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County Clerk Integrated Accounting, Cashiering and Enterprise Content Management System RFP No. 1690-15376
COOK COUNTY GOVERNMENT
Office of the Chief Procurement Officer
Request for Proposal
(RFP) No. 1690-15376
For
Cook County Clerk’s Office
Integrated Accounting, Cashiering and Enterprise Content Management Solution
Issued on
Monday, November 14, 2016
Proposals are due Friday, January 13, 2017 at 3:00 PM (CST) Proposals must be delivered to: Office of the Chief Procurement Officer 118 N. Clark Street, Room 1018 Chicago, IL 60602 Attention: Shannon E. Andrews, Chief Procurement Officer There will be a Pre-Proposal Conference on Monday, November 28, 2016 at 10:30 AM (CST) Location: 118 N. Clark Street, Room 1018, Chicago, IL 60602 Questions regarding the RFP should be directed to: Tangela Malloy, Senior Contract Negotiator (312) 603-6827, [email protected] ___________________________________________________________________________________ Toni Preckwinkle Shannon E. Andrews Cook County Board President Chief Procurement Officer ___________________________________________________________________________________
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Contents 1. Introduction .......................................................................................................................................... 7
1.1 Background ................................................................................................................................... 7
1.2 Business Goals, Scope and Objectives .......................................................................................... 8
1.3 Schedule ........................................................................................................................................ 8
1.4 Tour of County Clerk’s Office ........................................................................................................ 8
2. Current State ......................................................................................................................................... 9
2.1 Overall Functionality of Current System ....................................................................................... 9
Current State Fee Collection Cashiering Functionality ......................................................... 9
2.1.2 Current State Security ........................................................................................................... 9
2.1.3 Current State Audit Trail Functionality ................................................................................. 9
2.1.4 Current State Reports ......................................................................................................... 10
2.2 Functionality of Elections/Ethics System .................................................................................... 10
2.3 Functionality of the BVS Systems ................................................................................................ 11
2.3.1 Fee Collection / Receipting within Bureau of Vital Statistics .............................................. 11
2.3.2 BVS Reports ......................................................................................................................... 12
2.3.3 Other BVS Cashiering and Accounting Functionality .......................................................... 12
2.4 Tax Services Division System Functionality ................................................................................. 12
2.4.1 Integration of Fee Collection with Tax Document Production ........................................... 13
2.4.2 Redemption Payment Collection ........................................................................................ 14
2.4.3 Accounts Payable ................................................................................................................ 15
2.4.4 General Ledger .................................................................................................................... 16
2.5 Imaging Component Functionality .............................................................................................. 16
2.5.1 Overview ............................................................................................................................. 16
2.5.2 Ethics ................................................................................................................................... 16
2.5.3 BVS ...................................................................................................................................... 16
2.5.4 Tax Division ......................................................................................................................... 17
3. Current State of Technology ............................................................................................................... 20
3.1 Server/Storage Hardware ........................................................................................................... 20
3.2 Workstations ............................................................................................................................... 20
3.3 Credit Card Devices ..................................................................................................................... 21
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3.4 Website Payments Gateway ....................................................................................................... 21
3.5 Software License and Third Party Product Integrations ............................................................. 21
3.6 Development Environment ......................................................................................................... 21
3.7 Testing Environment ................................................................................................................... 21
3.8 Cook County Bureau of Technology ............................................................................................ 22
4 Future State ........................................................................................................................................ 23
4.1 Overview ..................................................................................................................................... 23
4.1.1 Maintain Current Functionality ........................................................................................... 23
4.1.2 Reliability of System and Future Needs .............................................................................. 23
4.1.3 Future State of Technology ................................................................................................. 24
5 Proposed Solution ............................................................................................................................... 25
5.1 Solution Overview ....................................................................................................................... 25
5.2 Software Overview ...................................................................................................................... 26
5.3 Hosting and Platform Architecture Overview ............................................................................. 26
5.4 Integration/Interface .................................................................................................................. 27
5.4.1 Oracle E-Business Financial System .................................................................................... 28
5.4.2 OnBase Enterprise Content Management (ECM) Requirements ....................................... 28
5.4.3 iNovah Cashiering Requirements ........................................................................................ 28
6 Solution Requirements ....................................................................................................................... 29
6.1 Hardware and Equipment Requirements ................................................................................... 29
6.2 Physical Environment Requirements .......................................................................................... 29
6.3 Network Requirements ............................................................................................................... 29
7 Implementation, Development and Project Management Services .................................................. 30
7.1 Overview of the Implementation Methodology ......................................................................... 30
7.2 Project Management Approach and Schedule ........................................................................... 30
7.3 Assessment of Current State and Reengineering Approach ....................................................... 31
7.4 Requirements Validation and System Design/Configuration ..................................................... 31
7.5 System Implementation and Configuration ................................................................................ 32
7.6 Data Conversion and Migration .................................................................................................. 32
7.7 Quality Assurance (“QA”) ............................................................................................................ 33
7.8 Knowledge Transfer /Training and Transition (Cutover) ............................................................ 34
7.9 Contract Performance Review and Acceptance ......................................................................... 35
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7.10 Invoicing and Payment ................................................................................................................ 35
8 Solution Ownership and Other Terms and Conditions ....................................................................... 36
8.1 Data Ownership .......................................................................................................................... 36
8.2 Intellectual Property Ownership ................................................................................................. 36
8.3 Hardware and Software Licensing .............................................................................................. 37
8.4 Software and Hardware Warranties ........................................................................................... 37
8.5 Other Terms and Conditions ....................................................................................................... 37
9 Solution Performance and Availability ................................................................................................ 38
9.1 Hosting Services .......................................................................................................................... 38
9.2 Support and Maintenance Service .............................................................................................. 38
9.3 Data Access and Retention ......................................................................................................... 39
9.4 Business Continuity and Disaster Recovery ................................................................................ 39
9.5 Transition Out and Exit Requirements ........................................................................................ 41
10 Security and Compliance ................................................................................................................ 41
10.1 Data Security Controls ................................................................................................................ 41
10.2 Secure Development and Configuration Practices ..................................................................... 42
10.3 Compliance Requirements .......................................................................................................... 42
10.4 Incident Response Requirements ............................................................................................... 42
10.5 Audit Requirements .................................................................................................................... 43
11 Instructions to Proposers ............................................................................................................... 43
11.1 Availability of Documents ........................................................................................................... 43
11.2 Pre-Proposal Conference ............................................................................................................ 43
11.3 Special Access to the Pre-Proposal Conference (As applicable) ................................................. 44
11.4 Clarifications ............................................................................................................................... 44
11.5 Delivery of Proposal Package ...................................................................................................... 44
11.6 Uniformity ................................................................................................................................... 44
11.7 Proposal Material ........................................................................................................................ 44
11.8 Addenda ...................................................................................................................................... 45
11.9 Proposer’s Responsibility for Services Proposed ........................................................................ 45
11.10 Errors and Omissions .............................................................................................................. 45
11.11 RFP Interpretation ................................................................................................................... 45
11.12 Confidentiality and Response Cost and Ownership ................................................................ 45
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11.13 Use of Subcontractors ............................................................................................................. 46
11.14 MBE/WBE Participation Goals ................................................................................................ 46
11.15 Proposer’s Disclosure and Conflict of Interest ........................................................................ 46
11.16 Cook County RFP Form ............................................................................................................ 46
11.17 Pricing ...................................................................................................................................... 46
11.18 Period of Firm Proposal........................................................................................................... 46
11.19 Awards .................................................................................................................................... 47
11.20 Cook County Rights ................................................................................................................. 47
11.21 Alteration/Modification of Original Documents ..................................................................... 47
11.22 Recycling ................................................................................................................................. 47
12 Evaluation and Selection Process ................................................................................................... 47
12.1 Responsiveness Review .............................................................................................................. 47
12.2 Acceptance of Proposals ............................................................................................................. 47
12.3 Evaluation Process ...................................................................................................................... 48
12.4 Right to Inspect ........................................................................................................................... 48
12.5 Best and Final Offer..................................................................................................................... 48
12.6 Selection Process ........................................................................................................................ 48
13 Evaluation Criteria .......................................................................................................................... 49
13.1 Responsiveness of Proposal ........................................................................................................ 49
13.2 Technical Proposal ...................................................................................................................... 49
13.3 Reasonableness of Overall Price ................................................................................................. 50
14 Submittal of Proposals ................................................................................................................... 50
14.1 Instructions for Submissions ....................................................................................................... 50
14.1.1 Number of Copies .................................................................................................................. 50
14.1.2 Time for Submission ............................................................................................................... 50
14.1.3 Format .................................................................................................................................... 50
14.1.4 Complete submission ............................................................................................................. 51
14.1.5 Packaging and Labeling .......................................................................................................... 51
14.1.6 Timely delivery of Proposals .................................................................................................. 51
14.1.7 Late Proposals ........................................................................................................................ 51
14.1.8 Schedule of Revisions to RFP Schedule .................................................................................. 51
14.2 Submission Requirements .......................................................................................................... 51
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14.2.1 Cover Letter ………………………………………………………………………………………………………………………..53
14.2.2 Executive Summary……………………………………………………………………………………………………………..53
14.2.3 Qualifications of the Proposer…………………………………………………………………………………………….53
14.2.4 Proposed Plan of Action, Implementation and Solution………………………………………………………54
14.2.5 Key Personnel……………………………………………………………………………………………………………………..54
14.2.6 Subcontracting or Teaming…………………………………………………………………………………………………54
14.2.7 MBE/WBE Participation………………………………………………………………………………………………………54
14.2.8 Financial Status…………………………………………………………………………………………………………………..55
14.2.9 Legal Actions………………………………………………………………………………………………………………………55
14.2.10 Conflict of Interest……………………………………………………………………………………………………………..55
14.2.11 Economic Disclosure Statement…………………………………………………………………………………………55
14.2.12 Contract…………………………………………………………………………………………………………………………….55
14.2.13 Other………………………………………………………………………………………………………………………………… 58
Appendix I Cook County and Cook County Clerk's Office Definitions
Appendix II Cook County Clerk’s Office Terminology
Appendix III Cook County Clerk’s Office Locations
Appendix IV System Requirements Matrix
Appendix V Pricing Proposal
Appendix VI Addendum Acknowledgement Form
Appendix VII Sample Professional Services Agreement
Appendix VIII MBE/WBE Utilization Plan Forms
Appendix IX Identification of Sub-Contractors/Suppliers/Sub-Consultant Form
Appendix X Electronic Payables Program
Appendix XI Cook County Travel Policy
Appendix XII Economic Disclosure Statement (EDS) Forms
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Introduction The purpose of this RFP document is to solicit proposals to enable the Cook County Clerk (hereinafter “the CCCO”) to select a Contractor qualified to implement a new cashiering system, enterprise content management (ECM) along with integration to the County’s centralized accounting and general ledger ERP system. The CCCO is seeking proposals for an innovative workflow based solution that will replace the CCCO’s current solution. The proposed solution shall incorporate and improve upon the functionality that exists within the current solution, integrate with the mainframe and other systems to support the document production needs of the CCCO. Based on the proposed solution, the County may elect to award a contract to the qualified Contractor(s) which submits a proposal that meets the requirements set forth herein and which best matches the needs of the office.
1.1 Background The CCCO consists of several distinct divisions with little functional interaction. Three of these divisions process payments in some form: Bureau of Vital Statistics, Election/Ethics Division, and the Real Estate and Tax Services Division. All cash management and account balancing is handled by the Real Estate and Tax Services Division, which is responsible for all banking, accounting and check-writing functions for the CCCO.
The Elections/Ethics Division (hereinafter “Ethics”) receives payments of fees for document requests and processes fines paid for late filing of Ethics Statement of Economic Interest and Lobbyist Fees.
The Bureau of Vital Statistics (hereinafter “BVS”) houses records of all births, deaths, marriages and civil unions that have occurred within Cook County and issues certified copies of these records as permitted by Illinois law. BVS also issues marriage and civil union licenses to couples planning to be married within Cook County. In addition, this department maintains Notary signature cards, issues Certificates of Authority, Notary Commission and registers private detectives, as well as registering all assumed business names for sole proprietorships, general partnerships, and professional service corporations. BVS serves over 300,000 customers in person each year, generating over $11M in fees. In addition to the main office, located in the lower concourse of the Daley Center, 69 West Washington Street, these services are also provided at the five suburban county courthouses.
BVS serves customers in person, by mail, and through a relationship with a private company, VitalChek, which provides service over the telephone or through on-line ordering with credit card payments. In addition, BVS has an on-going relationship with Currency Exchanges to provide birth, death and marriage records at local exchanges throughout Cook County. Due to restrictions on who may receive most vital records, these documents are not directly accessible through the internet.
The Real Estate and Tax Services Division (hereinafter “the Tax Division”) provides delinquent property tax bills and tax map documents upon request to taxpayers and accepts payments for redemption of certain delinquent taxes. Most documents provided include tax calculations and the production of these documents currently involves multiple systems and requires extensive analysis prior to issuance to the taxpayer. Payment of fees for document production is currently in cash or by check; credit card payments are not currently permitted but may be in the future. Property taxes paid in the Tax Division are subject
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to numerous reporting and detailed record-keeping requirements. These tax payments, called redemptions, are actually repayments made to investors (“tax buyers”) for payments they have already made to the county. These payments made to the CCCO are disbursed after processing, with payments weekly to tax buyers that are subject to IRS reporting requirements. Most of the $200M handled annually by the Tax Division represents redemption payments that are disbursed by the Tax Division. There are from 15,000 to 20,000 redemptions each year. The balance of the money processed by the Tax Division, approximately 2% of the total processed, are fees retained by the County, that are reported to the County’s general ledger.
1.2 Business Goals, Scope and Objectives The scope of the project is to replace the current ten (10) year old comprehensive cashiering, accounting and general ledger system for all cash handling responsibilities of the CCCO. In some CCCO departments, a required element will be integration with the document production responsibilities of the department. In general, the document production is through the County mainframe in the Tax Division and a combination of sources in BVS. Linkages to mainframe and remote databases will be required to produce documents and to post certain payment detail to property tax records. The optimal system will have cashiering, accounting and general ledger components that integrate seamlessly and a comprehensive, flexible accounts receivable and payable component that can accommodate all the complex financial collection and check disbursement responsibilities of the CCCO.
In addition, the system shall provide for detailed reporting and documentation, complete audit trail capabilities and internal database documentation sufficient to provide various searchable data elements on all aspects of transactions. A relational, on premise database is considered the optimum approach. Imaging of certain documents is a required element and more extensive imaging options are sought. All hardware, licenses, software (in addition to already owned County licenses/software) and software support, maintenance and upgrades should be identified by the Proposer and their cost included.
1.3 Schedule The County anticipates the following Schedule:
Activity Estimated Date 1. RFP posted to the website Monday, November 14, 2016 2. Pre-Proposal Conference Monday, November 28, 2016 3. Proposer Inquiry Deadline Friday, December 2, 2016 4. Response to Inquiries (tentative) Wednesday, December 14, 2016 5. Proposal Due Date Friday, January 13, 2017
1.4 Tour of County Clerk’s Office Current-state video presentation will be shown during Pre-Proposal Conference. Interested Proposers are invited to tour the premises immediately after the Pre-Proposal Conference; participants will be limited to 2 attendees per Vendor.
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Current State 2.1 Overall Functionality of Current System The system provides an open architecture that allows for growth and changes in legal requirements affecting the CCCO’s using departments. The system provides cashiering, audit trail, and system security. Parts of the system interface with the County Mainframe and support standard import and export capabilities. All historical information of each transaction is maintained and available in an imaged or electronic format. Scanning and indexing of documents are major components of the RFP requirements and are outlined separately in Section 2.5.
Current State Fee Collection Cashiering Functionality The following functionality exists in all divisions of the CCCO for fee collection cashiering:
• Accommodate payments by cash, checks, credit and debit card where applicable • Unique receipt numbers, automatically incrementing by workstation within a department
(except redemption cashier in Tax Division where one sequential receipt number is shared amongst all workstations)
• Display order detail on screen for cashier verification • Ability to assign customer numbers for frequent users • Ability to void or correct transactions with complete audit trail • Cash drawer balancing on demand, with ability to review drawer balances and totals on
screen and produce reconciling reports and totaling payments by tender type • Ability to allocate single payments to multiple revenue accounts and to perform calculations
needed for accurate allocation • Ability to accept concurrent usage • Ability to override pre-set fee amounts • Ability to select requested fee type with programmed associated cost • Ability to see Vitals web base transactions by batch number and print reports. Allows for
monitoring of batch posting and confirm they are correctly posted • Ability to "bring balance forward" on multiple transactions that are being paid with one check
2.1.2 Current State Security System security for all departments provides:
• Password security for access to cashier operations • Security levels definable by user, specifies which users have access to functions at different
control levels • Workstations accommodate multiple users, with cashier identification and password logons • Access to functions are to be logged in an electronic audit trail • Tiers of security available to directors, managers and supervisors, all able to administer
various levels of security and password modification.
2.1.3 Current State Audit Trail Functionality The system provides access to a printed audit trail of each transaction, including the following detail:
• Customer number • Transaction number, date and total • Revenue distributions
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• Cashier identification • Register number • Check/money order and debit/credit card detail where applicable • The audit trail is stored electronically and retrievable in real time and on-line by many of
the items listed above • Transactions stored for verification and back-up • System permits user-defined ranges for viewing or selecting of transactions • All detail accessible and retrievable on demand by authorized employees, both on-line
and in user defined and/or ad hoc reports.
2.1.4 Current State Reports In addition to reports required by the using departments, each department is able to search, produce and export on demand and view or print, the following reports daily, by date range, batch number, category, item, sale and tender. They are available at any station, site, or department:
• Cashier login/logout report • Cashiering balancing reports, including over and short amounts, by register • Reports of all voided transactions, by register • Reports of all overpayments needing refunds, by register and totals for date • Transaction reports by type of fee or document type, both by register and summary by date
or date range • Fee override reports • Split fee fund report • Credit card/debit card report, if applicable • System accommodates ad hoc reporting using smart lists • A fee log which records POS (Point of Sale) transactions that can be amended to update the
status of the order
2.2 Functionality of Elections/Ethics System Ethics has a limited cashiering module that is tied to the BVS system allowing the entry of fees and fines directly into the Clerks cashiering system known as Microsoft Dynamics Retail Management System (hereinafter "RMS") and its accounting system known as Microsoft Great Plains (hereinafter "GP") to feed revenues and revenue reports directly to BVS. Reports can be created for items, batch number, sale and tender but this is limited. Currently there is no link to any existing databases, nor is there scanning of documents. The specific functional requirements of the system are as follows:
• Captures customer name, address, phone or bypass • Itemized transactions by fee categories • Calculation of total fees or extended price • Ability to print repeat receipts • Receipts to include receipt number, date, amount • Multiple copies of receipt • Use of Ethics module at suburban BVS locations • Capture tender type.
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2.3 Functionality of the BVS Systems The BVS has a system approach to cashiering that integrates the activities of the downtown and satellite offices as well as integrate the cashiering system with document production. The system is flexible enough to incorporate production of imaged documents as such documents that are scanned and available as images. The system provides cashiering stations for each of the individual BVS units, with links to Management Information System mainframe (hereinafter "MIS"), the Illinois Department of Public Health Automated Vital Records System (IVRS gateway), License Registration System for Marriages (LRS), Assumed Business Name Registration (ABN) and Doc-Link, so that each cashiering station is able to process transactions for any function of the office: production of marriage, birth and death certificates, marriage licenses, notary certifications, private detective licenses and assumed business names transactions.
Transactions can be paid for with cash, check or money orders, and credit or debit cards. Additional fees are charged to the customer for the use of these cards and the additional fee is displayed on the receipt and listed separately on all balance, audit and general ledger reports.
The current system allows for:
• Incorporates production of certified documents from multiple sources, including but not limited to the Illinois Department of Public Health Automated Vital Records (IVRS) system, LRS, ABN and the County MIS system, if necessary
• Access of imaged records on DocLink for retrieval within the integrated cashiering functions, consistent with the requirements of Section 2.5
• Access to all BVS cashiering functions at any BVS cashiering station, with password and other controls
• At minimum 66 BVS cashiering stations (approximately 38 downtown and 28 at suburban locations), plus additional access for BVS finance and management personnel.
2.3.1 Fee Collection / Receipting within Bureau of Vital Statistics The fee collection/cashiering system also allows:
• Captures the following information: multiple customer names, address and phone, date and time of transaction, cashier and register numbers, transaction number, credit card or check number, document(s) produced and fee for same, transaction total, payment type (cash, check, etc.), amount tendered and change due for all orders including Birth, Death, Marriage, Civil Union Licenses and Certificates, Commemorative Certificates, Assumed Business Names, Notary
• Indicates if completed order will be mailed or picked up • Provides the flexibility to add, modify or delete the above-mentioned items that appear on the
customer receipt or the formatting of the receipt • Produces an 8 ½ by 11 formatted receipt, multiple copies, accommodating use of a window
envelope for mailing purposes • Provides a “no fee” option for transactions involving exempt agencies or transactions • Permits search of transactions based upon customer name, name on document, date of event,
receipt number, date • Provides supervisor the ability to override fees, with daily report of any overrides • Provides ability to track status of order, date received, date mailed or completed
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• Facilitates controls for security paper usage to simplify reconciliation of usage totals to transaction totals
• Payment by credit/debit via VitalChek
2.3.2 BVS Reports The system has the capability of producing detail and summary reports daily, weekly, monthly, quarterly and annually while maintaining historical financial data for previous fiscal years. The system must accommodate ad hoc reporting. In addition to the overall reporting requirements, these reports should include, but are not limited to, the following:
• Transaction tracking reports • Consolidated payment type report • Separate cash receipt reports (by fee and by site) • Consolidated cash receipt report • Refund journal register • Credit card transaction control report • Additional reports as deemed necessary by BVS.
2.3.3 Other BVS Cashiering and Accounting Functionality The cashiering and accounting components used by BVS interface seamlessly with the CCCO’s general ledger and with the main accounting functions handled by the Tax Division. The BVS accounting component has the ability to access the cashiering component database to view financial data, internal controls, and create ad hoc reports based on cashiering data.
The system provides access to accounts payable and other accounting modules as needed by BVS, primarily to create payables for refunds, with checks that are issued by the Tax Division, and are integrated with the general ledger which is maintained by the Tax Division.
The cashiering system has the following requirements, including the related reports and report writing development:
• Ability to process and report multi-site consolidation to a central location • Ability to accept concurrent usage • Ability to capture all cashiering data at the summary level • Ability to accept data imported from external sources and export to various programs • Ability to edit and validate data before it is posted to the appropriate general ledger account and
ability to audit all such transactions • Ability to maintain a fee log which is generated from POS transactions and can be subsequently
updated for status changes
2.4 Tax Services Division System Functionality The Tax Division has an integrated approach to cashiering and document production, while providing requested property tax documents to the taxpayer. All accounts receivable, payable and general ledger functions of the Division are seamlessly integrated, and accommodate the complex requirements of processing redemption payments and disbursements. All cash collection done by any CCCO’s department
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is integrated with the general ledger maintained by the Tax Division. The Tax Division system is accessed by approximately 20 (twenty users), for cashiering, research, accounts payable, and general ledger functions.
2.4.1 Fee Collection/Receipting within Tax Division The system accommodates the following functions:
• Fees for multiple documents & Property Index Number(s) (PIN) on a single receipt • Calculation of extended price ($10 for first tax year on PIN; $3 per additional year) • Capture customer name, address, phone, itemized order detail and payment detail • Indicate customer waiting, pick-up or mail, which triggers the printer in which documents are
to be produced • Permit search of transaction records based on PIN, customer, receipt number, date • Supervisor override of fees, with a report of any overrides • Amendment/revision of fee table, with a report of any changes • 8 ½ x 11 formatted receipt, suitable for window envelopes • Multiple (3) copy receipting • Ability to track status of order, date mailed/completed • Integration with document production, where appropriate • Three (3) cashiering stations for walk in customers, plus additional cashier stations for mailed
orders and accounting staff access for management and finance personnel. • Current system maintains transaction history with detail of each order since 2007 and must
be maintained for a minimum of twenty (20) years (approximately 1 million transactions) due to Illinois Local Records Commission disposal rules.
• Ability to maintain a fee log which is generated from POS transactions and can be subsequently updated for status changes and order tracking
• Ability to generate Certificates of Redemption and Duplicate Certificates of Redemption directly off of redemption transaction data
2.4.1 Integration of Fee Collection with Tax Document Production The system integrates the cashiering operation with document production, so that the receipting process captures and transmits data required to produce documents from MIS and to group them in a virtual printer which then prints the collated documents to a printer designated by the cashier. Bar codes representing MIS transaction codes and keys for particular documents are supplied to the cashier on an MIS generated Recommended Order Form (“ROF”). The system transmits this data to MIS which, along with print commands and identifying customer data, allows the Division to print the selected documents.
The cashier keys in customer data, and uses a wand scanner to capture bar codes in most cases, though a few document types must be manually keyed and printed. For bar coded requests, the cashier directs the order to print at one of several remote printers by keying in whether it is for a waiting customer or for later delivery. The system also provides an imaging component to allow cashiers to scan the ROF and/or customer documentation and then index the form with the applicable transaction details, including receipt number, customer name and PIN(s). Imaging permits the ROF to be accessed by staff at remote printers, so that the ROF can be reviewed when printed documents are verified, all using the official judgment books which are to be located near the printers.
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In summary, the system is able to: • Transmit data to access multiple documents based on MIS transaction code and key combinations • Scan bar code with a wand scanner to retrieve data to produce documents • Ensure multiple documents are grouped appropriately with others from same customer order • Coordinate with printers accepting multiple forms and fonts • Coordinate with printers permitting edge to edge text • Control processes that permit complex handling, coordinating with document review, proofing
and customer service procedures • Scan and index relevant documents, as described above and in Section 2.5. • Has the capability to image supplementary documentation, along with ability to update index to
reflect a cancelled or voided transaction.
2.4.2 Redemption Payment Collection The system accommodates all redemption receipting requirements and integrates with MIS to obtain information and to post information. In most cases, the cashier is presented with a printed Estimate of Redemption (EOR) which provides a bar code to be used to access the stored MIS data used to generate the EOR. The main elements of the stored data are then incorporated into the receipt and the transaction history. The current system provides for scanning and indexing of original EOR and payment instruments. The redemption payment module provides the following:
• Three (3) cashiering stations for redemption payments, with the ability to process additional transactions at other stations during peak periods
• Electronically access detail on Estimate of Redemption from MIS, through use of bar codes representing transaction codes and key combinations
• Integrates receipting with critical detail from EOR • Provides screens to manually enter all critical EOR detail, when MIS data is not available • Provides fields to capture redeeming party’s name, address, phone, plus reference information
such as “payment made on behalf of,” loan numbers, court case numbers or related redemptions • Provides fields to capture effective date and transaction date, when different, with codes for
reason (postmark, receipt, transfer) • Permits payment “as of” certain date, with software to integrate with MIS Estimate of
Redemption detail from prior date, when effective date differs from transaction date • Permits processing of multiple receipts/transactions on the same check or checks, carrying over
any balance • Provides unique consecutive, automatically incrementing, receipt numbers in a single series (not
workstation based) concurrently accessed by all users processing redemption payments • Provide all critical detail on taxpayer receipt • Provides 8½ x 11 formatted receipts, multiple copies, suitable for window envelopes • Post payment detail (name, date, receipt number, amount) directly to MIS mainframe, adapting
to field limits in MIS database where customer detail exceeds field limitations • Provides software capable of performing calculations from fields within EOR detail so as to
attribute portions of payment total to different revenue accounts • Provide the ability to print interim receipt to proof detailed data entry, placing transaction on hold
before issuing final receipt • Provides full audit trail search capability on all transaction detail, including but not limited to:
check amounts, transactions totals, receipt numbers, date ranges
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Scanning and indexing of docs related to redemption payments, as described in Section 2.5, provides for imaging of supplementary documents and/or voiding of receipt and updating index to reflect a cancelled transaction. 2.4.2 Redemption History Records Per Illinois State Statute, CCCO’s redemption records must be maintained for over twenty (20) years and must provide accessible, complete records available at all times. The system:
• Allows multiple users to search history on multiple fields: redeeming party’s name, check amounts, total transaction amount, refund amount, all transactions for given PIN, receipt number, payee name
• Archives history by calendar year, maintaining all search capability • Retains all history of each transaction • Formats Certificate of Redemption from payment data; originals are batch printed, duplicates are
printed on demand • Addresses the need to annotate records after posting, to add notes (append, not change,
historical records) with strict access limitations. • Formats redemption data into several additional documents and reports through a SQL Server
Reporting Services application
2.4.3 Accounts Payable The accounts payable module provides for following customized detail records of all the current functions. The system:
• Provides that each redemption transaction feeds accounts payable, each creating a payable in favor of the tax buyer
• Ability to process manual payments for all fee and redemption payments • Automatically create a refund for overpayments, generating a separate payable in favor of
redeeming party • Allows receipting process to integrate with MIS tax buyer tables to identify tax buyer to create
payable • Allows additional database of tax buyer and payees information, including Federal Employment
Identification Number (F.E.I.N.) or Social Security Numbers • Segregates fee portion of receipt from redemption amount and attribute appropriately • Provides ability to seamlessly reassign payable at a later date from entity originally designated at
POS to a different entity, multiple times if necessary • Provides customized check-writing function to accommodate weekly disbursements and refunds • Provides check detail in separate reports for certain disbursements • Provides searchable and formatted reports for aged open payables by tax buyer and user-defined
ranges • Calculates 1099 INT amounts from receivables and prepares a file • Adjust 1099 INT amounts if payable is reassigned to secondary tax buyer names or disbursement
returned • Accumulate 1099 INT amounts by calendar year, not fiscal year, and print 1099 INT statements
each year, accommodating yearly IRS format changes with a third party product, Greenshades
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• Able to complete complex audit trails with annotations to link reassignments, refunds, subsequent redemptions and multiple payments on same item
• Permits users to view records and retrieve reports based on various search elements including payee name, check numbers, payment date, certificate of purchase number, receipt number
• Provides integrated bank reconciliation module and permits integration with on-line bank statements including JP Morgan Access Positive Pay
2.4.4 General Ledger The CCCO’s GP General Ledger is an integrated product with the accounts payable and accounts receivable of all Divisions and is maintained by the Tax Division. The system provides:
• An integrated cashiering component of all of the CCCO divisions and adjusts all asset and
liability accounts • Integrates seamlessly with all accounts receivable and payable modules • Detail records and reports for all accounts and funds • Accommodates multiple discreet accounts pursuant to statutory requirements, many of
which require special handling and multiple adjustments • Ability to accept automated and manual journal entries • Ability to edit and validate data before it is posted and ability to audit such corrections • Ability to accept an adjustment entry to multiple periods within a single fiscal year and
multiple fiscal years. • Ability to print and export GL reports by many options such as date, account, amount • Ability to create customized financial data reports • Ability to accept data imported from external sources and ability to export to various
programs.
2.5 Imaging Component Functionality 2.5.1 Overview The CCCO also has a document processing and records management system (DocLink) which is integrated with the cashiering and accounting systems. All documents of each transaction in the Tax Division are scanned and indexed, and the records are held by the CCCO. BVS documents are indexed in DocLink and are accessed at the cashier station in order to provide documents to requesting customers. The imaging component integrates with cashiering and document production procedures set forth in Section 2.5. The documents imaged vary by department, as do the time and methods by which the CCCO receives them.
2.5.2 Ethics Ethics does not have an imaging component. 2.5.3 BVS Currently utilizes DocLink as follows:
• Images and indexes all birth and death records received by the CCCO, approximately 650,000 annually. The current database has millions of records, dating back to 1900. The current software allows for the need to occasionally rescan a document when a correction is made by the state, replacing the original image and/or indicating a superseding corrected copy in the index. Indexing
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includes name of deceased, date of death, death registration number. Indexing for birth first and last name, date of birth and registration number.
• Able to access any such imaged records through links to the cashiering system, so that a copy of
an imaged record can be ordered and produced at the same time. 2.5.4 Tax Division The imaging component in the Tax Division provides the following:
• Images of each ROF and other related documents received at the time of a fee transaction, for all cashiers, permits the Tax Division to access the documents and maintain for permanent retention. Approximately 50,000 customer transactions a year are generated, many containing multiple pages. Also, 1 million records are maintained dating back to 2007. Provides ability to note and reference voided transactions and permits appending additional records where corrections have been made after imaging and receipting of the transaction.
• Images all checks and money orders used in redemption payments, along with the EOR
(Estimate of Redemption) being paid and the receipt issued at all redemption cashier terminals. Approximately 20,000 redemptions are paid annually, some with multiple instruments, and some instruments covering multiple redemptions. These are linked by receipt number, PIN, certificate number, date paid. Software allows notations to the index in the event the transaction is voided after imaging occurs.
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Current Tax Division Service
Cashier #1 enters customer information and wands bar codes
found on recommended search form into RMS
Cashier collects fee from customer
Cashier #1 selects delivery method (pick
up or mail)
Customer
Customer obtains MIS generated
Recommended Order Form w/Bar Codes
from Customer Service
Customer presents to Cashier #1 Cashier #1
RMS Payment Processing
RMS prints receipt
Cashier#1 images (Doc Link) the receipt,
recommended search form and other related
documents
Information from bar code is sent to MIS and
data from MIS populates Cashier #1
RMS screen
Print Order Ticket
Cashier receives recommended order
form
Mail Correspondence
Delivery Orders (Later Pick-up or
Mail)
While You Wait Orders
Update Computer Generated Log w/
Completion Date/Mail Date
Update Computer Generated Log When
Necessary
Update Computer Generated Log w/
Completion Date/Mail Date
Mail out Orders
Distribute to pickup area or mail out orders
Customer Pick-up
or
or
Diagram: Fee Collection and Document Production Workflow
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Current Tax Division Service
After review and verification for accuracy, Cashier wands bar code
on Estimate of Redemption to activate data import
Cashiering system imports critical data from MIS files into receipt
format
Cashier data enters payee information, reference information
and payment details
Print draft receipt for payee review
Cashier processes payment, provides change or sets up refund
Original Estimate of Redemption, checks used for payment and all other documents related to the
transaction are imaged
Cashier enters detail from Manual Estimate or Forfeited Special
Assessment Bills
Diagram: Redemption Payment Processing
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Current State of Technology Point-of-Sales (POS) and Accounting System Hardware/Software/Devices Environment
3.1 Server/Storage Hardware Current POS/Accounting system is a client-server based consisting of three 2-node physical servers and a SAN residing in Cook County premise with the following specifications.
Clerk7 & Clerk8: Dell PowerEdge 1950, 8GB RAM, Intel Xeon 3.73GHz, 8 Processors, Windows 2003 R2 Enterprise Server, Windows clustering (Active/Passive) with virtual storage (vitals_cluster) on the SAN.
a) Virtual cluster consisting of 18 million images with total capacity of about 5TB b) File servers
CLERKBVR1 & CLERKBVR2: Dell PowerEdge R710, 12GB RAM, Intel Xeon E5520 2.7Ghz, 4 Cores, 8 Processors, Windows 2008 R2 ENT server, Windows clustering (Active/Passive) with virtual storage (BVR Cluster) on the SAN
a) SQL Server 2008 b) Microsoft Dynamics RMS 2.0 c) DocLink document management databases – 40GB d) Document management servers
CLERKTSD1 & CLERKTSD2: Dell PowerEdge R710, 24GB RAM, Intel Xeon E5520 2.7Ghz, 4 Cores, 8 Processors, Windows 2008 R2 ENT server, Windows clustering (Active/Passive) with virtual storage (TSD Cluster) on the SAN
a) SQL Server 2008 b) Microsoft Dynamic GP 2010 databases – 70GB c) Application servers
SAN: Dell Power Vault MD3000 with iSCSI interface. Total current capacity is about 7TB (300GB SAS 15k rpm hard drives)
3.2 Workstations • TSD:
a) 30+ PCs with Windows 7 Pro OS, 4GB RAM b) Software loaded on most PCs: RMS 2.0, GP 2010 and DocLink v2.7 c) Additional peripherals for PCs handling POS transactions is a scanner and a hand wand
connected to that PC • BVS:
a) 90+ PCs with Windows 7 Pro OS, 4GB RAM b) Software loaded on most PCs: RMS 2.0 and DocLink v2.7 c) A supplemental peripheral (credit card device) is used (not connected to PC or any
system) with PCs handling POS transactions • Ethics/Elections:
a) 1-2 PCs with Windows 7 Pro OS, 4GB RAM
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b) Software loaded on most PCs: RMS 2.0
3.3 Credit Card Devices The CCCO has 40+ standalone credit card devices in a separate network segment handling credit card transactions; these devices are currently spread among all BVS locations. Processing of credit card transactions is handled by a third party vendor (VitalChek). These devices do not interface with the POS system, but should as much as allowed by County enterprise standards. Credit card devices are currently only utilized in BVS, but will be used in TSD and Ethics in the future.
3.4 Website Payments Gateway There are five (5) sites in the CCCO's web portal (cookcountyclerk.com) that accepts credit card payments:
• Assumed Business Names • Genealogy Online • Marriage Commemoratives • Lobbyist Online • Statement of Economic Interest
When a credit card transaction is initiated in any of the above sites, the application will pass all card holder information (CHI) to our third party vendor, Illinois EPay, for processing through web services. Upon confirmation, only non-CHI information will be returned to Clerk’s RMS system. Genealogy online orders are processed by VitalChek.
3.5 Software License and Third Party Product Integrations • Microsoft Dynamics Great Plains 2010 • 90 Microsoft Dynamics RMS Store Operations 2.0 • 8 Microsoft Dynamics HQ server • 70 Altec - DocLink client v2.7 • Accellos – One Collect for GP • Mekorma – MICR • Greenshades
3.6 Development Environment All application development work is performed in vendor’s environment and pushed out to production site upon acceptance.
3.7 Testing Environment Test environment exists in Clerk Office’s virtual environment.
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3.8 Cook County Bureau of Technology The current POS/Accounting system interfaces with Cook County’s mainframe system, IBM Z Series 900 COBAL EZ+, by accessing and downloading tax records with a bar code. The downloaded information is visible on the POS screen and various tax bill forms are printed after being electronically collated with other documents imaged at the POS. The POS also uploads tax payment (redemption) information to the County’s mainframe after each redemption payment.
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4 Future State 4.1 Overview All existing functionality within CCCO’s current cashiering, accounting and general ledger solutions must be maintained as currently administered. Solutions to existing functionality can replicate existing processes, but new methods to achieve existing functionality can be entertained. Additional improvements in reliability and administrative refinements must be addressed in a future solution. The new solution must be able to interface with the current County’s MIS mainframe programs and databases for the next 3-6 years and be able to transition to integrate with the new Integrated Property Tax System which will replace the existing MIS mainframe property tax system, operational as early as 2019.
4.1.1 Maintain Current Functionality The current administrative and functional processes must be maintained with the new solution. Section 2 of this RFP and attached System Requirements Matrix (SRM) detail the existing solution and that functionality must be in large part replicated. Additionally, all historical transaction and imaged data must be brought forward and seamlessly accessible in the future system. The system should be expandable to permit later addition of other functions in the CCCO, and should address the needs set forth below for the affected departments. CCCO will entertain proposals that suggest the latest technology, in conjunction with enterprise standards, if it is deemed cost effective and effectively replaces current process.
4.1.2 Reliability of System and Future Needs Any proposed solution should address current reliability issues as they exist in the current system. The current solution has reliability issues with the following:
• Consistent transmittal of data to and from MIS interface • Reliable printing of ordered documents at the various printers • Alert user system password expiration date is approaching • Production of ordered documents in Tax Division, cashier 1, collated and printed within a 3
minute period • System reliability with posting transactions and batch jobs; daily, weekly, monthly and
yearly • Lengthy buffering during transactions which requires recreating the order • Ability to define endorsements to be printed on checks • File maintenance reporting, to show the directors, managers and supervisors changes to
security and control level data • Detail fee analysis reports
Ethics Division currently has a limited cashiering module that is tied to the BVS system, requiring Ethics' transactions to tie directly into the cashiering and accounting system and revenues and revenue reports directly to the Tax Division General Ledger.
Future Needs Include:
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• Transactions for the Tax Division fees section should allow for the future possibility of payment with a credit or debit card. Additional fees are charged to the customer for the use of these cards and the additional fee is displayed on the receipt and listed separately on all balance, audit and general ledger reports.
• Ability to generate denial letters to customers whose requests cannot be fulfilled in the fee sections of BVS, Ethics and Tax Division.
• Allow at POS transaction for frequent customer information to pop up once name/address is entered
• Allow for denominations of cash to be entered at POS and information used for balancing • Provide additional report capability as defined during the system design phase • Ability to edit, validate and if necessary back date data before it is posted in the appropriate
general ledger account in order to reflect accurate data and posted with the correct transaction date
• Ability to create a fee log which could tract POS customer orders and general mail correspondence that can be subsequently updated for status changes and comments. Log available on the website for customer viewing
• Daily batch work posted to reflect the date of work and date of posting and allow for back dating • Daily batch work posted to allow for adjustments to transactions that have been voided • Ability to search bank reconciliation by date, check number, amount and name • Orders replacing voided orders can be back dated to original transaction date if needed. • Ability to balance and close any cashier station at any other system location with password access • Provide as much integration as possible with credit card processing and POS, while adhering to
enterprise guidelines • Allow for revisions to credit/debit transactions before posted directly to GP to account for
disputes and chargebacks • Logs that reflect POS transactions should reflect if/when transactions are voided • Ability to receive alert if payable has already been previously assigned or reassigned • Create additional customer information to allow marriage license names • Items posted reflect both posting date and transaction date, with ability to back date if needed • Ability to search bank reconcile statement by all fields on the report • Ability to search general ledger by dollar amounts, date, account and source to help reconciliation
process • Integrate with the new Integrated Property Tax System (IPTS) as early as 2019 or entertain the
possibility of a Phase II to coincide with IPTS Go-Live date
4.1.3 Future State of Technology In an effort to leverage existing licensed software and adhere to enterprise standards, CCCO requires that all proposed solutions leverage the software referenced under ‘Existing Licensed Software & Enterprise Standards’ for the various components that will help provide a comprehensive solution. Responses should provide recommended requirements for databases, file servers, application servers, proprietary applications, network infrastructure and any additional technology that would be required for their proposed solutions. Responses should give a detailed description of the future state of technology, including the integration of existing licenses and enterprise standards in conjunction with County mainframe and the implementation of the project as a whole for each of the separate CCCO Departments.
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Existing Licensed Software & Enterprise Standards:
• Point of Sale (POS) Cashiering Solution: iNovah by Systems Innovators. The County owns a site license for iNovah, proposing vendors will be required to implement an instance of iNovah for all POS transactions. POS will be required across three (3) departments and eight (8) physically distinct locations, including suburban offices.
• Accounting and General Ledger: Oracle E-Business Suite (EBS): The County will implement EBS Financials in December 2016. Proposing vendors will be required to interface payment and account related data with EBS. IBM is the County’s EBS implementation vendor and will provide all EBS related professional services. Proposing vendors will be required to adhere to standard interface requirements.
• Enterprise Content Management (ECM): OnBase by Hyland is the ECM standard. The County’s Bureau of Technology (BOT) has a shared enterprise instance of OnBase. The OnBase platform can support workflow, document management, case management and a host of other functions. Proposing vendors will be required to utilize BOT’s instance of OnBase for document management and workflow.
• Enterprise Service Bus: The County’s standard is the Oracle SOA Suite (Service-Oriented Architecture). At a minimum the County will provide an exchange for the mainframe to exchange
• Database: Microsoft SQL Server 2012 (or current) • File Servers: Microsoft Server 2012 R2 (or current)
5 Proposed Solution Please limit your response to relevant information only; any and all marketing or advertising material should be relegated to the Appendix Section of your response. Note that Cook County reserves the right to purchase software, hardware, network equipment or other components directly through its own Countywide contracts, unless such recommended items are unique, intrinsic to the proposal, and can only be acquired through the Proposer.
5.1 Solution Overview Proposers should present a concise high-level overview of the proposed solution, including:
1. System architecture diagrams; 2. Minimum requirements for front-end and back-end modules; 3. Interfaces and integration points; 4. Third party hardware and software included in the proposal or necessary for the proposal; and 5. If the proposal includes multiple deployment options (e.g., Cloud, On-Premise, etc.), an
overview of the differences between/among the options; 6. Other key elements that will help the County better understand your proposed solution.
Proposed solution shall follow the following guidelines and considerations in meeting the county’s future state objectives:
1. Consider and propose any gap software, either custom or COTS solutions
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2. Propose the solution to meet the county objectives for application systems consolidation on function/process capabilities
3. Allow systems isolation and reduce cross system dependencies, suggest the functional redundancies where applicable
4. Suggest the data and functional redundancies to meet performance requirements, where applicable
5. Identify the functional requirements by application systems - County suggested Application, Vendor proposed application
6. County delegated all PCI compliant payment processing to County payment processor, Vendor proposed applications would not store the PCI compliant information
7. Mainframe applications to be replaced with new application, design the interfaces exposed as services that can be accessed using Web Services
8. County applications interfaces are implemented on Oracle SOA/BPM platform, any proposed solution interfaces shall be implemented on the same platform
Note: Proposers must respond to requirements as identified in the separately attached System Requirements Matrix (SRM). The proposer must identify the recommended module(s) to meet all functional and non-functional requirements. Proposer must clearly note whether the requirement cannot be met by the County’s standard and provide third party solution if necessary.
5.2 Software Overview Proposer should provide a detailed description of the product(s) and product versions being proposed in conjunction with existing County licenses and enterprise standards. The response to this section must detail the system features and capabilities and indicate if these are native to the software or if integration with a 3rd party software is required or recommended.
5.3 Hosting and Platform Architecture Overview The Proposer must give an overview of the hosting and platform architecture, including at a minimum:
a. System Environments – All environments (e.g., production, development, and test) included in the proposal and any differences or limitations in the various environments.
b. Shared Components of the System: - All shared components of the System (e.g., network segments, back-up tapes, etc.).
Below are the suggested deployment options, either one or more deployment options may be considered (i.e., on premise, cloud, hybrid cloud-local deployment:
1. Oracle E-Business Financial System: The solution is a hosted solution. Development and support are provided by the current vendor. Proposers must work with the existing vendor for proposed solution integrations/configurations.
2. Enterprise Content Management/Imaging Solution: Hyland OnBase is an on premise solution managed by the county. Proposer responses must include development and configurations services.
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3. iNovah POS and Cashiering: The County will provide iNovah software licenses, the solution will be hosted on premise and managed by the County. Proposer responses must include hardware, development, configuration and implementation services. Proposer will provide Production, and at least two (2) non-Production environments.
4. Solution Oriented Architecture (SOA)/BPM Platform: Solution is hosted on premise. Existing vendor provides managed services. Proposer responses must include development and configurations services.
NOTE: In recommending a deployment model, consider the operational and performance aspects of the overall solution. Proposer’s responses must detail why the recommended model is the best choice.
If the proposal is a cloud-based or a hybrid cloud-local solution, the proposer must describe:
1. Proposed service model (e.g., Software as a Service (SaaS), Platform as a Service (PaaS), Infrastructure as a Service (IaaS);
2. Proposed cloud deployment model (e.g., private, public, community or hybrid cloud); 3. Any third parties relied upon in the proposed solution (e.g., hosting provider); 4. Proposer’s rationale for its choice of cloud deployment model; 5. How the cloud model might impact the County’s data security and compliance (e.g., if a public
cloud, would sensitive County data be stored in a shared environment as other customers’ less sensitive and less secure data?) and associated costs (e.g., What would be the cost difference for a private cloud vs. a public cloud?);
NOTE: Any pricing must be stated in its separate pricing proposal.
5.4 Integration/Interface Proposers should state cost efficient and financially feasible integration points between the proposed system and the stated existing technologies as well as the proposed phase/timeline for interface(s) to go live. This approach must clearly show all integration related costs, alternate integration costs models, and feasible and realistic integration recommendations.
Proposers must also provide information about any implementation where the proposed solution is interfacing with existing technologies.
The below solutions have been identified as part of the County’s future state road map and it is the expectation that the vendor propose a solution that leverages the county applications and suggest any gap software and implementation.
Below are the applications used as master systems for their respective capabilities and functionalities:
• iNovah Point of Sales Solution By System Innovators • Content Management System by Hyland OnBase • Oracle E-Business Suite applications – Financials, Human Capital Management, Advanced
Procurement, Asset Management
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• Oracle Fusion middleware platform Service-Oriented Architecture (SOA)/Business Process Management (BPM)
• MS-SQL and Oracle Databases • Mainframe Systems
5.4.1 Oracle E-Business Financial System The Oracle E-Business Financial system provides the following requirements to meet or exceed the Clerk’s Accounts Payable, Accounts Receivable and General Ledger functionality to enable performance of primary non-payroll disbursement functions.
Oracle E-Business at minimum shall provide the following requirements:
• Ledger set processing and reporting • Budgetary control • Centralized and configurable sub-ledger accounting • Consolidation tools • Native compliance management • Planning & budgeting • Template based report publishing • Importing and publishing • Convert and load raw data from external system • Upload mass journal entries • Run posting • Reporting translation • Mandatory checks and balances. • Drill down to any level of detail including detail balances, journals • Customize chart of accounts
5.4.2 OnBase Enterprise Content Management (ECM) Requirements OnBase by Hyland Systems, Inc. The County’s Bureau of Technology (BOT) has a shared enterprise instance of OnBase. The OnBase platform can support workflow, document management and a host of other functions.
The solution must meet the following ECM requirements: • Scanning • Document composition • Document Storage and Retrieval • Document Search • Document Indexing and workflow functionalities • MS-SQL Server Database to store transactional and configuration data
5.4.3 iNovah Cashiering Requirements System Innovators Revenue Management Solution iNovah, provides end-to-end solution for payments, provides one cashiering database to streamline enterprise review collections from multiple source systems. Current County iNovah implementation provides the functionality to meet the Clerk’s expectations.
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iNovah at minimum shall provide the following requirements:
• Credit Cards • eCheck • MS-SQL database to store transactional and configuration data MS-SQL database • Export import of all payment transactions • Barcode interface • System look up interfaces for dynamic data gathering during the payment transaction • Web Service support • Counter operations via Cashiering module • Various levels of grouping, summary, detail level reports • Integration with Bank (fund based banking)
6 Solution Requirements Please limit your response to relevant information only; any and all marketing or advertising material should be relegated to the Appendix Section of your response.
6.1 Hardware and Equipment Requirements If hardware or equipment is included in, or required by, the proposal, then the proposer must describe:
a. Required hardware and equipment, including minimum specifications of each; b. Responsibility for purchasing all hardware and equipment (e.g., proposer or County); c. Responsibility for installation of all hardware and equipment (e.g., proposer or County); d. Ownership of all hardware and equipment; e. Procedures for acceptance, partial shipments and back ordered hardware and equipment; f. Warranties and any terms and conditions associated with the hardware and equipment;
6.2 Physical Environment Requirements The proposer must describe all physical environment requirements.
a. Physical location requirements (e.g., cooling, space, connectivity, etc.) b. Cabling/wiring and whether the County or Proposer would be responsible for procuring; c. County’s additional power requirements for operating required hardware and equipment.
6.3 Network Requirements The proposer must describe all network and bandwidth requirements associated with the proposal:
a. Normal Bandwidth Requirements– The proposer shall include a reasonable estimate of minimum bandwidth required for concurrent application access and data access for “normal” daily operational use for cloud, hybrid and/or on premise systems. Proposer shall also provide its definition of “normal daily operational use.”
b. Peak Bandwidth Requirements– The proposer shall include a reasonable estimate of peak volume/times for retrieval and uploading transactions.
c. Typical Impact – The proposer shall include a reasonable estimate of the typical impact expected on the network post implementation.
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d. Other Network Requirements – The proposer should describe the optimal physical network infrastructure required for an on premise solution to effectively mitigate latency and data speed issues. If proposing a Cloud-based solution, please describe the physical network infrastructure, connectivity testing and performance assurance.
7 Implementation, Development and Project Management Services Please limit your response to relevant information only; any and all marketing or advertising material should be relegated to the Appendix Section of your response.
This RFP seeks a managed implementation accomplishing tangible deliverables by agreed dates within a joint project task list and timeline.
Proposers are expected to propose a best-industry methodology and solution. Innovative ideas to meet the needs of the County in a timely manner are encouraged. The proposed plan of action should adhere to a leading industry project delivery methodology (e.g., agile, waterfall, etc.). The Proposer shall describe its methodology in detail in Section 7.1.
Proposer must comply with the County’s content management procedures for tracking progress and documents for the duration of the project via either the County’s SharePoint site or as otherwise agreed. In addition, the Consultant Proposer will submit written weekly or monthly status reports to the County, which may include: work accomplished, updated Gantt charts, production goals, accepted deliverables, meetings and minutes, status of risks, issues or problems, summaries of approved project changes, and invoicing and payment.
7.1 Overview of the Implementation Methodology Proposers should depict its implementation strategy in a high level diagram/table and also include:
1. Brief description of proposed methodology; 2. Proposed project phases; 3. Team roles, including subcontractors; 4. Milestones; 5. Issue and Risk Management; 6. Change Management; 7. Critical success factors; 8. Assumptions
7.2 Project Management Approach and Schedule Limit this response to the project plan and related timeline. Proposers should provide detailed scope tasks/activities, organized in phases including, but not limited to, development to Project Plan (i.e., Scope Management, Risk Management, Schedule Management, and Communication Plan), Work Breakdown Schedule (WBS), project management activities, key resources, and estimated hours per key activity. Microsoft Project files are acceptable as attachments but this section requires an easy to read format (do not insert long “black lines” for the last pages of MS project plans).
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7.3 Assessment of Current State and Reengineering Approach Proposers should provide a detailed description of your team’s approach to assessing the County’s current state, while concurrently executing a feasible and effective project plan. This section should include at minimum:
1. Assessment of current state approach; 2. Reengineering approach; 3. County responsibilities for each of the above; and 4. Expected Deliverables in the following format below.
Key Activity Deliverables Key Personnel/Responsibility
Acceptance Criteria
1. Assessment of Current State
1. 2. 3.
2. Document ‘To Be’ State
1. 2. 3.
3. Reengineering 1. 2. 3.
3. Other
7.4 Requirements Validation and System Design/Configuration Proposers should provide a detailed description of its approach to validating business and technical requirements, including at minimum:
1. Business requirements validation approach and related; 2. Technical requirements validation approach and related steps; 3. System design approach and related steps; 4. Any other key activities.
For each of the above, the Proposer shall detail expected Deliverables, the Proposer’s and County’s respective responsibilities, and acceptance criteria. Proposers must use the following format:
Key Activity Deliverables Key Personnel/Responsibility
Acceptance Criteria
1. Business requirements validation
1. 2. 3.
2. Technical requirements validation
1. 2. 3.
3. System design 1. 2. 3.
4. Other
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7.5 System Implementation and Configuration Proposers should describe its build and release approach, including at minimum:
1. Required level of effort based on the expected configuration and customization work; 2. Software configuration approach including check-in and check-out procedures; 3. Software development approach including check-in and check-out procedures; 4. System configuration and development management (documentation) procedures; 5. Any other key activity
For each of the above, the Proposer shall detail expected Deliverables, the Proposer’s and County’s respective responsibilities, and acceptance criteria. Proposers must use the following format:
Key Activity* Deliverables Key
Personnel/Responsibility Acceptance Criteria
1. Environment Set up
1. 2. 3.
2. Software configuration
1. 2. 3.
3. Software customizations
1. 2. 3.
4. Requirements Traceability Matrix
1. 2. 3.
5. As-built system documentation
1. 2. 3.
6. Other
7.6 Data Conversion and Migration Proposers must describe the approach for migrating and converting data from existing systems. Proposers will be required to extract the data from its current location, therefore, an extraction plan should also be included.
Please also consider the following questions when providing a response:
1. What is your approach regarding definition of data mapping rules? 2. How does your approach address extraction, transformation, staging, cleansing and validation? 3. Is the County or vendor responsible for cleansing County data prior to migration? 4. What strategies do you employ to conduct the final conversion process?
The below table includes data estimates from TSD/BVS of stored images of POS invoices, redemption invoices, vital records and all supporting documents for both POS and redemption invoices. There are a total of 18 million unique documents (5TB estimated).
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Name of Data Description Size Estimate No. Document Sets TSD - Fee Invoices Fee invoices and
supporting documentation for that order
8 1/2 x 11 size min: 1 page (28.3 KB); max: 117 pages (10.6 MB)
366,809
TSD - Redemption Invoices
Redemption invoices and supporting documentation
8 1/2 x 11 paper size min: 3 pages (72.3KB); max: 34 pages (1 MB)
180,677
BVS - Vital Records Birth, death and marriage certificates
8 1/2 x 11 paper size min: 1 pages (38 KB); max: 3 pages (72.3 KB)
Proposers shall include conversion and migration costs separately in pricing proposal. Data migration tasks must be reflected on the project plan and timeline.
Current Server Environment
Clerk7 & Clerk8
• Virtual Cluster consisting of 18 million images with total capacity of about 5TB
CLERKBVR1 & CLERKBVR2
• SQL Server 2008 - data
• Microsoft Dynamics RMS 2.0 - data
• Doclink document management databases – 40GB
CLERKTSD1 & CLERKTSD2
• SQL Server 2008 - data
• Microsoft Dynamic GP 2010 databases – 70GB - data
7.7 Quality Assurance (“QA”) Proposers should provide a detailed description of the proposed QA methodology adhering to best practices and clearly identifying control tasks and testing required to transition functionally from one environment to the next (e.g. dev. to prod). The County expects this section to include at minimum:
1. High level proposed QA approach; 2. Proposed testing and promotion process; 3. Proposed user acceptance process; 4. Other key activities.
For each of the above, the Proposer shall detail expected Deliverables, the Proposer’s and County’s respective responsibilities, and acceptance criteria. Proposers must use the following format:
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Key Activity Deliverables Key Personnel/Responsibility
Acceptance Criteria
1. High level QA approach
1. 2. 3.
2. Testing & promotion
1. 2. 3.
3. System Testing (i.e., integration, conversion, regression, usability etc.)
1. 2. 3.
4. Test Plans/Use Case Development
1. 2. 3.
5. User Acceptance Testing
1. 2. 3.
6. Other It is the expectation and requirement of the County that the Proposer shall complete system testing prior to County user acceptance testing (UAT). Proposer shall provide all documentation related to system testing for County verification, validation and approval prior to UAT. NOTE: It is the expectation that the Proposer shall lead in the coordination efforts of the data migration and conversion. 7.8 Knowledge Transfer /Training and Transition (Cutover) Proposers should describe the recommended knowledge transfer and change management methodology ensuring County staff participation from the onset of the project. Describe the County’s responsibilities and related escalation procedures if/when County participation is not promptly identified. This plan should include at minimum:
1. Knowledge transfer approach; 2. Training documentation (i.e., custom training guides); 3. End user training approach (including training location, format, total training hours, number
of employees trained, timing and signoff process); 4. Administrator training approach (including training location, format, total training hours,
number of employees trained, timing and signoff process); 5. Transition/cutover approach; 6. Rollout support approach (the County expects on-site support during rollout);
Note: County’s preference is on-site training. It is also the expectation that the proposer shall develop training that may be accessed for future use (i.e., Adobe Connect).
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For each of the above, the Proposer shall detail expected Deliverables, the Proposer’s and County’s respective responsibilities, and acceptance criteria. Proposers must use the following format:
Key Activity Deliverables Key Personnel/Responsibility
Acceptance Criteria
1. Knowledge transfer
1. 2. 3.
2. End user training
1. 2. 3.
3. Administrator training
1. 2. 3.
4. Transition 1. 2. 3.
5. Rollout support
1. 2. 3.
6. Other
7.9 Contract Performance Review and Acceptance Proposers should describe all expected contract performance metrics, an approach to collect and transfer all assets to the County, the required key staff to attend close out session(s), and expected close out activities. This close out plan should include at a minimum:
1. List of all expected final documentation required 2. All acceptance criteria documented; 3. Vendor review expectations
a. Performance – Project Schedule and Deliverable Quality b. Financial – Budget and Invoicing c. Customer Satisfaction
4. Project lessons learned review expectations; 5. Sample schedule of performance credits for failing to meet SLA and project milestones.
7.10 Invoicing and Payment The Proposer must clearly address the following topics relating invoicing and payments (but all pricing itself shall be separately stated in the pricing proposal):
1. Pricing methodology – The Proposer shall clearly explain whether it seeks fixed fee payment(s), time and materials payments(s), or any other payment basis, including examples if necessary.
2. Milestone-based or deliverable-based payments – The Proposer shall describe how it shall invoice the County upon the County’s acceptance of deliverables or project milestones
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3. If the proposal calls for tendering deliverables of different types (e.g., hardware components vs. custom coding), the Proposer shall clearly explain its corresponding payment expectations.
4. Payment terms – The Proposer shall describe the timeframe by which it requests the County pay invoices (e.g., Net 60, etc.)
5. Late fees – The Proposer shall describe any fees it requests for late payment of invoices.
The proposal shall clearly state all goods or services requiring payment. If the proposal does not include such items, proposer waives right to assert payment obligations at a later date. Examples of such goods or services might include:
1. Travel and expenses – The Proposer shall state its willingness to obtain the County’s written approval prior to billing the County for travel and expenses, as well as its willingness to adhere to the County’s travel policy.
2. Data transfer and data storage limits and overages – The proposer shall clearly state all limits on data storage or data transfer. If exceeding those limits would require additional fees, the proposer shall state such costs in its separate pricing proposal.
8 Solution Ownership and Other Terms and Conditions Please limit your response to relevant information only; any and all marketing or advertising material should be relegated to the Appendix Section of your response.
8.1 Data Ownership If awarded, all County Data shall be and remain the sole and exclusive property of the County. The selected Proposer will treat County Data as Confidential Information. The selected Proposer will be provided a license to County Data hereunder for the sole and exclusive purpose of performing its obligations under the resulting Agreement, including a limited non-exclusive, non-transferable license to transmit, process, and display County Data only to the extent necessary in the provisioning of the Services and not for the storage or recording of County Data. The selected Proposer will be prohibited from disclosing County Data to any third party without specific written approval from the County. The Selected Proposer will have no property interest in, and may assert no lien on or right to withhold County Data from Cook County.
“County Data” means any data, including metadata about such data and backup or other copies thereof, that the proposer or its subcontractors obtains or accesses for the purposes of performing its obligations under the proposal; to the extent there is any uncertainty as to whether any data constitutes County Data, the data in question shall be treated as County Data.
8.2 Intellectual Property Ownership Proposer’s deliverables may be considered “works made for hire” or otherwise assigned to or owned by the County. Proposer must state its agreement or must state any objection to this section. Specifically, the Proposer must address intellectual property ownership individually with respect to each of the following in its proposal:
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1. Commercial-off-the-shelf software or software components; 2. Software customizations; 3. Database schemas; 4. Workflows; 5. Project plans; 6. Documentation; 7. Training materials; 8. Other Deliverables.
8.3 Hardware and Software Licensing The proposal shall include a clear, high-level, non-legalese explanation of its hardware and software licensing. At a minimum, the explanation shall answer the following questions:
a. What type of hardware and software license will the County receive? For example, would the County own licenses after the term of the proposed agreement?
b. Who are the licensors? For example, is the proposer reselling or integrating a third party’s hardware or software?
c. Are any conditions attached to the hardware or software licenses? For example, would the County’s licenses cease if the County chose to end maintenance services?
d. Do any licenses propose to limit the manufacturers’ liabilities or the County’s remedies?
In an appendix, the proposal shall attach complete copies of hardware and software licensing agreements related to the proposal. 8.4 Software and Hardware Warranties The proposal shall include a clear, high-level, non-legalese explanation of its hardware and software warranties. At a minimum, the explanation shall answer the following questions:
a. What type of hardware and software warranties will the County receive? b. What would the warranties cover? If defects only, how are defects defined? c. What would the warranties exclude? d. What would be the County’s remedies under the warranties? Repair and replace or other?
In an appendix, the proposal shall attach complete copies of hardware and software warranties related to the proposal. 8.5 Other Terms and Conditions If the proposer requires any additional terms, the proposal shall include a clear, high-level, non-legalese explanation of them. At a minimum, the explanation shall answer the following questions:
a. Does the proposer intend to impose upon the County any additional terms and conditions, such as end user license agreements, acceptable use policies, terms of service, product use agreements, etc.?
b. Does the proposer want to reference its terms and conditions via URL or change its terms and conditions at a later date? Or would the proposer include copies of the additional terms and conditions as exhibits to a contract with the County?
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c. Do any additional terms limit the proposer’s liabilities or the County’s remedies? d. Does proposer’s system of managing revenue recognitions affect its proposal, including, but
not limited to pricing, guarantees, warranty provisions, or compliance with laws?
In an appendix, the proposal shall attach complete copies of any additional terms and conditions related to the proposal, such as: acceptable use policies, terms of service, privacy policies, and other terms and conditions.
9 Solution Performance and Availability Please limit your response to relevant information only; any and all marketing or advertising material should be relegated to the Appendix Section of your response.
9.1 Hosting Services The proposal must describe any hosting services it offers, including:
a. Description of services – Any necessary information not provided in the hosting and architecture overview.
b. Subcontractors – Whether the proposer providers hosting services directly or through a subcontractor; if through a subcontractor, include an explanation of how the proposer ensures its subcontractor will meet requirements of a contract with the County.
c. Data Storage Limits and Overages – The proposer shall clearly state all data storage limits associated with the System. Where exceeding such data storage limits would cause the County to incur additional cost, the proposer shall state such costs in its separate pricing proposal.
d. Data Transfer Limits and Overages – The proposer shall clearly state all data transfer limits associated with the System. Where exceeding such data transfer limits would cause the County to incur additional cost, the proposer shall state such costs in its separate pricing proposal.
9.2 Support and Maintenance Service The proposal must individually address each of the following requirements and provide sufficient detail on whether and how it meets the following requirements:
a. Multi-tiered support – The proposal must provide multiple tiers of support and must state whether the County is assumed to provide tier 1 support.
b. Severity levels – The proposal must provide support and maintenance response proportionate to varying levels of incident severity.
c. Multiple contact method – The proposal should provide for multiple methods of reporting an incident to the proposer.
d. First-tier support scripts – If the proposer assumes that the County will provide Tier 1 support, and then the proposer shall deliver sufficient scripts and training to County help desk staff to adequately function as Tier 1 support.
e. Managed Services – The proposer must provide managed services.
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The proposal must individually address the following service level agreements (SLAs) for support and maintenance services, including whether such SLAs are offered and any additional cost for the SLAs, and detail on such:
a. Proposer’s Response Time SLAs – The time it takes an End-User to connect with Respondent’s contact center live representative. Respondent will provide toll-free telephone lines in adequate quantity to handle call volume; ACD system(s) to record call date, time and duration information; and electronic interfaces to all systems for monitoring and reporting.
b. Proposer’s Resolution Time SLAs – Resolution is the time elapsed from the initiation of the Help Desk Incident until Service is restored.
c. Other SLAs – If Proposers offer additional SLAs, they should be included.
For each SLA, the proposer must:
a. Detail on how proposer will enable the County to verify SLA compliance. b. Detail any tiers of SLAs, whether by severity or other classification. c. Whether Proposer offers specific and calculable service level credits, but Proposer must state
any credits in its separate pricing proposal. 9.3 Data Access and Retention Furthermore, the response must state whether Proposer will meet the following data-related system requirements:
a. At all times, the County shall be able to receive County data, associated metadata, and reasonably granular subsets thereof, as well as any associated files or attachments, from the System in a useable, encrypted format.
b. Upon termination of the contract and at the County’s written request, the Proposer shall destroy County Data, including backups and copies thereof, according to NIST standards or as otherwise directed by the County.
c. The System shall have the ability to retain County data in a manner that is searchable and capable of compliance with records retention laws and best practices.
d. At no time may Proposer suspend or terminate County’s access to County Data or the System for breach of contract or term or condition relating to the System without giving the County reasonable notice and opportunity to cure according to the County’s dispute resolution process.
9.4 Business Continuity and Disaster Recovery The proposal must individually address each the following requirements and provide sufficient detail on whether and how it meets the following requirements:
a. Proposers must have an automated backup and recovery capability for the system and application, including incremental and full back-up capabilities. Additionally, system backups must be accomplished without taking the application out of service and without degradation of performance or disruption to County operations.
b. Proposers must be able to provide the service from at least two geographically diverse data centers that do not share common threats (e.g. the data centers cannot be in the same
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earthquake zone, likely hurricane path, same flood zone, etc.). The data centers must at a minimum meet Tier III standards for redundancy of power, telecommunications, HVAC, security, fire suppression and building integrity.
c. Proposers must specify whether, in the event of a technology or other failure at the primary processing center, the alternate system will meet the following tiers, for which the County’s use should be identical regardless of which location is processing the County’s work:
Category Alternate system characteristics High Availability Continuous operation without interruption or degradation in service. Standard Availability
Available for County use within 48 hours with no degradation in service.
Non-Critical Availability
Available for County use within 96 hours with no degradation in service.
d. Proposers must implement crisis management, business continuity and disaster recovery
plans, subject to County approval, which the County will not reasonably withhold. These plans must outline how the proposer will support the County’s recovery at the alternate site, including backup staff required to implement the plan in an emergency if the proposer’s primary staff is unavailable. Such plans shall also include a minimum of annual testing in coordination with the County
e. Proposers must specify the System’s proven RTO and RPO in case the primary site becomes unavailable.
f. Proposers must specify whether the System will meet the following availability tiers, which tier, and must specifically describe how the System meets such tier:
Category Availability RTO Characteristics & RPO High Availability
99.982% Intra-day Typically involves data replication to a hot-site for each transaction or at short intervals, like 15 minutes.
Standard Availability
99.741% 24 to 48 Hours
Nightly tape backups shipped to a warm-site data center. System reestablished at time of disaster from tape. May lose up to one day of data.
Non-Critical Availability
99.671% 48 to 96 Hours
Nightly tape backups shipped to offsite warm or cold site data center. System reestablished at time of disaster from tape after more critical systems are restored. May lose up to one day of data.
Proposers must detail available performance credits offered for a failure to meet uptime, RTO and RPO requirements.
“Recovery Point Objective” or “RPO” means the point-in-time that systems and data must be recovered and may range from point-of-failure, which has minimal loss, to data backed up the previous night or previous week (e.g., point-of-failure, one hour of data, one day of transactions or paper work).
“Recovery Time Objective” or “RTO” means the timeframe business functions must be recovered after a declared outage (e.g., 24 hours).
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9.5 Transition Out and Exit Requirements The proposal must describe its plan for transitioning Deliverables, County data, and any County intellectual property to the County at the termination of the proposed solution or services, including:
a. How the aforementioned would be delivered to the County; b. For hosted solutions, the procedure to import County Data to internal site, and the County's
responsibilities in the event the County would want to transition to on premise hardware; c. Whether the Proposer would assist in transition to the County or successor vendor; d. How County data in contractor’s possession would be destroyed after transition; e. All assumptions and requirements, such as required time for transition or County
participation.
The Proposer must include any costs associated with transition out in its separate pricing proposal.
10 Security and Compliance Please limit your response to relevant information only; any and all marketing or advertising material should be relegated to the Appendix Section of your response.
10.1 Data Security Controls The proposal must give an overview of the System’s software, hardware, and other controls supporting the System’s data security.
The proposer must also provide a reasonably detailed explanation as to how the proposal protects the System and County Data within each of the following additional data security categories (NOTE: the County recognizes that reasonable descriptions of each security attribute below will vary in length, some attributes requiring little explanation, others not.) (If proposer determines any of the following requirements to be inapplicable, proposer shall state so and shall also state the basis for determining each such requirement to be inapplicable):
a. Password configurations (e.g., complexity, aging, etc.); b. Authentication configuration (e.g., active directory, encrypted data exchange, hash, etc.); c. Encryption configurations (e.g., symmetrical AES-256, asymmetrical RSA 2048, etc.) for both
data at rest and data in motion; d. Logging/Auditing capabilities (e.g., verbose user tracking and reporting, etc.); e. Logs must be exportable to third party log aggregators; f. Physical security (e.g., 24-hour security, alarms, restricted access, etc.); g. Personnel security (e.g., extensive background checks, annual recheck, etc.); h. Web Application configurations (e.g., SQL injection protection, buffer overflow, etc.); i. Network transmission security (LAN and VPN); j. Data that is to be transmitted off-site must be encrypted end to end.
Lastly, the proposer shall confirm that, under its proposal, all data-at-rest will not be stored outside of the continental United States.
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10.2 Secure Development and Configuration Practices The Proposer must describe its application development and configuration practices and how they will reasonably protect the security, confidentiality and privacy of County data and any individuals who may be considered data subjects as to the solution.
The Proposer should state whether it will adhere to the following guidelines: Microsoft Secure Coding Guidelines for the .NET Framework, CERT Secure Coding Standards, OWASP Secure Coding Principles, privacy by design principles, and the Federal Trade Commission’s Fair Information Practice Principles.
10.3 Compliance Requirements The proposer must provide sufficient detail on whether and how the proposal possesses data security controls that comply with (If proposer determines any of the following requirements to be inapplicable, proposer shall state so and shall also state the basis for determining each such requirement to be inapplicable):
a. HIPAA, HITECH and the rules promulgated thereunder; b. Payment Card Industry standards, including but not limited to PCI DSS and PCI PA-DSS; c. 28 CFR 20 and the FBI’s CJIS Security Policy; d. IRS Publication 1075; e. NIST 800-53, as revised; f. ISO 27001/27002, as revised.
10.4 Incident Response Requirements Proposer may include a full Incident Response Policy and/or related Plan as an attachment. In response to this section, the proposal must state the Proposer’s approach to meeting the following data security incident response requirements:
a. Maintenance of the Proposers’ Incident Response Plan; b. Conformance of such plan to Illinois Personal Information Protection Act and the breach
notification laws of the fifty states; c. Cook County’s rights of review, approval and reasonable modification to Proposer’s incident
response plan; d. Proposer’s approach to provide detailed reports on the nature of incidents and identified data
lost or stolen; e. Proposer must describe its plan to address security incidents and data breaches in alignment
with the following requirements. For events within the control of Proposer, the Proposer is expected to:
i. Immediately notify the County of incidents and breaches; ii. Identify immediate plan of action to mitigate further incident progression;
iii. Identify protection measures for affected individuals; iv. Provide outbound and inbound incident-related communications, as requested and
directed by the County;
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10.5 Audit Requirements The proposal must individually address each the following requirements and provide sufficient detail on whether and how it meets the following requirements:
1. The proposer will provide SOC 2, Type 2 reports to the County annually or upon request; 2. The proposer will provide corrective action plans or actions taken to resolve any exceptions,
material weaknesses and/or control deficiencies identified in the SOC report. 3. The County will have the right to access and audit proposer’s system and hosting; 4. The County will have the right to request reasonable adjustments at the proposer’s expense
where those requests are based upon audit findings pertaining to the System or Hosting.
11 Instructions to Proposers This RFP provides potential Proposers with sufficient information to enable them to prepare and submit proposals. This RFP also contains the instructions governing the submittal of a proposal and the materials to be included therein, including the County requirements, which must be met to be eligible for consideration. All proposals must be complete as to the information requested in this RFP in order to be considered responsive and eligible for award. Proposers providing insufficient details will be deemed non-responsive. The County is not obligated, neither to purchase the full services or products proposed by the Proposer, nor to enter into an agreement with any one Proposer.
11.1 Availability of Documents The County will publish their competitive bid, RFP, and other procurement notices, as well as award information, at: http://legacy.cookcountygov.com/purchasing/bids/listAllBids.php
Interested suppliers should note that, unless otherwise stated in the bid or RFP documents, there is no charge or fee to obtain a copy of the bid documents and respond to documents posted for competitive solicitations. Proposers intending to respond to any posted solicitation are encouraged to visit the web site above to ensure that they have received a complete and current set of documents. Some procurement notices may provide a downloadable version of the pertinent documents and any amendments to them, available to suppliers after they have completed a simple registration process. Additionally, some notices may permit a supplier to submit a response to a posted requirement in an electronic format.
Any Proposers receiving a copy of procurement documents from a bid referral service and/or other third party are solely responsible for ensuring that they have received all necessary procurement documentation, including amendments and schedules. The County is not responsible for ensuring that all or any procurement documentation is received by any Proposer that is not appropriately registered with Cook County.
11.2 Pre-Proposal Conference The County will hold a Pre-Proposal conference on the date, time and location indicated below. Representatives of the County will be present to answer any questions regarding the goods or services requested or proposal procedures. Prospective Proposers will respond to the contact person listed on
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the front cover of the RFP at least one day prior to the Pre-Proposal Conference to confirm participation and number of representatives attending the meeting. A maximum of 2 representatives from each firm may attend the pre-proposal conference.
Attendees are encouraged to bring a copy of the RFP to the Pre-Proposal conference.
Date: Tuesday, November 29, 2016 Time: 10:30 a.m. Location: 118 N. Clark Street, Room 1018, Chicago, IL 60602
11.3 Special Access to the Pre-Proposal Conference (As applicable) If special accommodations are required for Proposer to attend the Pre-Proposal Conference or the proposal opening, contact the contact person listed on the front cover of this RFP via email or by phone no later than three (3) days before the event.
11.4 Clarifications Questions regarding this RFP will be submitted in writing to the contact person listed on the cover page of this RFP no later than the date stated in the Schedule.
11.5 Delivery of Proposal Package The Proposal and the Pricing Proposal will be either delivered by hand or sent to the County, Office of the Chief Procurement Officer through U.S. Mail or other available courier services to the address shown on the cover sheet of this RFP. Include the RFP number on any package delivered or sent to the County Office of the Chief Procurement Officer and on any correspondence related to this RFP or the Proposal. The Proposer remains responsible for insuring that its Proposal is received at the time, date, place, and office specified. The County assumes no responsibility for any Proposal not so received, regardless of whether the delay is caused by the U.S. Postal Service, any other carrier, or some other act or circumstance. Proposals received after the time specified will not be considered.
If using an express delivery service, the package must be delivered to the designated building and office and not to the County Central Receiving facilities.
11.6 Uniformity To provide uniformity and to facilitate comparison of Proposals, all information submitted must clearly refer to the page number, section or other identifying reference in this RFP. All information submitted must be noted in the same sequence as its appearance in this RFP and the format required for the pricing proposal. The County reserves the right to waive minor variances or irregularities.
11.7 Proposal Material The Proposal material submitted in response to the RFP becomes the property of Cook County upon delivery to the Office of the Chief Procurement Officer and will be part of any contract formal document for the goods or services which are the subject of this RFP.
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11.8 Addenda Should any Proposer have questions concerning conditions and specifications, or find discrepancies in or omissions in the specifications, or be in doubt as to their meaning, they should notify the Office of the Chief Procurement Officer no later than the date stated on the schedule and obtain clarification prior to submitting a Proposal. Such inquires must reference the proposal due date and the County RFP number.
Any clarification addenda issued to Proposer prior to the Proposal due date shall be made available to all responders. Since all addenda become a part of the Proposal, all addenda must be signed by an authorized Proposer representative and returned with the Proposal on or before the Proposal opening date. Failure to sign and return any and all addenda acknowledgements shall be grounds for rejection of the Proposal.
Interpretations that change the terms, conditions, or specifications will be made in the form of an addendum to the solicitation by the County. If issued, the County will post the addenda on the county website: http://legacy.cookcountygov.com/purchasing. In the event there are any conflicts between the general terms and conditions and any special terms and conditions, the special terms and conditions shall take precedence.
11.9 Proposer’s Responsibility for Services Proposed The Proposer must thoroughly examine and will be held to have thoroughly examined and read the entire RFP document. Failure of Proposers fully to acquaint themselves with existing conditions or the amount of work involved will not be a basis for requesting extra compensation after the award of a Contract.
11.10 Errors and Omissions The Proposer is expected to comply with the true intent of this RFP taken as a whole and shall not avail itself of any errors or omission to the detriment of the services or the County. Should the Proposer suspect any error, omission, or discrepancy in the specifications or instructions, the Proposer shall immediately notify the County in writing, and the County will issue written corrections or clarifications. The Proposer is responsible for the contents of its Proposals and for satisfying the requirements set forth in the RFP. Proposer will not be allowed to benefit from errors in the document that could have been reasonably discovered by the Proposer in the process of putting the proposal together.
11.11 RFP Interpretation Interpretation of the wording of this document shall be the responsibility of the County and that interpretation shall be final.
11.12 Confidentiality and Response Cost and Ownership From the date of issuance of the RFP until the due date, the Proposer must not make available or discuss its Proposal, or any part thereof, with any employee or agent of the County. The Proposer is hereby warned that any part of its Proposal or any other material marked as confidential, proprietary, or trade secret, can only be protected to the extent permitted by Illinois Statutes.
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11.13 Use of Subcontractors The Proposal must clearly state the identity of each team member and their role. The Proposer’s response must include a description of which portion(s) of the work will be subcontracted out, the names and addresses of potential Subcontractors and the expected amount of money each will receive under the Contract. The County reserves the right to accept or reject any subcontractor if in the County’s sole opinion it is in the best interest of the County.
11.14 MBE/WBE Participation Goals Consistent with Cook County, Illinois Code of Ordinances (Article IV, Section 34-277), the County has established a goal that MBE and WBE firms retained as subcontractors receive a minimum of 35% of all services in this procurement. Hardware and Software costs are M/WBE exempt. In an effort to continue to promote and expand the participation of certified MBE/WBE firms, the Proposer shall make good faith efforts to utilize MBE/WBE certified firms as subcontractors. In its response, a Proposer shall state the name(s) of the minority and women subcontractor(s) and the level of participation proposed for each firm to be awarded a subcontract.
11.15 Proposer’s Disclosure and Conflict of Interest The Proposer must complete and return the enclosed "Economic Disclosure Statement & Forms" along with their proposal. In the event that further clarification is required on any of the information provided, the County reserves the right to make any necessary inquiry with a Proposer for such purpose. Such inquiry, if made, may include a deadline by which time any necessary clarifying information must be submitted.
11.16 Cook County RFP Form All Proposers will use this solicitation form for submitting their proposal. Variations or exceptions from the specifications and general conditions should be submitted in writing. Such variations or exceptions may be considered in evaluating the offers received. Any exception taken must be noted in the space provided within this solicitation. Failure to comply with this requirement may cause a Proposer’s proposal to be considered "nonresponsive."
11.17 Pricing All price and cost information requested in this solicitation should be provided by the Proposer. While price is a factor in the evaluation of responses received, the relevant importance of price may vary based on the nature of the purchase and the related significance of other criteria as may be expressed elsewhere in this solicitation. In evaluating price, the County may give consideration to all cost of ownership factors relevant to determine the total final cost to the County, including but not limited to: administrative cost of issuing multiple awards. The County will be the sole determinant of the relevant and appropriate cost factors to be used in evaluating any Base or Alternate offers and/or Options.
11.18 Period of Firm Proposal Prices for the proposed service must be kept firm for at least one hundred and twenty (120) days after the last time specified for submission of Proposals. Firm Proposals for periods of less than this number of days may be considered non-responsive. The Proposer may specify a longer period of firm price than
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indicated here. If no period is indicated by the Proposer in the Proposal, the price will be firm until written notice to the contrary is received from the Proposer, unless otherwise specified in this RFP.
11.19 Awards The County may, at its discretion evaluate all responsive Proposals. The County reserves the right to make the award on an all or partial basis or split the award to multiple Proposers based on the lowest responsible Proposers meeting the specifications, terms and conditions. If a split award impacts the outcome of the project it must be so stated in the proposal.
11.20 Cook County Rights The County reserves the right to reject any and all offers, to waive any informality in the offers and, unless otherwise specified by the Proposer, to accept any item in the offer. The County also reserves the right to accept or reject all or part of your Proposal, in any combination that is economically advantageous to Cook County.
11.21 Alteration/Modification of Original Documents The Proposer certifies that no alterations or modifications have been made to the original content of this Bid/RFP or other procurement documents (either text or graphics and whether transmitted electronically or hard copy in preparing this proposal). Any alternates or exceptions (whether to products, services, terms, conditions, or other procurement document subject matter) are apparent and clearly noted in the offered proposal. Proposer understands that failure to comply with this requirement may result in the proposal being disqualified and, if determined to be a deliberate attempt to misrepresent the proposal, may be considered as sufficient basis to suspend or debar the submitting party from consideration from future competitive procurement opportunities.
11.22 Recycling Packaging which is readily recyclable, made with recyclable materials, and designed to minimize potential adverse effects on the environment when disposed of by incineration or in a landfill is desired to the extent possible. Product(s) offered which contain recycled materials may be acceptable provided they meet all pertinent specifications and performance criteria outlined in this RFP. If the product(s) offered are manufactured utilizing recycled materials, identify the percentage composition and nature of the recycled content within.
12 Evaluation and Selection Process 12.1 Responsiveness Review County personnel will review all proposals to ascertain that they are responsive to all submission requirements.
12.2 Acceptance of Proposals The Chief Procurement Officer reserves the right to reject any or all Proposals or any part thereof, to waive informalities, and to accept the Proposal deemed most favorable to The County.
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12.3 Evaluation Process An evaluation committee (“EC”) comprised of Cook County personnel will evaluate all responsive proposals in accordance with the evaluation criteria detailed below.
This evaluation process may result in a shortlist of proposals. The EC, at its option, may request that all or shortlisted Proposers make a presentation and engage in proactive pricing feedback, submit clarifications, schedule a site visit of their premises (as appropriate), provide a best and final offer, provide additional references, respond to questions, or consider alternative approaches.
12.4 Right to Inspect The County reserves the right to inspect and investigate thoroughly the establishment, facilities, equipment, business reputation, and other qualification of the Proposer and any proposed subcontractors and to reject any Proposal regardless of price if it shall be administratively determined that in the County’s sole discretion the Proposer is deficient in any of the essentials necessary to assure acceptable standards of performance. Cook County reserves the right to continue this inspection procedure throughout the life of the Contract that may arise from this RFP.
12.5 Best and Final Offer The County reserves the right to request a Best and Final Offer from finalist Proposer(s), if it deems such an approach necessary. In general, the Best and Final Offer will consist of updated costs as well as answers to specific questions that were identified during the evaluation of Proposals.
If the County chooses to invoke this option, Proposals will be re-evaluated by incorporating the information requested in the Best and Final Offer document, including costs, and answers to specific questions presented in the document. The specific format for the Best and Final Offer would be determined during evaluation discussions. Turnaround time for responding to a Best and Final Offers document is usually brief (i.e., five (5) business days).
12.6 Selection Process Upon review of all information provided by shortlisted Proposers, the evaluation committee will make a recommendation for selection to the Chief Procurement Officer for concurrence and submission to the County elected officials. The County reserves the right to check references on any projects performed by the Proposer whether provided by the Proposer or known by the County. The selected proposal will be submitted for approval to the Cook County Board. Cook County intends to select a proposal that best meets the needs of the County and provides the best overall value. Upon approval of the selected Proposer, a contract will be prepared by the County and presented to the Selected Proposer for signature.
Pursuant to Section 34-123 of the Cook County Procurement Code, all negotiated contracts over $150,000 are subject to the approval of the Cook County Board of Commissioners, which may accept or reject any proposed Contract at its sole discretion.
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13 Evaluation Criteria 13.1 Responsiveness of Proposal Proposals will be reviewed for compliance with and adherence to all submittal requirements requested in this RFP. Proposals which are incomplete and missing key components necessary to fully evaluate the Proposal may, at the discretion of the EC, be rejected from further consideration due to “Non-Responsiveness” and rated Non-Responsive. The County at its discretion may waive non-material omissions or provide an opportunity to cure.
13.2 Technical Proposal Proposals will be reviewed and selected based on the following criteria.
13.2.1 Quality of the proposed solution and Proposer’s understanding of the requirements to meet the County’s stated business goals;
13.2.2 Capacity to achieve the County’s business goals, objectives, Scope of Services and
System Requirements described in this RFP, mainly: a. Capacity to reengineer the described processes (when necessary), b. Capacity to automate the described processes within a reasonable timeframe, c. Capacity to complete tangible deliverables within a reasonable time period, d. Capacity to deliver automation within a short period of time, e. Capacity to work with complex organizations and their processes, f. Feasibility of the proposed project plan and schedule, g. Ability to successfully integrate and implement a solution that meets the Clerk’s
Office general overall requirements, which includes: overall fee collection cashiering; overall security; overall audit trail and reporting features; and vendor technical support requirements.
h. Ability to successfully integrate and implement a solution that meets the Clerk’s Office Tax Division overall requirements, which includes: cashiering; fee collection requirements; document production and workflow; statutory tax redemption payment collection; redemption history records (both fee and redemption records); statutory accounts payable and general ledger requirements; finance and bank reconciliation requirements.
i. Ability to successfully integrate and implement a solution that meets the Clerk’s Office Bureau of Vital Statistics Division overall requirements, which includes: fee collection; cashiering, reporting and accounting requirements.
j. Ability to successfully integrate and implement a solution that meets the Clerk’s Office Elections and Ethics Division overall requirements, which includes: fee collection, cashiering, and reporting requirements.
k. Ability to successfully integrate and implement a solution that meets the Clerk’s Office Imaging and Documents requirements, which includes: Bureau of Vital Statistics imaging, interaction/workflow and storing requirements; Tax Division imaging, interaction/workflow and storing requirements.
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l. Capacity to meet the requirements based on the System Requirements Matrix (SRM).
13.2.3 Proposed Contract Performance Metrics (see the Performance Review and Acceptance Section).
13.2.4 Qualifications and experience of the Proposer to successfully perform and provide the services described in this RFP, as evidenced by the successful implementation of similar programs in large complex public organizations such as County government, municipalities or other similar institutions;
13.2.5 Qualifications and experience of the proposed key personnel as evidenced by relevant experience, including a Reference Letter from three (3) previous clients;
13.2.6 Commitment to meet the MBE/WBE goals stated in this RFP; 13.2.7 Financial stability of the Proposer.
13.3 Reasonableness of Overall Price Price will be evaluated separately for overall reasonableness and competitiveness.
14 Submittal of Proposals 14.1 Instructions for Submissions 14.1.1 Number of Copies Proposers are required to submit one (1) original hardcopy no later than the time and date indicated in the RFP. The original should be clearly marked “original.” Proposers are also required to submit one (1) electronic copy of the proposal on CD/DVD or flash drive.
The pricing proposal must be submitted separately in the form of (1) original hardcopy, and one (1) electronic copy of the pricing proposal on CD/DVD or flash drive. The original pricing proposal should be clearly marked “original”.
The MBE/WBE Utilization Plan Forms shall be submitted in a separate sealed envelope with the pricing. The envelope shall clearly identify the content as “MBE/WBE Utilization Plan Forms”. MBE/WBE Utilization Plan Forms must be submitted separately in the form of one (1) original. The original MBE/WBE Utilization Plan Forms should be clearly marked “original” (See Appendix VII- MBE/WBE Utilization Plan Forms).
NOTE: The pricing proposal must be submitted in both hard copies and native format (excel format).
14.1.2 Time for Submission Proposals shall be submitted no later than the date and time indicated for submission in this RFP. Late submittals may not be considered.
14.1.3 Format Proposal should be left-bound in a three-ring binder. Material should be organized following the order of the submission requirements separated by labeled tabs. Expensive paper and bindings are discouraged since no materials will be returned.
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14.1.4 Complete submission Proposers are advised to carefully review all the requirements and submit all documents and information as indicated in this RFP. Incomplete proposals may lead to a proposal being deemed non responsive. Non responsive proposals will not be considered.
14.1.5 Packaging and Labeling The outside wrapping/envelope shall clearly indicate the RFP Title and date and time for submission. It shall also indicate the name of the Proposer. The Price Proposal shall be submitted in a separate sealed envelope. The envelope shall clearly identify the content as “Price Proposal”. All other submission requirements shall be included with the Technical Proposal.
14.1.6 Timely delivery of Proposals The Proposal, including the Technical Proposal and the Pricing Proposal must be either delivered by hand or sent to Cook County, Office of the Chief Procurement Officer through U.S. Mail or other available courier services to the address shown on the cover sheet of this RFP. Include the RFP number on any package delivered or sent to the County, Office of the Chief Procurement Officer and on any correspondence related to the Proposal. If using an express delivery service, the package must be delivered to the designated building and office. Packages delivered by express mail services to other locations might not be re-delivered in time to be considered.
14.1.7 Late Proposals The Proposer remains responsible for ensuring that its Proposal is received at the time, date, place, and office specified. The County assumes no responsibility for any Proposal not so received, regardless of whether the delay is caused by the U.S. Postal Service, the County Postal Delivery System, or some other act or circumstance.
14.1.8 Schedule of Revisions to RFP Schedule Should the Proposer consider that changes in the County’s RFP schedule are required; the Proposer shall submit a revised summary schedule with an explanation for the revision for the County’s review. The County will be under no obligation to accept revised schedules.
14.2 Submission Requirements
14.2.1 Cover Letter
The cover letter shall be signed by an authorized representative of the Proposer. The letter shall indicate the Proposer’s commitment to provide the services proposed at the price and schedule proposed.
14.2.2 Executive Summary
The executive summary should include a brief overview of the services and the key personnel who will be responsible for the services to be provided. The Summary shall also identify the members of the
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team that comprise the Proposer. Indicate the organizational relationship of the team members and include an organization chart for the project.
14.2.3 Qualifications of the Proposer
Include a brief description of the organization’s track record, including history, number of employees, number of years in business, and a list of projects relevant to this RFP. Provide a list of references where relevant projects were implemented. Include the name of the contact person, name of the organization, project dollar value, address, telephone number and email address. Please provide at least three (3) references, preferably with municipal government projects. In addition, for each firm included in the proposal provide at least three (3) references with relevancy to the project scope.
14.2.4 Propose Plan of Action, Implementation and Solution
Provide a detailed proposed plan of action indicating how all requirements will be met and the methodology proposed recommendations and implementation plan to successfully meet the goals of the County. In addition, the proposed plan of action shall include key milestones, staff & schedule, and ability to deliver value with a solution evidenced by cost savings.
14.2.5 Key Personnel
Provide a chronological resume for each of the key personnel proposed. Each key personnel shall have three (3) references. In addition, provide the time commitment for each key personnel. Indicate the level of their commitment to other projects if any.
14.2.6 Subcontracting or Teaming
The proposer may be comprised of one (1) or more firms as to assure the overall success of the project. The firm shall identify each team member and specify their role. The Chief Procurement Officer reserves the right to accept or reject any of the team members if in the Chief Procurement Officer’s sole opinion replacement of the team member, based on skills and knowledge, is in the best interest of the County. Completion of Appendix IX- Identification of Subcontractor/Supplier/Sub consultant Form is a requirement for proposal submission.
14.2.7 MBE/WBE Participation
For each MBE/WBE certified firm proposed, provide the name of the MBE/WBE firm(s), level of participation, the role that the subcontractor(s) will perform, the type of services that it will provide, and a brief background and resumes of proposed personnel proposed and submit the MBE/WBE Utilization Plan Forms (see Appendix VIII). The County may only award a contract to a responsible and responsive proposer. In the event that the proposer does not meet the MBE/WBE participation goal stated by the County for this procurement, the proposer must nonetheless demonstrate that it undertook good faith efforts to satisfy the participation goal. Evidence of such efforts may include, but shall not be limited to, documentation demonstrating that the proposer made attempts to identify, contact, and solicit viable
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MBE/WBE firms for the services required, that certain MBE/WBE firms did not respond or declined to submit proposals for the work, or any other documentation that helps demonstrate good faith efforts. Failure by the proposer to provide the required documentation or otherwise demonstrate good faith efforts will be taken into consideration by the County in its evaluation of the proposer’s responsibility and responsiveness.
14.2.8 Financial Status
Provide the audited financial statements for the last three fiscal years. Include the letter of opinion, balance sheet, schedules, and related auditor’s notes.
14.2.9 Legal Actions
Provide a list of any pending litigation in which the proposer may experience significant financial settlement and include a brief description of the reason for legal action.
14.2.10 Conflict of Interest
Provide information regarding any real or potential conflict of interest. Failure to address any potential conflict of interest upfront may be cause for rejection of the proposal.
14.2.11 Economic Disclosure Statement
Execute and submit the Economic Disclosure Statement (“EDS”-Appendix XII). In the event any further clarification is required on any of the information provided, the County reserves the right to make any necessary communication with the Proposer for such purpose. Such communication, if made, may include a deadline by which time any necessary clarifying information must be submitted.
14.2.12 Contract
The Sample Professional Services Contract (Appendix VII) is provided for information only. Execution of the Contract is not required at the time the proposal is submitted. In the event you disagree with the Contract provisions, submit any exceptions to the standard contract and include the rationale for taking the exception. If you are proposing alternate language, please include the language for consideration.
Prior to contract award, the selected Proposer will be required to submit evidence of insurance in the appropriate amounts. However, with its Proposal, the Proposer is required to provide a statement on their company letterhead stating their agreement, or objections if any, to meet all insurance requirements by Cook County.
The Insurance Requirements captured in the sample Professional Services Agreement are replaced by the following:
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Insurance Requirements of the Contractor Prior to the effective date of this Contract, the Contractor, at its cost, shall secure and maintain
at all times, unless specified otherwise, until completion of the term of this Contract the insurance specified below.
Nothing contained in these insurance requirements is to be construed as limiting the extent of
the Contractor's responsibility for payment of damages resulting from its operations under this Contract.
Contractor shall require all Subcontractors to provide the insurance required in this Agreement, or Contractor may provide the coverages for Subcontractors. All Subcontractors are subject to the same insurance requirements as Contractor except paragraph (d) Excess Liability or as specified otherwise. The Cook County Department of Risk Management maintains the right to modify, delete, alter or change these requirements. Coverages
(a) Workers Compensation Insurance
Workers' Compensation shall be in accordance with the laws of the State of Illinois or any other applicable jurisdiction.
The Workers Compensation policy shall also include the following provisions:
(1) Employers' Liability coverage with a limit of $500,000 each Accident $500,000 each Employee $500,000 Policy Limit for Disease (b) Commercial General Liability Insurance
The Commercial General Liability shall be on an occurrence form basis (ISO Form CG 0001 or equivalent) to cover bodily injury, personal injury and property damage. Coverage shall have no exclusions or limitations for sexual molestation and abuse.
Each Occurrence $ 1,000,000 General Aggregate $ 2,000,000
Completed Operations Aggregate $ 2,000,000 The General Liability policy shall include the following coverages:
(a) All premises and operations; (b) Contractual Liability; (c) Products/Completed Operations;
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(d) Severability of interest/separation of insureds clause (c) Commercial Automobile Liability Insurance
When any vehicles are used in the performance of this contract, Contractor shall secure Automobile Liability Insurance for bodily injury and property damage arising from the Ownership, maintenance or use of owned, hired and non-owned vehicles with a limit no less than $1,000,000 per accident.
(d) Umbrella/Excess Liability
Such policy shall be excess over the Commercial General Liability, Automobile Liability, and Employer’s Liability with limits not less than the following amounts:
Each Occurrence: $1,000,000
(e) Professional Liability
Contractor shall secure Professional Liability insurance covering any and all claims arising out of the performance or nonperformance of professional services for the County under this Agreement. This professional liability insurance shall remain in force for the life of the Contractor’s obligations under this Agreement, and shall have a limit of liability of not less than $2,000,000 per claim. If any such policy is written on a claims-made form, the retroactive date shall be prior to the effective date of this contract. Claims made form coverage, or extended reporting following the expiration or termination of this contract, shall be maintained by the Contractor for a minimum of three years following the expiration or early termination of this contract and the Contractor shall annually provide the County with proof of renewal. Subcontractors performing professional services for the Contractor must maintain limits of not less than $1,000,000 with the same terms in this section.
Additional requirements
(a) Additional Insured
The required insurance policies, with the exception of the Workers Compensation and Professional Liability, shall name Cook County, its officials, employees and agents as additional insureds on a primary and non-contributory basis. Any insurance or self-insurance maintained by Cook County shall be excess of the Contractor’s insurance and shall not contribute with it. The full policy limits and scope of protection shall apply to Cook County as an additional insured even if they exceed the minimum insurance limits specified above.
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(b) Qualification of Insurers
All insurance companies providing coverage shall be licensed or approved by the Department of Insurance, State of Illinois, and shall have a financial rating no lower than (A-) VII as listed in A.M. Best's Key Rating Guide, current edition or interim report. Companies with ratings lower than (A-) VII will be acceptable only upon consent of the Cook County Department of Risk Management. The insurance limits required herein may be satisfied by a combination of primary, umbrella and/or excess liability insurance policies.
(c) Insurance Notices
Contractor shall provide the Office of the Chief Procurement Officer with sixty (60) days advance written notice in the event any required insurance will be cancelled, materially reduced or non-renewed. Contractor shall secure replacement coverage to comply with the stated insurance requirements and provide new certificates of insurance to the Office of the Chief Procurement Officer.
Prior to the date on which Contractor commences performance of its part of the work, Contractor shall furnish to the Office of the Chief Procurement Officer certificates of insurance maintained by Contractor. The receipt of any certificate of insurance does not constitute agreement by the County that the insurance requirements have been fully met or that the insurance policies indicated on the certificate of insurance are in compliance with insurance required above.
In no event shall any failure of the County to receive certificates of insurance required
hereof or to demand receipt of such Certificates of Insurance be construed as a waiver of Contractor's obligations to obtain insurance pursuant to these insurance requirements.
(d) Waiver of Subrogation Endorsements All insurance policies must contain a Waiver of Subrogation Endorsement in favor of Cook
County.
14.2.13 Other
Submit any information the Proposer deems pertinent to demonstrate its qualifications to perform the services being requested such as memberships in any professional associations.
County Clerk Integrated Accounting, Cashiering and Enterprise Content Management System RFP No. 1690-15376
Appendix I - Cook County and Cook County Clerk's Office Definitions
“Acceptance” means the acceptance of the successful Implementation of the complete “System” and successful completion and delivery of all Deliverables as set forth herein.
“Application” means the software(s) proposed to fulfill the County’s requirements under this RFP, regardless of whether the proposer has manufactured or created the software(s).
“Best Value” shall mean the composite solution offered by a Proposer that best meets the needs of the CCCO in all areas of the Request for Proposal.
“Cloud Computing”1 or “Cloud” means a model for enabling ubiquitous, convenient, on-demand network access to a shared pool of configurable computing resources (e.g., networks, servers, storage, applications, and services) that can be rapidly provisioned and released with minimal management effort or service provider interaction.
“Consortium” shall mean a group formed to undertake an enterprise beyond the resources of any one member.
“Contract” shall mean the agreement between the County and the Contractor to perform the services contemplated in this RFP.
“Contractor(s)” shall mean the successful Proposer(s) awarded a contract by the Cook County Board of Commissioners to perform the services required within this RFP.
“County” shall mean the County of Cook, Illinois, a body politic and corporate.
“Community Cloud” means a Cloud infrastructure provisioned for exclusive use by a specific community of consumers from organizations that have shared concerns (e.g., mission, security requirements, policy, and compliance considerations). It may be owned, managed, and operated by one or more of the organizations in the community, a third party, or some combination of them, and it may exist on or off premises.
“County Data” means any data, including metadata about such data and backup or other copies thereof, that the proposer or its subcontractors obtains or accesses for the purposes of performing its obligations under the its proposal; to the extent there is any uncertainty as to whether any data constitutes County Data, the data in question shall be treated as County Data.
“Days” shall mean calendar days, unless otherwise specified.
1 Cook County generally follows the definitions of the National Institute of Standards and Technology (“NIST”) relating to cloud computing, which this RFP loosely summarizes. Proposers should find the complete NIST definitions set forth in NIST Special Publication 800-45, available at: http://csrc.nist.gov/publications/nistpubs/800-145/SP800-145.pdf (last visited November 13, 2013)
“Hosting” means the environment in which the Application and corresponding services (e.g., SaaS, PaaS, or IaaS) are deployed, regardless of whether such environment is On-Premises, Remotely Hosted, or in the Cloud, and regardless of whether a party other than the proposer provides such environment and services. Hosting is included within the definition of System.
“Hybrid Cloud” means a Cloud infrastructure composed of two or more distinct Cloud infrastructures (private, community, or public) that remain unique entities, but are bound together by standardized or proprietary technology that enables data and application portability (e.g., cloud bursting for load balancing between clouds).
“Hybrid Hosting” means a combination of two or more of the following: On-Premise Hosting, Remote Hosting and/or Cloud Computing. Hybrid Hosting is different than Hybrid Cloud.
“Infrastructure as a Service” or “IaaS” means a service model where the provider provisions processing, storage, networks, and other fundamental computing resources to the County for deploying and running arbitrary software, where the County does not manage or control the underlying infrastructure but where the County has control over operating systems, storage, deployed applications, and possibly limited control of select networking components (e.g., host firewalls).
“On Premise Deployment” or “On Premise” means Hosting that the County provides directly on its premises.
“Platform as a Service” or “PaaS” means a service model where the County deploys its own applications onto the provider’s infrastructure using provider-supported coding languages and tools, but where the County does not manage or control the underlying infrastructure.
“Private Cloud” means a Cloud infrastructure provisioned for exclusive use by a single organization comprising multiple consumers (e.g., business units). It may be owned, managed, and operated by the organization, a third party, or some combination of them, and it may exist on or off premises.
“Proposer(s)” shall mean the individuals or business entities submitting a response to this Request for Proposal.
“Public Cloud” means a Cloud infrastructure provisioned for open use by the general public, which exists on the premises of the Cloud provider.
“RFP Response Document or Proposal” shall mean the document along with supporting material prepared and submitted by Proposers responding to this RFP.
“Recovery Point Objective” or “RPO” means the point-in-time that systems and data must be recovered and may range from point-of-failure, which has minimal loss, to data backed up the previous night or previous week (e.g., point-of-failure, one hour of data, one day of transactions or paper work).
“Recovery Time Objective” or “RTO” means the timeframe business functions must be recovered after a declared outage (e.g., 24 hours).
“Remote Hosting” means Hosting that the County does not provide directly on its premises, but that also is not Cloud Computing.
“Selection Committee” shall mean the Cook County employees responsible for selecting the Proposer whose responses to the RFP best meet the needs of County and recommending that the CCCO ask the Cook County Board of Commissioners to award a contract to that Proposer.
“Software as a Service” or “SaaS” means a service model where, via a web browser or other interface, the County is to use the provider’s applications running on a Cloud Computing infrastructure, but where the County does not manage or control the underlying infrastructure.
“System” means the Application, other software, hardware, processes, services and Hosting proposed to fulfill the County’s requirements under this RFP, regardless of whether the aforementioned are County-specific customizations or the proposer’s standard offerings.
Appendix II – Cook County Clerk’s Office Terminology
ABBREVIATION TERM ABN Assumed Business Name BOT Cook County Bureau of Technology BVS Cook County Clerk's Office - Bureau of Vital Statistics
CCCO Cook County Clerk's Office DocLink Current document management solution
EBS Oracle E-Business Suite EOR Estimate of Redemption
Ethics Cook County Clerk's Office – Ethics Department FEIN Federal Employer Identification Number
GL General Ledger GP Microsoft Dynamic Great Plains
INT Interest IPTS Integrated Property Tax System
IVRS and AVR Illinois Department of Public Health Automated Vital Records System LRS License Registration System (Marriage) MIS Management Information Systems PIN Property Identification Number POS Point of Sales RFP Request for Proposal
RMS Microsoft Dynamics Retail Management System ROF Recommended Order Form RPO Recovery Point Objective RTO Recovery Time Objective SSN Social Security Number
Appendix III- Cook County Clerk’s Office Locations
Location Address County Building
118 N. Clark Street, Room 434 Chicago, IL 60602
Cook County Administration Building
69 W. Washington Street, 5th Floor Chicago, IL 60602
Daley Center
50 W. Washington, East Concourse (Lower) Level - 25 Chicago, IL 60602
North Suburbs - Skokie Courthouse 5600 Old Orchard Road - Room 149 Skokie, IL 60077
Northwest Suburbs – Rolling Meadows Courthouse
2121 Euclid Avenue - Room 238 Rolling Meadows, IL 60008
South Suburbs - Markham Courthouse 16501 S. Kedzie, Room 238 Markham, IL 60426
Southwest Suburbs – Bridgeview Courthouse 10220 S. 76th Ave., Room 238 Bridgeview, IL 60455
West Suburbs - Maywood Courthouse 1311 Maybrook Square, Room 104 Maywood, IL 60153
Appendix IV- System Requirements Matrix [Separately Attached]
Appendix V- Pricing Proposal [Separately Attached] Proposers responding to the RFP should specify the hardware, software, and services being priced, and identify all associated costs. Specific installation and maintenance costs for the proposed solution should be identified. Proposer shall provide costs for maintenance on a yearly and on a service level basis, so that the CCCO may consider the ability to provide certain maintenance in-house. Severable components or additional features shall be identified and their prices listed separately. If alternative software solutions are proposed, comparative pricing must be provided. Pricing shall be addressed in the format provided for in the Pricing Proposal; alternative proposals shall each contain similar pricing itemization.
Appendix VI- Addendum Acknowledgement Form
[Separately Attached]
Appendix VII-Sample Professional Services Agreement
[Separately Attached]
Appendix VIII- MBE/WBE Utilization Plan Forms
[Separately Attached]
Appendix IX- Identification of Sub-Contractors/Suppliers/Sub-Consultant Form
[Separately Attached]
Appendix X- Electronic Payables Program
[Separately Attached]
Appendix XI- Cook County Travel Policy
[Separately Attached]
Appendix XII- Economic Disclosure Statement (EDS)
[Separately Attached]
COOK COUNTYTRANSPORTATION
EXPENSE REIMBURSEMENTAND TRAVEL REGULATIONS
POLICY
Adopted: FY2009
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COOK COUNTY TRANSPORTATION EXPENSEREIMBURSEMENT
SECTION I. AUTOMOBILE REIMBURSEMENT PLAN
A. Any employee who is required and authorized to use their personally ownedautomobile in the conduct of official County Business shall be allowed andreimbursed. The number of County business miles driven per ½ month willbe compensated at the standard IRS deduction for business relatedtransportation currently in effect and authorized by the Bureau ofAdministration. IRS mileage rates adjusted midyear will not be maderetroactive.
B. In addition, parking and tolls shall be allowed for reimbursement if items aresupported by receipts. Proof of IPASS charges shall be submitted along withthe Transportation Expense Voucher.
SECTION II. GUIDELINES
A. Commuting Expenses
Commuting expenses between an employee's home and regular place ofassignment will not be reimbursed, even if an employee's regular place ofassignment is at different locations on different days within the County.
Example: An employee working for the Assessor's Office is regularlyassigned to the Assessor’s Office in Markham on Mondays and to theAssessor’s Office in Maywood on Tuesdays through Fridays. Travelexpenses to and from the employee's home and Assessor’s Office on any daywill not be reimbursed when assignments are permanent.
B. Temporary and Minor Assignments (residence to temporary duty point)
Employees who are required to perform County business in the form oftemporary and minor assignments beyond the general area of their regularplace of assignment in the County may be reimbursed for their transportationexpenses between home and their first or last stop, for such travel attributedto County business.
Mileage to first stop or from last stop between home and temporary place ofassignment may be allowed and reimbursed.
Authorization for reimbursement for transportation between home and firstor last stop shall only be allowed when, in the judgment of the Departmenthead, reporting to the regular place of assignment is not reasonable becauseof the elements of time, place, business purpose and employee effectiveness.The assignment must be temporary and not indefinite.
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C. Temporary and Minor Assignments (mileage between temporary dutypoints)
Employees who receive one or more temporary assignments in a day may bereimbursed for transportation for getting from one place to the other. Mileagefrom the employee's regular place of assignment, or first duty point, to alltemporary duty points and back to regular place of assignment, or last dutypoint, is entitled to reimbursement.
D. General Guidelines
1. Mileage must be computed on the basis of the most direct route. Anymileage incurred solely for personal reasons is not reimbursable.
2. Employees must bear the cost of their normal commuting expensesbetween residence and official place of assignment.
3. Close supervision shall be maintained over the use of privately ownedvehicles by the Department Heads. Authorization for use of privatelyowned vehicles shall only be given when deemed a service andbenefit to Cook County Government. Reimbursements fortransportation shall only be as compensation for services performedfor the County.
SECTION III. TRANSPORTATION EXPENSE VOUCHER
A. Preparation
1. All claims for compensation of transportation expenses including theuse of privately owned automobile and incidental parking fees andtolls, and taxicab and bus fares shall be submitted and itemized in theTransportation Expense Voucher. (For each stop of business use,enter date, started from location, finished at location, miles and expense between each stop. Total the dollar amount and enter inthe space for "Total.")
2. When travel between home and first or last temporary duty point isauthorized, the employee's residence shall be entered on theTransportation Expense Voucher, "Started from Location" or"Finished at Location."
3. The Transportation Expense Voucher shall be supported by receiptsfor all items, individually.
4. The Transportation Expense Voucher shall be prepared and signed bythe individual who has incurred the expense and signed by theirSupervisor. The original Voucher shall be submitted to theComptroller’s Office and a copy should be retained by the employeeand by the department. Falsification of a Transportation ExpenseVoucher is considered a major cause infraction subject to disciplinaryaction up to and including discharge.
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5. The individual submitting the Transportation Expense Voucher ispersonally responsible for its accuracy and priority. Trip details shallbe entered immediately following automobile use to eliminatepossibility of errors. The form must be completed in its entirety, e.g.,insurance coverage.
B. Approval and Submission
1. The Transportation Expense Voucher shall be approved by theDepartment Head or a designated representative, who shall sign theoriginal copy of the Transportation Expense Voucher. The originalVoucher shall be sent to the Comptroller’s Office by the 10 day ofth
the following month in which the travel expense was incurred.Transportation Expense Vouchers submitted 60 days after the end ofthe month in which travel expense was incurred will not bereimbursed. A copy of the Transportation Expense Voucher shall beretained by the department and the employee.
2. Any Transportation Expense Voucher not prepared in accordancewith these regulations, including the proper signatures, will bereturned to the originator for corrections.
C. Authorized Attendance at Seminars, Meetings, Conventions, etc., onCounty Business
These expenses shall be detailed in accordance with the procedure relating to"Cook County Travel Regulations."
SECTION IV. COUNTY-OWNED AUTOMOBILE
Section 162(a)(2) of the Internal Revenue Code requires that any employeewho is assigned a County-owned vehicle for use in performance of theemployee's duties and who uses the vehicle for use in performance of theemployee's duties and who uses the vehicle to commute from home to workand/or from work to home must include in their compensation the value tothe employee (as provided for by the IRS) for each day such vehicle is usedfor commuting purposes, and Cook County must include this compensationon employee W-2 form.
The use of County-owned vehicles for personal use is prohibited.
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COOK COUNTY TRAVEL REGULATIONS
SECTION I TRAVEL EXPENSES
A. Travel expenses are ordinary and necessary expenses for transportation, hotelaccommodations, meals and incidental expenses for travel that is longer thanan ordinary day's work, and the employee needs to get sleep or rest duringnon-working time while away.
Reimbursements shall be allowed if the following requirements are met:
1. Travel is for periods more than or equal to be employee's scheduledworkdays hours, plus 2 hours (usually 10 hours).
2. The employee must get sleep or rest while away in order to completeCounty business. (This does not mean napping in the car.)
3. Lodging and air travel shall be arranged through a County travelvendor, as specified by the Purchasing Agent.
SECTION II RESPONSIBILITY OF DEPARTMENT HEAD
A. The Department Head is responsible for the execution of all travel regulationsas well as such other policies and guidelines regarding travel as published bythe Bureau of Administration.
B. All travel subject to these regulations shall be authorized in advance by theDepartment Head in accordance with current County directives.
C. Each Department shall develop a system for the prior authorization andcontrol of travel to prevent expenses exceeding appropriations and to holdtravel to the minimum required for efficient and economical conduct ofCounty business.
D. The rates for reimbursements set forth in these regulations represent themaximums permitted under IRS guidelines.
SECTION III ALLOWABLE TRANSPORTATION EXPENSE
A. Modes of transportation authorized for official travel in the course of Countybusiness will include automobiles, railroads, airlines, buses, taxicabs, andother usual means of conveyance. Transportation may include fares andexpenses incidental to transportation such as baggage transfer, officialtelephone messages in connection with items classed as transportation, andreasonable tips.
B. All taxicab fares shall be accompanied by a receipt indicating the amountpaid.
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C. Transportation between place of lodging and place of business at a temporarywork location shall be allowed as a transportation expense.
SECTION IV MODE OF TRAVEL
A. All travel shall be by the most direct route.
B. In cases where an individual for their own convenience travels by an indirectroute or interrupts travel by direct route, that individual shall bear the extraexpense. Reimbursement for expenses shall be based only on such chargesas would have been incurred by the most direct and economical route.
C. All travel shall be by the most economical mode of transportation available,considering travel time, costs, and work requirements.
SECTION V ACCOMMODATIONS ON AIRPLANES, TRAINS, AND BUSES
A. First class travel is prohibited
B. Travel on airplanes shall be coach class.
C. Any charges incurred as a result of changes to an original airline reservationmade prior to or during travel are subject to Department Head approval.
SECTION VI USE OF PRIVATELY OWNED OR RENTED CONVEYANCE
A. When an individual rendering service to the County uses privately ownedmotor vehicles in the conduct of official business and such use is authorizedor approved as advantageous to the County, payment shall be made on amileage basis at rates not to exceed those published by the Bureau ofAdministration.
B. Reimbursement for the cost of automobile parking fees and tolls shall beallowed. The fee for parking an automobile at a common carrier terminal, orother parking area, while the traveler is on official business, shall be allowedonly to the extent that the fee does not exceed the cost of publictransportation.
C. When a privately owned automobile is used for travel, the total transportationcost (including mileage allowance, parking fees, tolls and per diem expenses)shall not exceed the cost of public transportation, if reasonable publictransportation is available.
D. The use of rented automobiles will be kept to an absolute minimum andrented only in an emergency upon prior approval of the responsibleDepartment Head. Every effort shall be made to obtain other suitabletransportation rather than to use rented vehicles. Where emergencies requirethe use of a rented vehicle, the most economical vehicle available andsuitable for the conduct of County business shall be obtained.
-7-
SECTION VII LIVING EXPENSES
A. Meals and Incidental Expense (M&IE)
Employees assigned to out of town travel shall receive a per diem set by thecurrent U.S. General Services Administration in their Federal TravelRegulations (FTR) Meal and Incidental Expense (M&IE) rate. Travel ratesdiffer by travel location and are periodically revised by the FederalGovernment. These rates can be found at the GSA “Domestic Per DiemRates” website page at www.gsa.gov/perdiem.
The per diem rate is intended to include all meals and incidental expensesduring the period of travel. There will be no reimbursement for meals andincidental expenses beyond this rate.
In addition, the traveler may receive reimbursement for special expenses asprovided in Paragraph "C-3" below.
B. Travel Without Lodging
When lodging is not required, the per diem M&IE allowance is not permitted.Travel shall be on "actual expenses incurred."
C. Reimbursable Expenses
1. Lodging - Reasonable costs of hotel accommodations incurred willbe allowed. Lodging shall be reimbursed by receipt up to the limitsof the current Federal Travel Regulations as shown on the GSA“Domestic Per Diem Rates” website page at www.gsa.gov/perdiem.
Questions of reasonable hotel accommodations should be referred tothe Bureau of Administration. Receipts are to be submitted with theInvoice Form to support accommodation expenses claimed.
2. Transportation - Transportation to and from duty point; betweenplaces of lodging, business and meals shall be allowed.
3. Special Expenses - The reasonable cost of miscellaneous expensesincurred shall be allowed to a traveler. The following are examplesof miscellaneous expenses that may be deemed reimbursable or non-reimbursable:
Reimbursable Non-ReimbursableStenographic and Typing Services EntertainmentStorage of Baggage Alcoholic BeveragesHire of Room for Official Business Traffic TicketsTelephone Calls on Official Business
All special expenses shall be itemized on the Conference and TravelReimbursement Voucher with receipts attached.
-8-
SECTION VIII CONFERENCES
When the cost of meals for approved seminars or official meetings is anintegral part of the Registration Fee, the "per diem" traveler shall deduct suchamounts from the "cost of meals and incidental expenses" allowance, and thetraveler on "actual expenses incurred" shall not claim meals which areincluded in the conference fee.
SECTION IX CONFERENCE AND TRAVEL REIMBURSEMENT VOUCHER
A. Memorandum of Expenditures
A memorandum of all travel expenditures properly chargeable to the Countyshall be kept by individuals subject to these regulations. The informationthus accumulated shall be available for proper Invoice Form preparation.
B. Conference and Travel Reimbursement Voucher Preparation
1. All claims for reimbursement of travel expenses shall be submittedon the Conference and Travel Reimbursement Voucher and shall beitemized in accordance with these regulations.
2. The Conference and Travel Reimbursement Voucher shall show thepurpose of travel, the dates of travel, the points of departure anddestination, mode of transportation, and the cost of the transportationsecured or mileage allowance if automobile is used.
3. The Conference and Travel Reimbursement Voucher shall besupported by receipts in all instances for railroad and airplanetransportation, for lodging, meals and incidental expense (M&IE)items, and all other items. Also, a copy of the travel authorization isto be included for out-of-state travel.
4. The Conference and Travel Reimbursement Voucher shall beprepared and signed by the individual who has incurred the expenses.
5. The individual submitting the Conference and Travel ReimbursementVoucher is personally responsible for accuracy and propriety. Amisrepresentation shall be cause for disciplinary or legal action.
C. Approval and Submission of Invoice Form
1. The Conference and Travel Reimbursement Voucher shall beapproved by the Department Head or a designated representative, whoshall sign the original Voucher and submit to the Comptroller’sOffice. A copy of the Voucher shall be retained by the Departmentas well as the person submitting the Voucher.
2. Any Conference and Travel Reimbursement Voucher not prepared inaccordance with these regulations or not properly supported byreceipts where required will be returned to the originator forcorrection.
-9-
D. Frequency of Submission
The original Conference and Travel Reimbursement Voucher shall be sent tothe Comptroller’s Office by the 10 day of the following month in which theth
travel expense was incurred. Conference and Travel ReimbursementVouchers submitted 60 days after the end of the month in which travelexpense was incurred will not be reimbursed. A copy of the Conference andTravel Reimbursement Voucher shall be retained by the department and theemployee.
COOK COUNTY ECONOMIC DISCLOSURE STATEMENT
AND EXECUTION DOCUMENT INDEX
Section Description Pages
1 Instructions for Completion of EDS EDS i - ii
2 Certifications EDS 1– 2
3 Economic and Other Disclosures, Affidavit of Child
Support Obligations, Disclosure of Ownership Interest and Familial Relationship Disclosure Form
EDS 3 – 12
4 Cook County Affidavit for Wage Theft Ordinance EDS 13-14
5 Contract and EDS Execution Page EDS 15-17
6 Cook County Signature Page EDS 18
CONTRACT #:
SECTION 1 INSTRUCTIONS FOR COMPLETION OF
ECONOMIC DISCLOSURE STATEMENT AND EXECUTION DOCUMENT
This Economic Disclosure Statement and Execution Document (“EDS”) is to be completed and executed by every Bidder on a County contract, every Proposer responding to a Request for Proposals, and every Respondent responding to a Request for Qualifications, and others as required by the Chief Procurement Officer. The execution of the EDS shall serve as the execution of a contract awarded by the County. The Chief Procurement Officer reserves the right to request that the Bidder or Proposer, or Respondent provide an updated EDS on an annual basis.
Definitions. Terms used in this EDS and not otherwise defined herein shall have the meanings given to such terms in the Instructions to Bidders, General Conditions, Request for Proposals, Request for Qualifications, as applicable.
Affiliate means a person that directly or indirectly through one or more intermediaries, Controls is Controlled by, or is under common Control with the Person specified.
Applicant means a person who executes this EDS.
Bidder means any person who submits a Bid.
Code means the Code of Ordinances, Cook County, Illinois available on municode.com.
Contract shall include any written document to make Procurements by or on behalf of Cook County.
Contractor or Contracting Party means a person that enters into a Contract with the County.
Control means the unfettered authority to directly or indirectly manage governance, administration, work, and all other aspects of a business.
EDS means this complete Economic Disclosure Statement and Execution Document, including all sections listed in the Index and any attachments.
Joint Venture means an association of two or more Persons proposing to perform a for-profit business enterprise. Joint Ventures must have an agreement in writing specifying the terms and conditions of the relationship between the partners and their relationship and respective responsibility for the Contract
Lobby or lobbying means to, for compensation, attempt to influence a County official or County employee with respect to any County matter.
Lobbyist means any person who lobbies.
Person or Persons means any individual, corporation, partnership, Joint Venture, trust, association, Limited Liability Company, sole proprietorship or other legal entity.
Prohibited Acts means any of the actions or occurrences which form the basis for disqualification under the Code, or under the Certifications hereinafter set forth.
Proposal means a response to an RFP.
Proposer means a person submitting a Proposal.
Response means response to an RFQ.
Respondent means a person responding to an RFQ.
RFP means a Request for Proposals issued pursuant to this Procurement Code.
RFQ means a Request for Qualifications issued to obtain the qualifications of interested parties.
CONTRACT #:
EDS-i
INSTRUCTIONS FOR COMPLETION OF ECONOMIC DISCLOSURE STATEMENT AND EXECUTION DOCUMENT
Section 1: Instructions. Section 1 sets forth the instructions for completing and executing this EDS.
Section 2: Certifications. Section 2 sets forth certifications that are required for contracting parties under the Code and other applicable laws. Execution of this EDS constitutes a warranty that all the statements and certifications contained, and all the facts stated, in the Certifications are true, correct and complete as of the date of execution.
Section 3: Economic and Other Disclosures Statement. Section 3 is the County’s required Economic and Other Disclosures Statement form. Execution of this EDS constitutes a warranty that all the information provided in the EDS is true, correct and complete as of the date of execution, and binds the Applicant to the warranties, representations, agreements and acknowledgements contained therein.
Required Updates. The Applicant is required to keep all information provided in this EDS current and accurate. In the event of any change in the information provided, including but not limited to any change which would render inaccurate or incomplete any certification or statement made in this EDS, the Applicant shall supplement this EDS up to the time the County takes action, by filing an amended EDS or such other documentation as is required.
Additional Information. The County’s Governmental Ethics and Campaign Financing Ordinances impose certain duties and obligations on persons or entities seeking County contracts, work, business, or transactions, and the Applicant is expected to comply fully with these ordinances. For further information please contact the Director of Ethics at (312) 603-4304 (69 W. Washington St. Suite 3040, Chicago, IL 60602) or visit the web-site at cookcountyil.gov/ethics-board-of.
Authorized Signers of Contract and EDS Execution Page. If the Applicant is a corporation, the President and Secretary must execute the EDS. In the event that this EDS is executed by someone other than the President, attach hereto a certified copy of that section of the Corporate By-Laws or other authorization by the Corporation, satisfactory to the County that permits the person to execute EDS for said corporation. If the corporation is not registered in the State of Illinois, a copy of the Certificate of Good Standing from the state of incorporation must be submitted with this Signature Page.
If the Applicant is a partnership or joint venture, all partners or joint venturers must execute the EDS, unless one partner or joint venture has been authorized to sign for the partnership or joint venture, in which case, the partnership agreement, resolution or evidence of such authority satisfactory to the Office of the Chief Procurement Officer must be submitted with this Signature Page.
If the Applicant is a member-managed LLC all members must execute the EDS, unless otherwise provided in the operating agreement, resolution or other corporate documents. If the Applicant is a manager-managed LLC, the manager(s) must execute the EDS. The Applicant must attach either a certified copy of the operating agreement, resolution or other authorization, satisfactory to the County, demonstrating such person has the authority to execute the EDS on behalf of the LLC. If the LLC is not registered in the State of Illinois, a copy of a current Certificate of Good Standing from the state of incorporation must be submitted with this Signature Page.
If the Applicant is a Sole Proprietorship, the sole proprietor must execute the EDS.
A “Partnership” “Joint Venture” or “Sole Proprietorship” operating under an Assumed Name must be registered with the Illinois county in which it is located, as provided in 805 ILCS 405 (2012), and documentation evidencing registration must be submitted with the EDS.
CONTRACT #:
EDS-ii
Effective October 1, 2016 all foreign corporations and LLCs must be registered with the Illinois Secretary of State's Office unless a statutory exemption applies to the applicant. Applicants who are exempt from registering must provide a written statement explaining why they are exempt from registering as a foreign entity with the Illinois Secretary of State's Office.
SECTION 2
CERTIFICATIONS
THE FOLLOWING CERTIFICATIONS ARE MADE PURSUANT TO STATE LAW AND THE CODE. THE APPLICANT IS CAUTIONED TO CAREFULLY READ THESE CERTIFICATIONS PRIOR TO SIGNING THE SIGNATURE PAGE. SIGNING THE SIGNATURE PAGE SHALL CONSTITUTE A WARRANTY BY THE APPLICANT THAT ALL THE STATEMENTS, CERTIFICATIONS AND INFORMATION SET FORTH WITHIN THESE CERTIFICATIONS ARE TRUE, COMPLETE AND CORRECT AS OF THE DATE THE SIGNATURE PAGE IS SIGNED. THE APPLICANT IS NOTIFIED THAT IF THE COUNTY LEARNS THAT ANY OF THE FOLLOWING CERTIFICATIONS WERE FALSELY MADE, THAT ANY CONTRACT ENTERED INTO WITH THE APPLICANT SHALL BE SUBJECT TO TERMINATION.
A. PERSONS AND ENTITIES SUBJECT TO DISQUALIFICATION
No person or business entity shall be awarded a contract or sub-contract, for a period of five (5) years from the date of conviction or entry of a plea or admission of guilt, civil or criminal, if that person or business entity:
1) Has been convicted of an act committed, within the State of Illinois, of bribery or attempting to bribe an officer oremployee of a unit of state, federal or local government or school district in the State of Illinois in that officer's oremployee's official capacity;
2) Has been convicted by federal, state or local government of an act of bid-rigging or attempting to rig bids as definedin the Sherman Anti-Trust Act and Clayton Act. Act. 15 U.S.C. Section 1 et seq.;
3) Has been convicted of bid-rigging or attempting to rig bids under the laws of federal, state or local government;
4) Has been convicted of an act committed, within the State, of price-fixing or attempting to fix prices as defined by theSherman Anti-Trust Act and the Clayton Act. 15 U.S.C. Section 1, et seq.;
5) Has been convicted of price-fixing or attempting to fix prices under the laws the State;
6) Has been convicted of defrauding or attempting to defraud any unit of state or local government or school districtwithin the State of Illinois;
7) Has made an admission of guilt of such conduct as set forth in subsections (1) through (6) above which admission isa matter of record, whether or not such person or business entity was subject to prosecution for the offense oroffenses admitted to; or
8) Has entered a plea of nolo contendere to charge of bribery, price-fixing, bid-rigging, or fraud, as set forth in sub-paragraphs (1) through (6) above.
In the case of bribery or attempting to bribe, a business entity may not be awarded a contract if an official, agent or employee of such business entity committed the Prohibited Act on behalf of the business entity and pursuant to the direction or authorization of an officer, director or other responsible official of the business entity, and such Prohibited Act occurred within three years prior to the award of the contract. In addition, a business entity shall be disqualified if an owner, partner or shareholder controlling, directly or indirectly, 20% or more of the business entity, or an officer of the business entity has performed any Prohibited Act within five years prior to the award of the Contract.
THE APPLICANT HEREBY CERTIFIES THAT: The Applicant has read the provisions of Section A, Persons and Entities Subject to Disqualification, that the Applicant has not committed any Prohibited Act set forth in Section A, and that award of the Contract to the Applicant would not violate the provisions of such Section or of the Code.
B. BID-RIGGING OR BID ROTATING
THE APPLICANT HEREBY CERTIFIES THAT: In accordance with 720 ILCS 5/33 E-11, neither the Applicant nor any Affiliated Entity is barred from award of this Contract as a result of a conviction for the violation of State laws prohibiting bid-rigging or bid rotating.
C. DRUG FREE WORKPLACE ACT
THE APPLICANT HEREBY CERTIFIES THAT: The Applicant will provide a drug free workplace, as required by (30 ILCS 580/3).
CONTRACT #:
EDS-1
D. DELINQUENCY IN PAYMENT OF TAXES
THE APPLICANT HEREBY CERTIFIES THAT: The Applicant is not an owner or a party responsible for the payment of any tax or fee administered by Cook County, such as bar award of a contract or subcontract pursuant to the Code, Chapter 34, Section 34-171.
E. HUMAN RIGHTS ORDINANCE
No person who is a party to a contract with Cook County ("County") shall engage in unlawful discrimination or sexual harassment against any individual in the terms or conditions of employment, credit, public accommodations, housing, or provision of County facilities, services or programs (Code Chapter 42, Section 42-30 et seq.).
F. ILLINOIS HUMAN RIGHTS ACT
THE APPLICANT HEREBY CERTIFIES THAT: It is in compliance with the Illinois Human Rights Act (775 ILCS 5/2-105), and agrees to abide by the requirements of the Act as part of its contractual obligations.
G. INSPECTOR GENERAL (COOK COUNTY CODE, CHAPTER 34, SECTION 34-174 and Section 34-250)
The Applicant has not willfully failed to cooperate in an investigation by the Cook County Independent Inspector General or to report to the Independent Inspector General any and all information concerning conduct which they know to involve corruption, or other criminal activity, by another county employee or official, which concerns his or her office of employment or County related transaction.
The Applicant has reported directly and without any undue delay any suspected or known fraudulent activity in the County’s Procurement process to the Office of the Cook County Inspector General.
H. CAMPAIGN CONTRIBUTIONS (COOK COUNTY CODE, CHAPTER 2, SECTION 2-585)
THE APPLICANT CERTIFIES THAT: It has read and shall comply with the Cook County’s Ordinance concerning campaign contributions, which is codified at Chapter 2, Division 2, Subdivision II, Section 585, and can be read in its entirety at www.municode.com.
I. GIFT BAN, (COOK COUNTY CODE, CHAPTER 2, SECTION 2-574)
THE APPLICANT CERTIFIES THAT: It has read and shall comply with the Cook County’s Ordinance concerning receiving and soliciting gifts and favors, which is codified at Chapter 2, Division 2, Subdivision II, Section 574, and can be read in its entirety at www.municode.com.
J. LIVING WAGE ORDINANCE PREFERENCE (COOK COUNTY CODE, CHAPTER 34, SECTION 34-160;
Unless expressly waived by the Cook County Board of Commissioners, the Code requires that a living wage must be paid to individuals employed by a Contractor which has a County Contract and by all subcontractors of such Contractor under a County Contract, throughout the duration of such County Contract. The amount of such living wage is annually by the Chief Financial Officer of the County, and shall be posted on the Chief Procurement Officer’s website.
The term "Contract" as used in Section 4, I, of this EDS, specifically excludes contracts with the following:
1) Not-For Profit Organizations (defined as a corporation having tax exempt status under Section 501(C)(3) of the UnitedState Internal Revenue Code and recognized under the Illinois State not-for -profit law);
2) Community Development Block Grants;
3) Cook County Works Department;
4) Sheriff's Work Alternative Program; and
5) Department of Correction inmates.
CONTRACT #:
EDS-2
SECTION 3
REQUIRED DISCLOSURES
1. DISCLOSURE OF LOBBYIST CONTACTS
List all persons that have made lobbying contacts on your behalf with respect to this contract:
Name Address
2. LOCAL BUSINESS PREFERENCE STATEMENT (CODE, CHAPTER 34, SECTION 34-230)
Local business means a Person, including a foreign corporation authorized to transact business in Illinois, having a bona fide establishment located within the County at which it is transacting business on the date when a Bid is submitted to the County, and which employs the majority of its regular, full-time work force within the County. A Joint Venture shall constitute a Local Business if one or more Persons that qualify as a "Local Business" hold interests totaling over 50 percent in the Joint Venture, even if the Joint Venture does not, at the time of the Bid submittal, have such a bona fide establishment within the County.
a) Is Applicant a "Local Business" as defined above?
Yes: No:
b) If yes, list business addresses within Cook County:
c) Does Applicant employ the majority of its regular full-time workforce within Cook County?
Yes: No:
3. THE CHILD SUPPORT ENFORCEMENT ORDINANCE (CODE, CHAPTER 34, SECTION 34-172)
Every Applicant for a County Privilege shall be in full compliance with any child support order before such Applicant is entitled to receive or renew a County Privilege. When delinquent child support exists, the County shall not issue or renew any County Privilege, and may revoke any County Privilege.
All Applicants are required to review the Cook County Affidavit of Child Support Obligations attached to this EDS (EDS-5) and complete the Affidavit, based on the instructions in the Affidavit.
CONTRACT #:
EDS-3
4. REAL ESTATE OWNERSHIP DISCLOSURES.
The Applicant must indicate by checking the appropriate provision below and providing all required information that either:
a) The following is a complete list of all real estate owned by the Applicant in Cook County:
PERMANENT INDEX NUMBER(S):
(ATTACH SHEET IF NECESSARY TO LIST ADDITIONAL INDEX NUMBERS)
OR:
b) The Applicant owns no real estate in Cook County.
5. EXCEPTIONS TO CERTIFICATIONS OR DISCLOSURES.
If the Applicant is unable to certify to any of the Certifications or any other statements contained in this EDS and not explained elsewhere in this EDS, the Applicant must explain below:
If the letters, “NA”, the word “None” or “No Response” appears above, or if the space is left blank, it will be conclusively presumed that the Applicant certified to all Certifications and other statements contained in this EDS.
CONTRACT #:
EDS-4
COOK COUNTY AFFIDAVIT OF CHILD SUPPORT OBLIGATIONS
Effective July 1, 1998, every applicant for a County Privilege shall be in full compliance with any Child Support Order before such applicant is entitled to receive a County Privilege. When Delinquent Child Support Exists, the County shall not issue or renew any County Privilege, and may revoke any County Privilege.
"Applicant" means any person or business entity, including all Substantial Owners, seeking issuance of a County Privilege or renewal of an existing County Privilege from the County. This term shall not include any political subdivision of the federal or state government, including units of local government, and not-for-profit organizations.
"County Privilege" means any business license, including but not limited to liquor dealers' licenses, packaged goods licenses, tavern licenses, restaurant licenses, and gun licenses; real property license or lease; permit, including but not limited to building permits, zoning permits or approvals; environmental certificate; County HOME Loan, and contracts exceeding the value of $10,000.00.
"Substantial Owner" means any person or persons who own or hold a twenty-five\ percent (25%) or more percentage of interest in any business entity seeking a County Privilege, including those shareholders, general or limited partners, beneficiaries and principals; except where a business entity is an individual or sole proprietorship, Substantial Owner means that individual or sole proprietor.
All Applicants/Substantial Owners are required to complete this affidavit and comply with the Child Support Enforcement Ordinance before any privilege is granted. Signature of this form constitutes a certification the information provided below is correct and complete, and that the individual(s) signing this form has/have personal knowledge of such information.
Privilege Information: County Privilege:
County Department:
Applicant Information: Last name: First Name: MI:
____ SS# (Last Four Digits): Date of Birth:
Street Address:
City: State: Zip:
Home Phone: (____) - Driver’s License No:
Child Support Obligation Information:
The Applicant, being duly sworn on oath or affirmation hereby states that to the best of my knowledge (place an “X” next to “A”, “B”, “C”, or “D”).
A. The Applicant has no judicially or administratively ordered child support obligations.
B. The Applicant has an outstanding judicially or administratively ordered obligation, but is paying in accordance with the terms of the order.
C. The Applicant is delinquent in paying judicially or administratively ordered child support obligations
D. The Applicant is not a substantial owner as defined above.
The Applicant understands that failure to disclose any judicially or administratively ordered child support debt owed will be grounds for revoking the privilege.
Name:
Signature: Date:
Subscribed and sworn to before me this day of , 20
X Notary Public Signature Notary Seal
Note: The above information is subject to verification prior to the award of the contract.
CONTRACT #:
EDS-5
COOK COUNTY DISCLOSURE OF OWNERSHIP INTEREST STATEMENT
The Cook County Code of Ordinances (§2-610 et seq.) requires that any Applicant for any County Action must disclose information concerning ownership interests in the Applicant. This Disclosure of Ownership Interest Statement must be completed with all information current as of the date this Statement is signed. Furthermore, this Statement must be kept current, by filing an amended Statement, until such time as the County Board or County Agency shall take action on the application. The information contained in this Statement will be maintained in a database and made available for public viewing.
If you are asked to list names, but there are no applicable names to list, you must state NONE. An incomplete Statement will be returned and any action regarding this contract will be delayed. A failure to fully comply with the ordinance may result in the action taken by the County Board or County Agency being voided.
"Applicant" means any Entity or person making an application to the County for any County Action.
“County Action” means any action by a County Agency, a County Department, or the County Board regarding an ordinance or ordinance amendment, a County Board approval, or other County agency approval, with respect to contracts, leases, or sale or purchase of real estate.
“Person” "Entity” or “Legal Entity" means a sole proprietorship, corporation, partnership, association, business trust, estate, two or more persons having a joint or common interest, trustee of a land trust, other commercial or legal entity or any beneficiary or beneficiaries thereof.
This Disclosure of Ownership Interest Statement must be submitted by :
1. An Applicant for County Action and
2. A Person that holds stock or a beneficial interest in the Applicant and is listed on the Applicant’s Statement (a “Holder”) must file aStatement and complete #1 only under Ownership Interest Declaration.
Please print or type responses clearly and legibly. Add additional pages if needed, being careful to identify each portion of the form to which each additional page refers.
This Statement is being made by the [ ] Applicant or [ ] Stock/Beneficial Interest Holder
This Statement is an: [ ] Original Statement or [ ] Amended Statement
Identifying Information:
Name
D/B/A: FEIN NO.:
Street Address:
City: State: Zip Code:
Phone No.: Fax Number: Email:
Cook County Business Registration Number: (Sole Proprietor, Joint Venture Partnership)
Corporate File Number (if applicable):
Form of Legal Entity:
[ ] Sole Proprietor [ ] Partnership [ ] Corporation [ ] Trustee of Land Trust
[ ] Business Trust [ ] Estate [ ] Association [ ] Joint Venture
[ ] Other (describe)
CONTRACT #:
EDS-6
Ownership Interest Declaration:
1. List the name(s), address, and percent ownership of each Person having a legal or beneficial interest (including ownership) ofmore than five percent (5%) in the Applicant/Holder.
Name Address Percentage Interest in Applicant/Holder
2. If the interest of any Person listed in (1) above is held as an agent or agents, or a nominee or nominees, list the name andaddress of the principal on whose behalf the interest is held.
Name of Agent/Nominee Name of Principal Principal’s Address
3. Is the Applicant constructively controlled by another person or Legal Entity? [ ] Yes [ ] No
If yes, state the name, address and percentage of beneficial interest of such person, and the relationship under which suchcontrol is being or may be exercised.
Name Address Percentage of Relationship Beneficial Interest
Corporate Officers, Members and Partners Information:
For all corporations, list the names, addresses, and terms for all corporate officers. For all limited liability companies, list the names, addresses for all members. For all partnerships and joint ventures, list the names, addresses, for each partner or joint venture.
Name Address Title (specify title of Term of Office Office, or whether manager or partner/joint venture)
Declaration (check the applicable box):
[ ] I state under oath that the Applicant has withheld no disclosure as to ownership interest in the Applicant nor reserved any information, data or plan as to the intended use or purpose for which the Applicant seeks County Board or other County Agency action.
[ ] I state under oath that the Holder has withheld no disclosure as to ownership interest nor reserved any information required to be disclosed.
CONTRACT #:
EDS-7
COOK COUNTY DISCLOSURE OF OWNERSHIP INTEREST STATEMENT SIGNATURE PAGE
Name of Authorized Applicant/Holder Representative (please print or type) Title
Signature Date
E-mail address Phone Number
Subscribed to and sworn before me My commission expires: this _______ day of ______, 20__.
X Notary Public Signature Notary Seal
CONTRACT #:
EDS-8
COOK COUNTY BOARD OF ETHICS 69 W. WASHINGTON STREET, SUITE 3040
CHICAGO, ILLINOIS 60602 312/603-4304 Office 312/603-9988 Fax
FAMILIAL RELATIONSHIP DISCLOSURE PROVISION
Nepotism Disclosure Requirement:
Doing a significant amount of business with the County requires that you disclose to the Board of Ethics the existence of any familial relationships with any County employee or any person holding elective office in the State of Illinois, the County, or in any municipality within the County. The Ethics Ordinance defines a significant amount of business for the purpose of this disclosure requirement as more than $25,000 in aggregate County leases, contracts, purchases or sales in any calendar year.
If you are unsure of whether the business you do with the County or a County agency will cross this threshold, err on the side of caution by completing the attached familial disclosure form because, among other potential penalties, any person found guilty of failing to make a required disclosure or knowingly filing a false, misleading, or incomplete disclosure will be prohibited from doing any business with the County for a period of three years. The required disclosure should be filed with the Board of Ethics by January 1 of each calendar year in which you are doing business with the County and again with each bid/proposal/quotation to do business with Cook County. The Board of Ethics may assess a late filing fee of $100 per day after an initial 30-day grace period.
The person that is doing business with the County must disclose his or her familial relationships. If the person on the County lease or contract or purchasing from or selling to the County is a business entity, then the business entity must disclose the familial relationships of the individuals who are and, during the year prior to doing business with the County, were:
• its board of directors,• its officers,• its employees or independent contractors responsible for the general administration of the entity,• its agents authorized to execute documents on behalf of the entity, and• its employees who directly engage or engaged in doing work with the County on behalf of the entity.
Do not hesitate to contact the Board of Ethics at (312) 603-4304 for assistance in determining the scope of any required familial relationship disclosure.
Additional Definitions:
“Familial relationship” means a person who is a spouse, domestic partner or civil union partner of a County employee or State, County or municipal official, or any person who is related to such an employee or official, whether by blood, marriage or adoption, as a:
ParentChildBrother SisterAuntUncleNieceNephew
Grandparent GrandchildFather-in-lawMother-in-lawSon-in-lawDaughter-in-lawBrother-in-law Sister-in-law
Stepfather Stepmother Stepson Stepdaughter Stepbrother Stepsister Half-brotherHalf-sister
CONTRACT #:
EDS-9
COOK COUNTY BOARD OF ETHICS FAMILIAL RELATIONSHIP DISCLOSURE FORM
A. PERSON DOING OR SEEKING TO DO BUSINESS WITH THE COUNTY
Name of Person Doing Business with the County:
Address of Person Doing Business with the County:
Phone number of Person Doing Business with the County:
Email address of Person Doing Business with the County:
If Person Doing Business with the County is a Business Entity, provide the name, title and contact information for the individual completing this disclosure on behalf of the Person Doing Business with the County:
B. DESCRIPTION OF BUSINESS WITH THE COUNTY Append additional pages as needed and for each County lease, contract, purchase or sale sought and/or obtained during the calendar year of this disclosure (or the proceeding calendar year if disclosure is made on January 1), identify:
The lease number, contract number, purchase order number, request for proposal number and/or request for qualification number associated with the business you are doing or seeking to do with the County:
The aggregate dollar value of the business you are doing or seeking to do with the County: $
The name, title and contact information for the County official(s) or employee(s) involved in negotiating the business you are doing or seeking to do with the County:
The name, title and contact information for the County official(s) or employee(s) involved in managing the business you are doing or seeking to do with the County:
C. DISCLOSURE OF FAMILIAL RELATIONSHIPS WITH COUNTY EMPLOYEES OR STATE, COUNTY OR MUNICIPAL ELECTED OFFICIALS
Check the box that applies and provide related information where needed
� The Person Doing Business with the County is an individual and there is no familial relationship between this individual and any Cook County employee or any person holding elective office in the State of Illinois, Cook County, or any municipality within Cook County.
� The Person Doing Business with the County is a business entity and there is no familial relationship between any member of this business entity’s board of directors, officers, persons responsible for general administration of the business entity, agents authorized to execute documents on behalf of the business entity or employees directly engaged in contractual work with the County on behalf of the business entity, and any Cook County employee or any person holding elective office in the State of Illinois, Cook County, or any municipality within Cook County.
CONTRACT #:
EDS-10
COOK COUNTY BOARD OF ETHICS FAMILIAL RELATIONSHIP DISCLOSURE FORM
� The Person Doing Business with the County is an individual and there is a familial relationship between this individual and at least one Cook County employee and/or a person or persons holding elective office in the State of Illinois, Cook County, and/or any municipality within Cook County. The familial relationships are as follows:
Name of Individual Doing Business with the County
Name of Related County Employee or State, County or Municipal Elected Official
Title and Position of Related County Employee or State, County or Municipal Elected Official
Nature of Familial Relationship*
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
If more space is needed, attach an additional sheet following the above format.
� The Person Doing Business with the County is a business entity and there is a familial relationship between at least one member of this business entity’s board of directors, officers, persons responsible for general administration of the business entity, agents authorized to execute documents on behalf of the business entity and/or employees directly engaged in contractual work with the County on behalf of the business entity, on the one hand, and at least one Cook County employee and/or a person holding elective office in the State of Illinois, Cook County, and/or any municipality within Cook County, on the other. The familial relationships are as follows:
Name of Member of Board of Director for Business Entity Doing Business with the County
Name of Related County Employee or State, County or Municipal Elected Official
Title and Position of Related County Employee or State, County or Municipal Elected Official
Nature of Familial Relationship*
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
Name of Officer for Business Entity Doing Business with the County
Name of Related County Employee or State, County or Municipal Elected Official
Title and Position of Related County Employee or State, County or Municipal Elected Official
Nature of Familial Relationship*
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
CONTRACT #:
EDS-11
Name of Person Responsible for the General Administration of the Business Entity Doing Business with the County
Name of Related County Employee or State, County or Municipal Elected Official
Title and Position of Related County Employee or State, County or Municipal Elected Official
Nature of Familial Relationship*
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
Name of Agent Authorized to Execute Documents for Business Entity Doing Business with the County
Name of Related County Employee or State, County or Municipal Elected Official
Title and Position of Related County Employee or State, County or Municipal Elected Official
Nature of Familial Relationship*
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
Name of Employee of Business Entity Directly Engaged in Doing Business with the County
Name of Related County Employee or State, County or Municipal Elected Official
Title and Position of Related County Employee or State, County or Municipal Elected Official
Nature of Familial Relationship*
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
_____________________ _____________________ __________________________ _________________
If more space is needed, attach an additional sheet following the above format.
VERIFICATION: To the best of my knowledge, the information I have provided on this disclosure form is accurate and complete. I acknowledge that an inaccurate or incomplete disclosure is punishable by law, including but not limited to fines and debarment.
Signature of Recipient Date
SUBMIT COMPLETED FORM TO: Cook County Board of Ethics 69 West Washington Street, Suite 3040, Chicago, Illinois 60602 Office (312) 603-4304 – Fax (312) 603-9988 [email protected]
* Spouse, domestic partner, civil union partner or parent, child, sibling, aunt, uncle, niece, nephew, grandparent or grandchildby blood, marriage (i.e. in laws and step relations) or adoption.
CONTRACT #:
EDS-12
SECTION 4
COOK COUNTY AFFIDAVIT FOR WAGE THEFT ORDINANCE
I. Contract Information:
Contract Number:
County Using Agency (requesting Procurement):
II. Person/Substantial Owner Information:
Person (Corporate Entity Name): _________________________________________________________
Substantial Owner Complete Name:
FEIN# ________________________________
Date of Birth: E-mail address: __________________________________
Street Address:
City: Zip:
Home Phone: ( ) -
State:
III. Compliance with Wage Laws:
Within the past five years has the Person/Substantial Owner, in any judicial or administrative proceeding, been convicted of, entered a plea, made an admission of guilt or liability, or had an administrative finding made for committing a repeated or willful violation of any of the following laws:
Illinois Wage Payment and Collection Act, 820 ILCS 115/1 et seq.,
Illinois Minimum Wage Act, 820 ILCS 105/1 et seq.,
Illinois Worker Adjustment and Retraining Notification Act, 820 ILCS 65/1 et seq.,
Employee Classification Act, 820 ILCS 185/1 et seq.,
Fair Labor Standards Act of 1938, 29 U.S.C. 201, et seq.,
Any comparable state statute or regulation of any state, which governs the payment of wages
If the Person/Substantial Owner answered “Yes” to any of the questions above, it is ineligible to enter into a Contract with Cook County, but can request a reduction or waiver under Section IV.
Effective May 1, 2015, every Person, including Substantial Owners, seeking a Contract with Cook County must comply with the Cook County Wage Theft Ordinance set forth in Chapter 34, Article IV, Section 179. Any Person/Substantial Owner, who fails to comply with Cook County Wage Theft Ordinance, may request that the Chief Procurement Officer grant a reduction or waiver in accordance with Section 34-179(d).
"Contract" means any written document to make Procurements by or on behalf of Cook County.
"Person" means any individual, corporation, partnership, Joint Venture, trust, association, limited liability company, sole proprietorship or other legal entity.
"Procurement" means obtaining supplies, equipment, goods, or services of any kind.
"Substantial Owner" means any person or persons who own or hold a twenty-five percent (25%) or more percentage of interest in any business entity seeking a County Privilege, including those shareholders, general or limited partners, beneficiaries and principals; except where a business entity is an individual or sole proprietorship, Substantial Owner means that individual or sole proprietor.
All Persons/Substantial Owners are required to complete this affidavit and comply with the Cook County Wage Theft Ordinance before any Contract is awarded. Signature of this form constitutes a certification the information provided below is correct and complete, and that the individual(s) signing this form has/have personal knowledge of such information.
CONTRACT #:
EDS-13
IV. Request for Waiver or Reduction
If Person/Substantial Owner answered “Yes” to any of the questions above, it may request a reduction or waiver inaccordance with Section 34-179(d), provided that the request for reduction of waiver is made on the basis of one or more ofthe following actions that have taken place:
There has been a bona fide change in ownership or Control of the ineligible Person or Substantial Owner
Disciplinary action has been taken against the individual(s) responsible for the acts giving rise to the violation
Remedial action has been taken to prevent a recurrence of the acts giving rise to the disqualification or default
Other factors that the Person or Substantial Owner believe are relevant.
The Person/Substantial Owner must submit documentation to support the basis of its request for a reduction or waiver. The Chief Procurement Officer reserves the right to make additional inquiries and request additional documentation.
V. Affirmation The Person/Substantial Owner affirms that all statements contained in the Affidavit are true, accurate and complete.
Signature: Date:_________________
Name of Person signing (Print): ______________________________ Title:_________________________
Subscribed and sworn to before me this day of , 20
X Notary Public Signature Notary Seal
Note: The above information is subject to verification prior to the award of the Contract.
CONTRACT #:
EDS-14
SECTION 5
CONTRACT AND EDS EXECUTION PAGE PLEASE EXECUTE THREE ORIGINAL PAGES OF EDS
The Applicant hereby certifies and warrants that all of the statements, certifications and representations set forth in this EDS are true, complete and correct; that the Applicant is in full compliance and will continue to be in compliance throughout the term of the Contract or County Privilege issued to the Applicant with all the policies and requirements set forth in this EDS; and that all facts and information provided by the Applicant in this EDS are true, complete and correct. The Applicant agrees to inform the Chief Procurement Officer in writing if any of such statements, certifications, representations, facts or information becomes or is found to be untrue, incomplete or incorrect during the term of the Contract or County Privilege.
Execution by Corporation
Corporation’s Name President’s Printed Name and Signature
Telephone Email
Secretary Signature Date
Execution by LLC
LLC Name *Member/Manager Printed Name and Signature
Date Telephone and Email
Execution by Partnership/Joint Venture
Partnership/Joint Venture Name *Partner/Joint Venturer Printed Name and Signature
Date Telephone and Email
Execution by Sole Proprietorship
Printed Name Signature Assumed Name (if applicable)
Date Telephone and Email
Subscribed and sworn to before me this ____________day of _________, 20___.
My commission expires:
Notary Public Signature Notary Seal
*If the operating agreement, partnership agreement or governing documents requiring execution by multiple members, managers,partners, or joint venturers, please complete and execute additional Contract and EDS Execution Pages.
CONTRACT #:
EDS-15
SECTION 5
CONTRACT AND EDS EXECUTION PAGE PLEASE EXECUTE THREE ORIGINAL COPIES
The Applicant hereby certifies and warrants that all of the statements, certifications and representations set forth in this EDS are true, complete and correct; that the Applicant is in full compliance and will continue to be in compliance throughout the term of the Contract or County Privilege issued to the Applicant with all the policies and requirements set forth in this EDS; and that all facts and information provided by the Applicant in this EDS are true, complete and correct. The Applicant agrees to inform the Chief Procurement Officer in writing if any of such statements, certifications, representations, facts or information becomes or is found to be untrue, incomplete or incorrect during the term of the Contract or County Privilege.
Execution by Corporation
Corporation’s Name President’s Printed Name and Signature
Telephone Email
Secretary Signature Date
Execution by LLC
LLC Name *Member/Manager Printed Name and Signature
Date Telephone and Email
Execution by Partnership/Joint Venture
Partnership/Joint Venture Name *Partner/Joint Venturer Printed Name and Signature
Date Telephone and Email
Execution by Sole Proprietorship
Printed Name and Signature Date
Telephone Email
Subscribed and sworn to before me this ____________day of _________, 20___.
My commission expires:
Notary Public Signature Notary Seal
CONTRACT #:
EDS-16
SECTION 5
CONTRACT AND EDS EXECUTION PAGE PLEASE EXECUTE THREE ORIGINAL COPIES
The Applicant hereby certifies and warrants that all of the statements, certifications and representations set forth in this EDS are true, complete and correct; that the Applicant is in full compliance and will continue to be in compliance throughout the term of the Contract or County Privilege issued to the Applicant with all the policies and requirements set forth in this EDS; and that all facts and information provided by the Applicant in this EDS are true, complete and correct. The Applicant agrees to inform the Chief Procurement Officer in writing if any of such statements, certifications, representations, facts or information becomes or is found to be untrue, incomplete or incorrect during the term of the Contract or County Privilege.
Execution by Corporation
Corporation’s Name President’s Printed Name and Signature
Telephone Email
Secretary Signature Date
Execution by LLC
LLC Name *Member/Manager Printed Name and Signature
Date Telephone and Email
Execution by Partnership/Joint Venture
Partnership/Joint Venture Name *Partner/Joint Venturer Printed Name and Signature
Date Telephone and Email
Execution by Sole Proprietorship
Printed Name and Signature Date
Telephone Email
Subscribed and sworn to before me this ____________day of _________, 20___.
My commission expires:
Notary Public Signature Notary Seal
CONTRACT #:
EDS-17
SECTION 6 COOK COUNTY SIGNATURE PAGE
ON BEHALF OF THE COUNTY OF COOK, A BODY POLITIC AND CORPORATE OF THE STATE OF ILLINOIS, THIS CONTRACT IS HEREBY EXECUTED BY:
COOK COUNTY CHIEF PROCUREMENT OFFICER
DATED AT CHICAGO, ILLINOIS THIS DAY OF ,20 .
IN THE CASE OF A BID/ PROPOSAL/RESPONSE, THE COUNTY HEREBY ACCEPTS:
THE FOREGOING BID/PROPOSAL/RESPONSE AS IDENTIFIED IN THE CONTRACT DOCUMENTS FOR CONTRACT NUMBER
OR
ITEM(S), SECTION(S), PART(S):
TOTAL AMOUNT OF CONTRACT: $
(DOLLARS AND CENTS)
FUND CHARGEABLE:
APPROVED AS TO FORM:
ASSISTANT STATE'S ATTORNEY (Required on contracts over $1,000,000.00)
Date
CONTRACT #:
EDS-18
COOK COUNTY
OFFICE OF THE CHIEF PROCUREMENT OFFICER 118 N. CLARK STREET, SUITE 1018
CHICAGO, ILLINOIS 60602 312/603-5370
ADDENDA ACKNOWLEDGEMENT FORM
IMPORTANT NOTICE: Proposers shall acknowledge receipt of any addenda issued on the spaces provided below and submit this form with its proposal. Failure to acknowledge receipt of any addenda issued and submittal of this form may render the proposal non-responsive.
RFP/RFQ No.: _ _
Project Name: _ _
Addendum No. 1
Addendum No. 2
Addendum No. 3
Addendum No. 4
Addendum No. 5
Other: _
N/A (No Addenda Issued)
Signature: _ _ _ Date:_
Name: Title: _
Company: _ _ _ _
Address: _ _ _
DEC 2014
M/WBE Utilization Plan - Form 1 Revised: 01/29/2014
MBE/WBE UTILIZATION PLAN - FORM 1
BIDDER/PROPOSER HEREBY STATES that all MBE/WBE firms included in this Plan are certified MBEs/WBEs by at least one of the entities listed in the General Conditions – Section 19. I. BIDDER/PROPOSER MBE/WBE STATUS: (check the appropriate line)
____ Bidder/Proposer is a certified MBE or WBE firm. (If so, attach copy of current Letter of Certification)
____ Bidder/Proposer is a Joint Venture and one or more Joint Venture partners are certified MBEs or WBEs. (If so, attach copies of Letter(s) of Certification, a copy of Joint Venture Agreement clearly describing the role of the MBE/WBE firm(s) and its ownership interest in the Joint Venture and a completed Joint Venture Affidavit – available online at www.cookcountyil.gov/contractcompliance)
____ Bidder/Proposer is not a certified MBE or WBE firm, nor a Joint Venture with MBE/WBE partners, but will utilize MBE and WBE firms either
directly or indirectly in the performance of the Contract. (If so, complete Sections II below and the Letter(s) of Intent – Form 2). II. Direct Participation of MBE/WBE Firms Indirect Participation of MBE/WBE Firms
NOTE: Where goals have not been achieved through direct participation, Bidder/Proposer shall include documentation outlining efforts to achieve Direct Participation at the time of Bid/Proposal submission. Indirect Participation will only be considered after all efforts to achieve Direct Participation have been exhausted. Only after written documentation of Good Faith Efforts is received will Indirect Participation be considered. MBEs/WBEs that will perform as subcontractors/suppliers/consultants include the following: MBE/WBE Firm: ____________________________________________________________________________ Address: __________________________________________________________________________________ E-mail: ___________________________________________________________________________________
Contact Person: ___________________________________ Phone: __________________________________ Dollar Amount Participation: $__________________________________________________________________ Percent Amount of Participation: _____________________________________________________________% *Letter of Intent attached? Yes _______ No _______ *Current Letter of Certification attached? Yes _______ No _______
MBE/WBE Firm: ___________________________________________________________________________ Address: __________________________________________________________________________________ E-mail:____________________________________________________________________________________ Contact Person: ___________________________________ Phone: __________________________________ Dollar Amount Participation: $__________________________________________________________________ Percent Amount of Participation: _____________________________________________________________% *Letter of Intent attached? Yes _______ No _______ *Current Letter of Certification attached? Yes _______ No _______
Attach additional sheets as needed.
* Letter(s) of Intent and current Letters of Certification must be submitted at the time of bid.
M/WBE Utilization Plan - Form 2 Revised: 1/29/14
MBE/WBE LETTER OF INTENT - FORM 2 M/WBE Firm:
Certifying Agency:
Contact Person: Address:
Certification Expiration Date: Ethnicity: ________________________________________
City/State: Zip: _____________
Bid/Proposal/Contract #:
Phone: __________________ Fax:
FEIN #: _________________________________________
Email:
Participation: [ ] Direct [ ] Indirect Will the M/WBE firm be subcontracting any of the goods or services of this contract to another firm? [ ] No [ ] Yes – Please attach explanation. Proposed Subcontractor(s): The undersigned M/WBE is prepared to provide the following Commodities/Services for the above named Project/ Contract: (If more space is needed to fully describe M/WBE Firm’s proposed scope of work and/or payment schedule, attach additional sheets)
Indicate the Dollar Amount, Percentage, and the Terms of Payment for the above-described Commodities/ Services:
THE UNDERSIGNED PARTIES AGREE that this Letter of Intent will become a binding Subcontract Agreement for the above work, conditioned upon (1) the Bidder/Proposer’s receipt of a signed contract from the County of Cook; (2) Undersigned Subcontractor remaining compliant with all relevant credentials, codes, ordinances and statutes required by Contractor, Cook County, and the State to participate as a MBE/WBE firm for the above work. The Undersigned Parties do also certify that they did not affix their signatures to this document until all areas under Description of Service/ Supply and Fee/Cost were completed. Signature (M/WBE)
Signature (Prime Bidder/Proposer)
Print Name
Print Name
Firm Name
Firm Name
Date
Date
Subscribed and sworn before me Subscribed and sworn before me this ____ day of , 20____. this ____ day of , 20____. Notary Public Notary Public _______________________________ SEAL SEAL
M/WBE Utilization Plan - Form 3 Revised: 01/29/14
PETITION FOR WAIVER OF MBE/WBE PARTICIPATION – FORM 3
A. BIDDER/PROPOSER HEREBY REQUESTS: FULL MBE WAIVER FULL WBE WAIVER REDUCTION (PARTIAL MBE and/or WBE PARTICIPATION) _____% of Reduction for MBE Participation _____% of Reduction for WBE Participation B. REASON FOR FULL/REDUCTION WAIVER REQUEST Bidder/Proposer shall check each item applicable to its reason for a waiver request. Additionally, supporting documentation shall be submitted with this request.
(1) Lack of sufficient qualified MBEs and/or WBEs capable of providing the goods or services required
by the contract. (Please explain) (2) The specifications and necessary requirements for performing the contract make it impossible or
economically infeasible to divide the contract to enable the contractor to utilize MBEs and/or WBEs in accordance with the applicable participation. (Please explain)
(3) Price(s) quoted by potential MBEs and/or WBEs are above competitive levels and increase cost of
doing business and would make acceptance of such MBE and/or WBE bid economically impracticable, taking into consideration the percentage of total contract price represented by such MBE and/or WBE bid. (Please explain)
(4) There are other relevant factors making it impossible or economically infeasible to utilize MBE and/or
WBE firms. (Please explain)
C. GOOD FAITH EFFORTS TO OBTAIN MBE/WBE PARTICIPATION (1) Made timely written solicitation to identified MBEs and WBEs for utilization of goods and/or services; and provided MBEs and WBEs with a timely opportunity to review and obtain relevant specifications, terms and conditions of the proposal to enable MBEs and WBEs to prepare an informed response to solicitation. (Attach of copy written solicitations made) (2) Used the services and assistance of the Office of Contract Compliance staff. (Please explain)
(3) Timely notified and used the services and assistance of community, minority and women business organizations. (Attach of copy written solicitations made) (4) Followed up on initial solicitation of MBEs and WBEs to determine if firms are interested in doing business. (Attach supporting documentation) (5) Engaged MBEs & WBEs for direct/indirect participation. (Please explain)
D. OTHER RELEVANT INFORMATION
Attach any other documentation relative to Good Faith Efforts in complying with MBE/WBE participation.