-site storage.

15. 16. 17. 18. 19. 20. 21.

Provide the ability to utilize standard image compression format. (Ex. TIFF, group 3 or 4, BMP, GIF, JPG) Provide the ability to store in different locations based on the application folder in which the document is saved. Provide the ability to support magnetic storage. Provide the ability to support SAN storage. Provide the ability to support NAS storage.

Provide the ability to support DVD storage.

Provide the ability to simultaneously use multiple storage devices of differing types.

System Administration

22.

Provide system administrator tools that are graphical.

23.

Provide the ability for non-Technical users to maintain common system variables such as drop-down lists and report parameters without assistance from Technical staff. Provide the ability to create user-defined menus for a specific user or group of users. Provide system administrator tools that allow monitoring of user logins, activities and idle time.

24. 25.

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TECHNICAL QUESTIONNAIRE

Materials Management

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26. Provide the ability to manually drop user logins. 27. 28. 29. 30. 31. 32. 33. 34. 35. Provide the ability to automatically drop user logins that have been idle for a specified time. Provide the ability to import user and group definitions. Provide the ability to utilize Active Directory Services to manage users and groups. Provide the ability to monitor, measure and report elapsed processing times. (Ex. The length of time it takes to retrieve a document/image.) Provide the ability to optimize RDBMS performance without shutting down the database or application. (Ex. Replicate the database, re-index the files.) Provide the ability to perform system maintenance while the system is up and running, i.e., create new file cabinets, add new users, etc. Provide the ability to setup up remote access to the system through Terminal Server. Provide the ability to reserve a specific number of licenses for a specific user or group. 36. Provide the ability to batch import indices and images resulting from the conversion of an historical EDMS solution. Folder and index information will be provided in a comma delimited text file with each record including the filenames of the associated tifs for that document. Provide the ability to create lookup tables in association with index fields

Technical

37.

38. 39.

Provide the ability for the same viewer to be used across various client platforms (Windows XP and newer). Provide full text warehouse capabilities.

Provide the ability for management of a fully functional test environment running simultaneously with the production environment. (Ex. For use in training and testing.)

40. 41. 42. 43. 44. 45. 46.

Provide the ability for the application to run in a Windows 2000/2003 network operating system environment. Provide the ability to support Microsoft SQL Server 2000. Provide the ability to support Microsoft SQL Server 2003. Provide the ability to support Microsoft SQL Server 2005. Provide the ability to support ISDN connections.

Provide the ability to work within standard firewall technology to separate application functions from secure databases. Provide the ability for load balanced/redundant application servers.

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FUNCTIONAL QUESTIONNAIRE

Materials Management

Do cu me by On nt Co p ly py rote for rig ct Pr ht ed iva te Us e
24. Provide the ability to 'print' electronic documents directly to the system from any application.

Document Management

25.

26. 27. 28. 29. 30.

Provide the ability to create individual working folders that contain links to documents stored in public folders. Provide the ability to print all documents in a particular folder in one step. Provide the ability to create multiple folders, each with distinct sets of indices.

Provide the ability to move documents from one folder to another. (Describe this process) Provide the ability to access any document from any location, regardless of its storage location. Provide the ability to link documents. (Ex. Agenda and Minutes documents for a specific meeting may not contain shared indices but should be able to be marked as linked documents in order that one may be accessed from the other.) Provide the ability to rotate pages and retain the rotated setting. Provide the ability to re-order pages.

31. 32.

Document Marking

33.

Provide the ability to display and print digital electronic signatures.

34. 35. 36. 37. 38.

Provide the ability for individual users to create, edit and apply rubber stamp images. Provide the ability to apply annotations and/or redactions to a document without altering the original document. Provide the ability to ensure that only a redacted version of a document may be emailed, printed or otherwise exported. Provide the ability to bookmark individual pages within a document.

Provide the ability to bookmark a video file, providing links to specific areas of the video allowing the user to advance directly to that portion of the video.

Documentation

39.

40. 41. 42. 43. 44. 45. 46. 47.

User documentation includes all data entry requirements for each field, on each screen and contains definitions of each screen. User documentation includes copies of all standard reports. User documentation includes illustrations of all application screens. User documentation is available on-line and CD-ROM.

Technical documentation includes a program narrative for each function. Technical documentation includes all data element dictionary definitions.

Technical documentation includes all naming conventions and describes all programming standards. Technical documentation includes record and file specifications. Technical documentation is available on-line and CD-ROM.

Help

48.

49. 50.

Provide the ability for system displays of cursor sensitive ‘Help’ hint text (balloonstyle) that automatically changes as the user moves from field to field. Provide the ability for users to customize existing application ‘’Help’ text. (Ex. Allow the user to Bookmark and Annotate specific areas of on-line ‘Help’.) Provide the ability to automatically position the user in the ‘Help’ text for the field on the screen that the user is in. (Ex. The user has the cursor in the field labeled ‘Customer Telephone Number’ and clicks ‘Help’, the returned ‘Help’ text will be specific to the ‘Customer Telephone Number’ field.
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FUNCTIONAL QUESTIONNAIRE

Materials Management

Do cu me by On nt Co p ly py rote for rig ct Pr ht ed iva te Us e
Indexing
51. 52. 53. 54. 55. 56. 57. 58. 59. 60. Provide the ability for dates to be entered and displayed in multiple formats. (Ex. 2001, 01) Provide the ability to automatically populate a field with a sequential number. Provide the ability to automatically populate a field with a sequential number that is a portion of a larger phrase (“DOC001”, “DOC002”, etc.) Provide the ability to change the format of a phrase used in auto-numbering fields without affecting documents using the previous format. Provide the ability to reset the next sequential number to be used in an autonumbering field. Provide the ability for the automatic population of multiple index fields, based on entry of a key field either manually or through barcode reading. Provide the ability to assign unlimited user-defined index values to incoming documents. Provide the ability to assign multiple sets of indices to a single document. Provide the ability to automatically assign a value to an index field based on the document type and/or folder in which it is placed. Provide the ability to assign the same index to multiple documents in one task. (ie, assign the current date in a date field for all documents in a particular results set) Provide the ability to have indexing screens customizable by user. 61. 62. 63. 64. 65. 66. 67. 68. Provide the ability to validate index fields during the data entry process. Provide the ability to force index data to be entered in a particular format. Provide the ability to perform Zonal OCR (Optical Character Recognition) for indexing. Provide the ability to extract index information from COLD (Computer Output to Laser Disk) text files. Provide the ability to extract index information from post script files. Provide the ability to view all values that have been entered for a field, allowing the choice of one of those values be entered as the index value. Provide the ability to utilize look-up tables/drop down list boxes, limiting the choice for the index value to only those values present in the look-up table.

Virtual Document Management

69.

Provide the ability to store information regarding the physical location of hard-copy documents without an associated image for the purpose of assigning retention rules. Provide the ability to manage records not associated with an image in the same manner as those associated with an image (ie, route the information through work flows, attach retention requirements, include them in retention reports, etc.) Provide the ability to attach a scanned or imported electronic document to a nondocument record.

70.

71.

Reporting

72.

Provide the ability for reporting using third party tools. (Ex. OLAP Vendor, Report Writing Tools such as Crystal Reports, Cognos.) Reports would include application audit information as well as reports based on index field data.

73. 74.

75.

Provide the ability for reports to be directed by the end-user to any printer attached to the network. Provide the ability for reports to be submitted with the user-defined selection criteria. (Ex. A Report Queue, which allows the user to specify the date and time for a specific report to generate and assign the printer.) Provide the ability to track and report statistical document information. (Ex. The number of documents scanned to date, number of document types, usage statistics).

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FUNCTIONAL QUESTIONNAIRE

Materials Management

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76. Provide the ability to print document history log based on user criteria (Ex. Dates, times, users, security level) for a single document, a group of documents or all documents in the system.

Retention Management

77.

78. 79. 80. 81.

Provide the ability to manage retention of all documents and/or records of documents stored in the system as described in the detailed retention requirements in the high priority section of this RFP. Provide the ability to automatically assign retention codes based on document type and/or folder in which the document is placed. Provide the ability to automatically submit all documents (scanned or imported) to the retention process. Provide the ability to create a report containing all documents with a retention period ending within a specified time frame. Provide the ability to override a configured retention met date with a manually entered retention date. User must have the proper authority to make the change. Manually entered date must be subsequent to the original retention met date. The original date should be retained in the document's history and a notation must be made by the user as to why the retention period was extended. Provide the ability to extend the retention period unconditionally due to the document being placed on Legal Hold and provide a means to report on all documents currently on Legal Hold. Provide the ability for all storage devices to automatically archive documents at the end of specified on-line retention periods while continuing to monitor the total retention period and include archived documents in reports on documents meeting retention when their retention period has been met. Provide the ability to override automatic document archive processing.

82.

83.

84.

Scanning

85.

Provide the ability to replace existing scanned documents with a final version.

86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97.

Provide the ability to replace selected pages of an existing scanned document with a final version. Provide the ability for a department to have multiple scanning locations. Provide the ability for multiple departments/sites to share a central scanning facility. Provide the ability for barcodes to be used for document separation and/or data capture during the scanning process. Provide the ability to perform ICR (Intelligent Character Recognition) during the scanning process. Provide the ability to perform OMR (Optical Mark Recognition) (i.e., score card recognition). Provide the ability to perform OCR (Optical Character Recognition) during the scanning process. Provide the ability to import documents/batches from other scanning subsystems. (Ex. PC Docs, Kofax Ascent, etc.) Provide the ability to perform batch import routines for Word, Excel, Powerpoint, TIFF, PDF, JPEG, and CSV types. Provide support for multi-function machines to be used in scanning. Provide the ability to auto-rotate images as they are scanned. Provide support for Kodak I200 series scanners.

Search

98.

Provide the ability for searching all index fields.

99.

100.

Provide the ability to perform a search combining index fields and full text searching of the document contents. Provide the ability for users to select which fields will display in the search results.

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FUNCTIONAL QUESTIONNAIRE

Materials Management

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101. 102. 103. 104. 105. Provide the ability for individual users to configure the display of search and search results fields in any order specified. Provide the ability for individual users to sort search results by any index field. Provide the ability to store, display and print search results. Provide the ability to store, recall and reuse user-defined search criteria. 106. 107. 108. 109. 110. 111. 112. Provide complex Boolean searches across all databases. (Ex. with multiple logical operators AND, OR, NOT and with proximity operators ADJ, NEAR, WITHIN, SAME). Provide the ability to search using wild card characters. (Ex. Field embedded ‘*’). Provide the ability to perform range searches (Ex. From/To Dates). Provide the ability to perform full text searches. Provide the ability to narrow search results with additional searches of either index fields or full text searching. Provide the ability to search multiple folders with a single query (full text searching and index searching assuming at least one shared index field). Provide the ability to view all values that have been entered for a field, allowing the choice of one of those values as search criteria. Provide the ability to utilize look-up tables/drop down list boxes, limiting the choice for search criteria to only those values present in the look-up table.

Security

113.

114. 115. 116. 117. 118. 119. 120. 121. 122. 123. 124. 125. 126. 127. 128. 129. 130.

Provide the ability to set security by individual user. Provide the ability to set security by group.

Provide the ability to grant or restrict the right to scan documents.

Provide the ability to grant or restrict the right to batch scan documents.

Provide the ability to grant or restrict the right to index batched documents. Provide the ability to grant or restrict the right to import electronic files.

Provide the ability to grant or restrict the right to batch import electronic files. Provide the ability to grant or restrict the right to index scanned documents.

Provide the ability to grant or restrict the right to index imported documents. Provide the ability to grant or restrict the right to modify document indexes. Provide the ability to grant or restrict the right to print documents.

Provide the ability to grant or restrict the right to configure the individual workstation. Provide the ability to grant or restrict the right to delete documents.

Provide the ability to grant or restrict the right to delete pages of a document. Provide the ability to grant or restrict the right to administer the system.

Provide the ability to grant or restrict the right to login multiple times with the same user information. Provide the ability to grant or restrict the right to submit scanned documents for OCR processing. Provide the ability to grant or restrict the right to perform full text searching.

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FUNCTIONAL QUESTIONNAIRE

Materials Management

Do cu me by On nt Co p ly py rote for rig ct Pr ht ed iva te Us e
131. Provide the ability to grant or restrict the right to create, edit and delete annotations. Provide the ability to grant or restrict the right to create, edit and delete redactions. 132. 133. 134. 135. 136. 137. 138. 139. 140. 141. 142. 143. 144. 145. Provide the ability to assign all rights listed above to each user or group separately for each folder (i.e., document group). Provide the ability for the system to grant user access to documents through the application, while not requiring the user to have access to the documents actual storage location. Provide the ability to assign original creation/ownership of a document to the user who imported/scanned the document. Provide the ability for an electronic audit trail, including automatic date/time/user stamping of all changes made to any document. Provide the ability to configure which user actions will be audited. Provide the ability to force version tracking of modified documents. Provide security that protects the database so that a modified version of an image can never be presented as the original. Provide security that will prompt for document review before any document can be deleted. Provide the ability to view description (user defined document indexes), while restricting access to the document image. Provide the ability to grant read only access. Provide the ability to secure electronic signatures such that only a specific user may apply the stamp with his or her signature on it. Provide the ability to maintain document security while searching across multiple folders. Provide the ability to automatically restrict user access based on the value in a specified field. (Ex. Document Type field - only Human Resources personnel would have access to documents with the value of "HR" in the Document Type field.) Provide the ability to grant or restrict the right to email documents as attachments. Provide the ability to grant or restrict the right to re-order pages. 146. 147. 148. 149. Provide the ability to grant or restrict the right to view documents. Provide HIPPA Compliancy

User Interface

150.

151. 152. 153. 154.

Provide the ability to create and utilize individual icons. (Ex. Separate Icons for archiving of documents and retrieval of documents.) Provide the ability to support standard image manipulations. (Ex. Zoom, rotate, sizing, scrolling, etc.) Provide drag/drop system functionality. Provide the ability to view pages of a document as thumbnails.

Provide Ability to “measure” distances on archived documents containing geographical references – Engineering As-builts for example.

Workflow

155.

Provide the ability for folders and documents to be routed through the workflow. Provide the ability for parallel processing. Provide the ability for linear processing.

156. 157. 158.

Provide the ability for ad hoc workflow routing.

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FUNCTIONAL QUESTIONNAIRE

Materials Management

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159. Provide the ability to support workflow rendezvous functionality. 160. 161. 162. 163. 164. 165. 166. 167. 168. 169. Provide the ability for workflow routing and prioritization (work set sorting) based on pre-determined values in defined field. Provide the ability to assign workflow tasks to a group of users. Provide the ability to assign a temporary proxy for a workflow user. (i.e., re-route tasks to a proxy when a user is on vacation, etc.) Provide the ability to simultaneously re-assign multiple tasks from one user to another. Provide monitoring tools to track work in the workflow. Provide a graphical (Visio-like) workflow development tool. Provide the ability for non-Technical users to define and create workflows without assistance from Technical staff. Provide the ability to support workflow processes using a separate scripting language. Provide the ability for graphical documentation of the defined workflow to be printed. Provide the ability for programs to be executed from the workflow environment to integrate other non-image information. (Ex. Spreadsheets, word processing documents, etc.) Provide the ability to support standard document management processes. (Ex. scan, print, fax, OCR, transfer, delete). Provide the ability to automatically create lists of documents for review based on index field values and send reminders to the appropriate users to process the documents after the list has been created. Provide the ability to automatically initiate a workflow based on the document type, the folder into which it is placed or a value entered into an index field. Provide the ability to use OMR (Optical Mark Recognition) to read non-index data from forms, create an output file containing the data and route the output file to the appropriate next step in a workflow. 170. 171. 172. 173.
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