Electronic Filing Pilot

Transcription

1 Dorothy Brown Clerk of the Circuit Court of Cook County Request for Information for Electronic Filing Pilot Court Operations and Management Information Systems April 26, 2004 Clerk of the Circuit Court Richard J. Daley Center 50 W. Washington Street, Room 1001 Chicago, Illinois (312)

2 TO: FROM: Respondents Dorothy Brown DATE: April 23, 2004 SUBJECT: Clerk of the Circuit Court of Cook County Instruction Letter The Clerk of the Cook County Circuit Court ( Court ) solicits Submissions for an Electronic Filing Pilot System (hereinafter E-Filing Pilot ). This Request for Information ( RFI ) is issued by the Cook County Circuit Court and shall adhere to the following timeline. EVENT DATE TIME Release of RFI April 26, :00pm Deadline for Inquiries May 10, :00pm Response to Inquiries May 17, :00pm Submissions Due May 24, :00pm 2

3 TABLE OF CONTENTS 1. BACKGROUND AND OVERVIEW Background Overview of the Project Objectives Project TimeFrames Development or Product Modification Definition of Terms RFI PROCESS AND RULES General Review Committee receipt of Submissions Respondent Cost Submission and Payment Schedule Time Table Inquiries Restrictions on Contact Addenda to RFI Clarification of Submissions Ownership of Submissions Cancellation of RFI Cost of Respondent Response No Guarantee of Purchase PROPOSAL FORMAT CRITIERA Introduction Submission Organization Part 1 Transmittal Letter Part 2 Respondent Qualifications Part 3 General Conditions Part 4 Project Management Part 5 Cost Submission Part 6 Submission of Minority Business Enterprises/Women-Owned Business Enterprises Part 7 Submission Execution Forms

4 4. EVALUATION OF THE Submission CURRENT ENVIRONMENT Current System Assessment Current Business Process For subject case types BUSINESS REQUIREMENTS OF THE PROPOSED AUTOMATED ELECTRONIC FILING SYSTEM DESCRIPTION OF E-FILING APPLICATION Understanding of RFI Objectives Proposed Hardware Architecture Proposed Network/Telecommunication Requirements Proposed Software/Application Requirements Respondent s Proposed Clerk CIS Connection Proposed Accounting System Respondent s Proposed Document Storage and Retrieval System Proposed Electronic Signature Solution(s) Pro se Litigant Filings General Public Access to the Electronic/Imaged Files Proposed Security System User Response Time Warranty Designation and Service Training Recording Time Stamp on Documents AOIC Pilot Policy Requirements Clerk Mandatory Requirements General Policies General Operational Requirements General Technical Requirements Registration and Authentication Receipt and Acceptance of Filings Electronically-filed Case Documents Management of Electronically Filed Documents CMS AND FMS Interfaces E-commerce (Filing Fees)

5 Confidentiality Access Recruitment, Training and User Support Architecture Security System Changes TECHNICAL REQUIREMENTS Hardware requirements Software System Interfaces Integration with Existing Wide Area Network (WAN) Network Devices and Wiring Data Security Installation of System Design Document Business Continuity Planning System Response Time System Support and Maintenance Downtime Respondent Commitment to Electronic filing Components Storage Complete Backup and Restore RESPONDENT PERSONNEL Respondent Personnel Project Leadership TRAINING Operations Personnel and Management Training Systems Personnel and Management Training DOCUMENTATION Hardware Documentation Application & System Administrator Documentation GENERAL CONDITIONS GC-01 Definitions

6 GC-02 Licensed Software GC-03 Licensed Software Support GC-04 Third Party Hardware and Software GC-05 Installation GC-06 Acceptance GC-07 Warranties and Indemnification GC-08 Payment GC-09 Insurance Requirements GC-10 Delay, Disputes AND DEFAULT GC-11 Personnel; SubContracting; Changes and Modifications GC-12 Compliance with laws; Conflict of interest; Discrimination GC-13 Minority and women business enterprises Cook County ordinance Chapter 10, Section GC-14 Miscellaneous Attachment A Cost Table Hardware Costs Application Costs Total Electronic filing Costs Other Costs Total Solution Cost

7 1. BACKGROUND AND OVERVIEW 1.1 BACKGROUND The Clerk of the Circuit Court of Cook County (Clerk) is statutorily responsible for recording, certifying and managing the Circuit Court of Cook County s records. The statutory framework setting forth the Clerk s responsibilities can be found in the Clerk of Court s Act, 705 ILCS 105/. The mission of the Clerk s Office is to serve the citizens of Cook County and the participants in the judicial system in a timely, efficient and ethical manner. The Clerk s Office consists of several bureaus/divisions/suburban districts responsible for a variety of tasks. While duties and operational procedures vary from one division to the next, every division within the Clerk shares the common goal of providing professional, timely and customer-focused services to its customers. The Clerk currently maintains the official court records in hard copy files located throughout the Clerk s operational facilities. To enhance its recordkeeping functions, the Clerk s Office utilizes various electronic, computerized case management systems in its computing environment. However currently the Clerk s Office maintains official case records in hard copy files. As more fully explained herein, the system must enable the electronic filing of certain civil contract and tort cases integrated with the Clerk s case management and document management system. Additional information about the Clerk s Office can be found on the Clerk s website ( The Administrative Office of Illinois Courts ( AOIC ), the administrative body for the Illinois Supreme, Appellate and Circuit Courts, recently promulgated a Policy for Implementation of an Electronic Filing Pilot Project in Illinois Courts ( AOIC Pilot Policy ), a copy of which is attached as Appendix A. The purpose of this Request For Information (RFI) is to solicit sealed Submissions in the form of an application that the Clerk will file with the AOIC for approval of an electronic filing pilot project according to and in compliance with the standards and criteria set forth in the AOIC Pilot Policy. This RFI also sets forth the Clerk s minimum functional requirements for and electronic filing system. All responsive Submissions must also include descriptions of the manner in which the proposed solution will satisfy the Clerk s E-Filing requirements as set forth in this document. Upon selection of a qualified Respondent and approval by the AOIC, the Clerk s Office will seek approval from the Cook County Board of Commissioners to enter into a contract for an electronic filing system ( e-filing system or system ) for the Circuit Court of Cook County, Illinois. 1.2 OVERVIEW OF THE PROJECT This Request for Information (RFI) seeks Submissions from qualified Respondents, who may implement the most cost-effective, technologically sound, scalable, state of the art electronic filing system for use with regard to selected case types. All Submissions shall be in a format that complies with and is acceptable to the AOIC as set forth in the AOIC Pilot Policy. Respondents shall note that price will not be the sole criteria upon which selection is based. Under the AOIC Pilot Policy, the Clerk of the Circuit Court, with authorization by the Chief Judge of the Circuit Court, shall submit, for AOIC approval, a proposal for an electronic filing pilot. Thus, all Submissions will be considered in light of the following: whether and under what circumstances the proposed solution meets the Clerk s requirements; whether the proposed solution will be approved by the Chief Judge; and whether the proposed solution meets the 7

8 requirements and guidelines set forth in the AOIC Pilot Policy. The Clerk shall also consider the Submissions with regard to whether such Submission will be satisfactory as an application to the Supreme Court through the Director of the Administrative Office of the Illinois Courts. Additionally, the Cook County Board of Commissioners must approve any engagement of the type contemplated under this RFI. As such, the Clerk shall consider the Submissions it receives in determining whether and under what circumstances it may recommend that the Cook County Board of Commissioners contract with a Respondent, after approval by the Chief Judge and the Supreme Court through the Director of the AOIC. The issuance of this RFI is not a representation or guarantee that Cook County through its Board of Commissioners, will elect to enter into a Contract as a result thereof. 1.3 OBJECTIVES If selected, the Proposed System shall permit electronic filing of court documents to accomplish the following: 1) enhance service delivery to the public; 2) eliminate repetitive and duplicative data entry and work flow processes; 3) improve existing and establish enhanced internal reporting and controls; 4) reduce physical document storage needs; and 5) facilitate and expedite preparation of administrative reports. Generally, the Proposed System shall provide: Hardware and software that comply with today s technology and general data processing industry standards. A real time system that allows for electronic filing, storage, access to, and review of all documents including the initiation of cases, updates to existing cases, and retrieval of information. Web-based access to court documents. Capability of integrating non-electronically filed documents into the electronic case file and the system. Appropriate security functionality with varying levels of secure access to information. Quality assurance controls. Detailed, real time reporting capability. Capability for future interface and/or integration with an imaging system. Appropriate controls to handle impounded and restricted cases. For purposes of this RFI, an electronic filing system is defined as an information and transaction processing system where: 1. Case filing pleadings and related forms and documents may be received and transmitted by the Clerk electronically. 2. Case pleadings and related forms and documents filed electronically are indexed and stored in a document management system. 3. Data from electronically filed forms are extracted to populate the Clerk s case management systems. 4. Filers, Clerk and courts may electronically send notices to other parties. 5. Filing status tracking and statistical information are reported electronically. 6. Authorized persons may have Internet access to electronically filed case information. 8

9 7. Billing and collection of court filing fees for electronically filed cases are also handled electronically, including interfacing with the Clerk s financial management system. The proposed system must be able to integrate with existing Clerk and Cook County network and telecommunications infrastructure. The proposed system shall also include an Internet access component directed through a web server connected to the County s Wide Area Network (WAN) which will allow on-line business transactions to be conducted by Clerk personnel and the public. In accordance with the AOIC Pilot Policy, the Submission shall explain how the proposed electronic filing system will meet the following five requirements: 1. Filing shall be limited to attorneys or parties who have registered with the Clerk 2. The form of filing shall not affect the right of public access to court files 3. Printed copies of any filed document shall be made available by the Clerk at the statutorily defined cost 4. The Clerk shall remain responsible for making, keeping, and preserving complete records of all circuit court proceedings and determinations in accordance with all applicable orders, rules, statutes and other laws 5. Filing fees shall be applicable as provided by law. The proposed electronic filing system shall also meet the following Clerk requirements set forth below and more fully explained in the body of this RFI: 1. The electronic filing system shall initially handle the following case types: a) civil contract and tort cases for damages under $30,000 filed by bulk filers ( bulk filers are attorneys or law firms filing in excess of 300 cases per year); and b) commercial litigation cases filed in the Law Division. The pilot will only include cases filed in the First Municipal District which cases are filed in the Richard J. Daley Center. 2. Respondents responding to this RFI are required to provide an electronic case filing solution for the selected case types and to include two-way interfaces with the Clerk s case management system. 3. The pilot project shall begin in 2004 and the electronic filing of court documents shall not affect the Clerk of the Circuit Court s responsibility to insure the security and integrity of court documents. 4. Documents to be included in the project shall include complaints, petitions, motions, discovery, orders and other pleadings including the proof of service documents. 5. The electronic filing solution s document management system shall be capable of processing, indexing and handling imaged documents, and facilitating conversion of court records to the approved archival media (currently, microfilm). 6. Orders shall only be included when approved by the Chief Judge through an Administrative Order. 7. It is desired that the electronic filing solution also be adaptable for use in all of the case types handled by the Clerk. 9

10 8. It is desired that the electronic filing solution also enable, or be made capable of enabling, the electronic filing of all other case types (i.e., criminal as well as civil) for all levels of the Circuit Court of Cook County. The Clerk recognizes that technology is a central component of a larger effort to improve the business processes within the office. The Clerk s vision encompasses an integrated electronic filing system that includes all divisions; however, the purchase of the subject e-filing system does not guarantee purchase of the same system for the other divisions. 1.4 PROJECT TIMEFRAMES Respondent shall propose a timeframe, which shall permit the development and installation of a fully operational, integrated electronic filing system to be completed within six (6) to ten (10) months from the Contract's effective date. 1.5 DEVELOPMENT OR PRODUCT MODIFICATION The Respondent must agree to develop or modify any pre-existing electronic filing product onsite and with the guidance and assistance of Clerk staff. 1.6 DEFINITION OF TERMS The following terms shall have these specific definitions when used in this RFI: Applications shall mean any automated processing of information that when grouped together constitute software. Business Days shall mean any day in which County business is functioning on a full-time basis. This would include Mondays through Fridays and exclude any recognized County holiday. Case Management System. Clerk computer environment in which it records, collects and manages electronic data and court records (also referred to as Clerk s Information System or Clerk CIS ). Clerk s Information System or Clerk CIS. See Case Management System definition above. Contract shall mean the agreement which is entered into between the successful Respondent and the County for the Proposed System consisting of: the Agreement; General Conditions; and the Execution Forms. County shall mean the County of Cook, Illinois and, for purposes of this RFI, the office of the Clerk of the Circuit Court. Digital Signatures shall mean various means of electronic authentification of documents as further defined and described under the Illinois Electronic Commerce Security Act (5 ILCS 175/). Document shall mean any paper or digital representation thereof filed with the Clerk of the Circuit Court. Documentation shall mean the printed materials that describe the system or any component thereof or assist the Clerk in using the system. 10

11 Document Management System shall mean the automated system used by the proposed electronic filing system to store, index and facilitate retrieval of electronic documents. Document or Case Number shall mean the sequential number assigned to each document recorded with the Clerk of the Circuit Court. Final Acceptance shall mean the date certified in writing by the Clerk Project Manager as the date when all aspects of the system or those aspects of the system scheduled to be completed during a particular phase or time are complete and have attained acceptance, satisfying the functionality requirements set forth in the Statement of Work. Financial Management System shall mean automated systems used by the Clerk for cashiering, fine and fee collection and other financial accounting. Alternatively, it may also refer to the portions of the Proposed System that interface with the Clerk s Office Financial Management and/or cashiering systems. Installation shall mean the delivery, assembly and set-up of the Proposed System as set in accordance with Respondent s RFI response. Licensed Software shall mean the machine-readable forms of specific computer software programs and interfaces developed by Respondent and licensed by Respondent to Clerk pursuant to the Contract and all items of Documentation supplied by Respondent with respect to the computer software program portion of the licensed software. Licensed Software also includes, but is not limited to, any new releases to which Clerk is entitled under the Contract and any content and computer-based training computer software developed by Respondent and specifically licensed to Clerk hereunder or any developed or pre-existing applications residing on or installed upon the system. Pre-Production Acceptance Period shall mean the period of time after installation and prior to First Productive Use during which the County must identify significant issues that impact the critical functionality or performance of the System. Product Descriptions shall mean the descriptions for the software which are set forth in the Statement of Work. Proposed System shall refer to all aspects of the automated electronic filing system described in a response to the requirements set forth in this RFI. Respondent shall mean the individuals or business entities which submit a Submission in response to this RFI. Sublicensed Software shall mean all third party applications and operating system software sublicensed to the Clerk pursuant to the Contract. Submission shall refer to a response to this RFI submitted by a Respondent. Training shall mean the transfer of skills or skill sets from the Respondent to Clerk s staff or end users. 11

12 2. RFI PROCESS AND RULES 2.1 GENERAL The Clerk of the Circuit Court (Clerk) issues this Request for Information (RFI) entitled Request for Submissions for a Clerk of the Circuit Court County Electronic Filing Pilot System. This RFI process is intended to identify potential Respondents with which the Clerk s Office, with approval of the Chief Judge, may submit to the AOIC for approval of the electronic filing pilot. After such approval and recommendation by the Clerk to the Cook County Board of Commissioners, the County Board may, in its sole discretion, elect to enter into a Contract for the Proposed System and for the training of Clerk staff to operate, maintain and support the new system. It is expressly understood and agreed that the submission of a Submission does not require or obligate the County of Cook to pursue a Contract with any Respondent. All negotiations are subject to the consideration and approval of the Cook County Board of Commissioners, which may accept or reject any proposed Contract in its sole discretion. The proposed system shall implement electronic filing as defined and described herein. The Clerk shall entertain a Proposed System, which is a purchased electronic filing solution customized for its specific use. Clerk shall retain the right to ownership of the source code for newly developed solutions, and shall enter into an escrow agreement with the Respondent for all product source code and ownership of all modification source code for pre-existing solutions. 2.2 REVIEW COMMITTEE A Review Committee shall collect, review, and evaluate all responses to this RFI and report directly to Dorothy Brown, Clerk of the Circuit Court, advising her as to the quality of the responses. Clerk Brown shall then present her recommendation, if any, for approval by the AOIC and, if approved, to the Cook County Board of Commissioners for its consideration. The Review Committee may identify as few or as many Respondents as it deems appropriate for purposes of any discussions. The final decision on whether and under what circumstances to Contract and or negotiate to Contract will be that of the Cook County Board of Commissioners in its sole discretion. The review committee may, in its sole discretion, recommend a single Respondent for the entire project or may recommend that the County enter into Contracts with multiple Respondents for separate components of the project. 2.3 RECEIPT OF SUBMISSIONS The receipt of a Submission does not require or obligate the Clerk to recommend, nor does it obligate the Board to pursue, a Contract with a Respondent. Submissions must be submitted in accordance with the requirements of this RFI and follow the guidelines outlined in Section 3, Submission Format Criteria. All Submissions are to be received at the address listed below by 5:00 p.m. Central Standard Time (CST), May 24, Submissions received late may be rejected. Submissions must be submitted in two separate forms of media. The package shall contain six (6) copies of the Submission written on 8.5 x 11 inch paper placed in three ring binders and one 12

13 additional copy of the Submission on 3.5 inch, 1.44 MB diskette or CD-ROM in Microsoft Word format. Submissions must be hand-delivered to Mr. Craig Wimberly and only to the following address: Clerk of the Circuit Court of Cook County Richard J. Daley Center Room W. Washington Street Chicago, Illinois RESPONDENT COST SUBMISSION AND PAYMENT SCHEDULE Each Submission shall include a cost proposal and a payment schedule, which shall be based on implementation milestones including Final Acceptance of the Proposed System. Submission of this cost information and payment schedule shall not be construed to bind the Clerk or the County in any way, should it elect to pursue negotiations with a Respondent. Respondents shall also include cost estimates for a number of contingency hours of additional services for system enhancements. 2.5 TIME TABLE The Instruction Letter sets forth the dates and times of certain critical events relative to the RFI process, including inquiries and Submissions. It is the intent of the review committee to adhere to the schedule contained in the Instruction Letter. The review committee, however, reserves the right to change any of the dates in the Instruction Letter. Registered Respondents shall be notified in writing of such changes. 2.6 INQUIRIES A Respondent may submit technical, contractual and procedural questions concerning this RFI no later than the dates and times specified in the transmittal letter (Deadline for Inquiries). These questions must be in writing to Mr. Craig Wimberly and may be mailed or delivered to the above address, faxed to (312) , or ed to ckwimberly@cookcountycourt.com. The review committee shall review, evaluate, assess, and consolidate inquiries received before the deadline, prepare written answers and mail them to each Respondent that has registered for this RFI with the Clerk. 2.7 RESTRICTIONS ON CONTACT All Respondent contact with personnel employed by or contracted with the Clerk, save and except those made pursuant to any preexisting obligations, must be approved by the Clerk or her designee. This requirement precluding contact extends from the RFI release date, and until a determination is made and announced regarding the review of a Respondent as a result of this RFI process, and, for the selected Respondent, until a contract is signed. During this time period, no prospective Respondent shall approach personnel employed by or contracted with the Clerk concerning employment. Violations of these conditions shall be considered sufficient cause by the Clerk to reject consideration of a Submission, irrespective of any other consideration. 13

14 2.8 ADDENDA TO RFI If it becomes necessary to revise any part of this RFI, or if additional data is necessary to clarify any of its provisions, a supplement shall be provided to all that propose in written form. 2.9 CLARIFICATION OF SUBMISSIONS Any Respondent may be requested to discuss or clarify its Submission with the review committee at any time. Such discussion or clarification is at the complete discretion of the review committee. A Respondent is cautioned that the review committee is not required to seek clarification, but reserves the right to seek clarification at its discretion. Therefore, Respondents shall be as clear and unambiguous as possible in their response and must follow the guidelines stated in Section 3, Submission Format Criteria OWNERSHIP OF SUBMISSIONS All material submitted by a Respondent becomes the sole property of the Clerk. The Clerk shall be under no obligation to return any Submissions or materials submitted by a Respondent in response to this RFI and may use such Submissions for purposes of evaluation and selection of a Proposed System. Specific information, which is proprietary to a Respondent, must be clearly marked as such CANCELLATION OF RFI The Clerk retains the right to cancel this RFI at any time COST OF RESPONDENT RESPONSE No costs or expenses incurred by any Respondent in responding to this RFI shall be borne by the County or the Clerk NO GUARANTEE OF PURCHASE The Clerk makes no guarantee that any purchases shall take place or any Contracts entered into as a result of this RFI. 14

15 3. PROPOSAL FORMAT CRITIERA 3.1 INTRODUCTION It is necessary that the instructions in this section be strictly followed to expedite the evaluation of Submissions. The information contained in the Submission must include detailed responses to each requirement, and must be organized in the exact same sequence as the RFI. Responses must also include a section specifically setting forth information required for an electronic filing application in conformance with the AOIC Pilot Policy. This section of the Submission must also meet all Clerk requirements and standards set forth in this RFI. Information responsive to the Clerk requirements and standards should be incorporated into the response to the appropriate section of the AOIC Pilot Policy. Accuracy and completeness is essential. Omissions may result in a rejection of the Submission. The Respondents are further cautioned not to make claims or statements to which they are not prepared to contractually commit. Each Submission shall include seven (7) parts and MUST be organized as outlined below. 3.2 SUBMISSION ORGANIZATION Part 1 Transmittal Letter The Submission must consist of a letter of transmittal signed by an individual authorized to bind the Respondent contractually. The Respondent must include the name, title, address and telephone number of one or more individuals who can respond to requests for additional information. The Respondents shall fully disclose details regarding its legal identity, i.e., corporation, partnership, joint venture or sole proprietor, including any assumed names used by the Respondent. The Respondent must include the name, title, address and telephone number of one or more individuals who are authorized to negotiate and sign a contract. Part 2 Respondent Qualifications The Clerk requires that the Respondent be singularly responsible for the preparation of the response to this RFI, and be the entity which is proposed to be primarily responsible for the implementation of the proposed system. Subcontractors may be used, but must be identified by the Respondent. The Respondent must also describe the type of contractual arrangement that shall exist with all subcontractors. The Respondent shall be responsible for meeting all of the terms of any contract resulting from this RFI. The Clerk must approve the use of any subcontractor. Contracts, or letters of intent, between the Respondent and the subcontractors must be submitted to the Clerk as part of the Submission. The Respondent and identified subcontractors must describe their qualifications to provide the Proposed System, including but not limited to a description of the number and types of similar systems previously developed and installed by them. The Respondent must submit three (3) references. The references must have experience with the Respondent performing tasks similar in application to those described in the RFI. The Respondent must name a specific contact person with each reference given. The Respondent and its subcontractors must state the number of years their respective companies have been in business providing similar equipment and services as proposed in this RFI. 15

16 The Respondent must explain the circumstances if the Respondent's name has changed, or if the Respondent has been bought by or sold to another company in the past five (5) years. The Respondent must provide their annual audited profit and loss statements for fiscal years 2000, 2001, 2002 and Part 3 General Conditions This part must be the Respondent's response to the General Conditions as set forth in Section 11 of this RFI. The General Conditions shall be a part of any Contract. If the Respondent wishes to request modifications to the General Conditions, the County shall evaluate these requests provided they are stated in this section. Failure to request such exceptions within Respondent's response shall preclude Respondent from requesting such exceptions to the General Conditions of the Contract, in the event the County elects to negotiate a contract with Respondent. Part 4 Project Management The Respondent must describe its project methodology and provide a preliminary implementation schedule that depicts activities and their durations, resources and associated costs, milestones, and deliverables for each phase of the project from its commencement through Final Acceptance. The Respondent must describe its testing methodology, any regression testing, and the proposed development environment that will be used for each component of the proposed system. In addition, an assumptions table shall be included as part of the Submission for any proposed system testing. Part 5 Cost Submission The Respondents MUST complete the Cost Proposal Table as outlined in Attachment A. In submitting its Submission, Respondent certifies that the prices proposed have been arrived at independently, without consultation, communication or agreement with any County employee, or its agents. Part 6 Submission of Minority Business Enterprises/Women-Owned Business Enterprises This part of the Respondent's Submission shall be in response to the MBE/WBE goals outlined in Section 11, GC-13 in the General Conditions. Part 7 Submission Execution Forms Respondent shall be on notice that it must be prepared to complete and sign the execution forms attached to this RFI, as is, as part of any contract it may be invited to enter into with the County. Please note that the terms of these forms are not negotiable and that requests to modify these forms will be denied. 16

17 4. EVALUATION OF THE SUBMISSION The review committee shall review the Submissions submitted in order to assist the Clerk in making a recommendation to the Chief Judge, the AOIC and the Board of Commissioners. While cost shall be a criterion in selecting a Respondent for the contract award, the Clerk is seeking the best cost-to-benefit solution and shall consider factors other than cost in doing so. In addition to the foregoing, all Submissions shall be reviewed in light of the AOIC Pilot Policy requirements and the Clerk s requirements. The review committee may, at its discretion, conduct site visits and/or invite a small number of Respondents to make an oral presentation to the committee. However, the Clerk may consider, in her discretion, as few or as many Respondents as it wishes for purposes of the Respondent evaluation process. The decision whether to pursue a contract with any Respondent recommended by the Clerk shall rest with the Cook County Board of Commissioners. A Submission may be rejected at the discretion of the review committee for any reason that the Clerk deems appropriate. 17

18 5. CURRENT ENVIRONMENT The following section describes the current system and the business processes used in the County Division. 5.1 CURRENT SYSTEM ASSESSMENT The existing Clerk system has the following components: Workstations currently consist of the following: County WAN 10/100 Ethernet Data storage currently consists of the following: Hardware Terminals connected to mainframe via thin-client (Citrix) Other networked personal computers Software COBOL390; CICS version 4.1 Operating System ZO/S Operating Systems 390 VSAM and DB2 file structure; resides on the Management of Information Services (MIS) mainframe computer IBM 9000E, Operating system z/os. Distributed computing environment includes multiple servers running Windows 2000 Server OS and MS SQL 7.o 5.2 CURRENT BUSINESS PROCESS FOR SUBJECT CASE TYPES The following information is intended to generally describe the functions and processes of the current Clerk s current operations. It is not intended to be all-inclusive but to serve as a general guide. The party or parties selected to develop and implement the proposed Electronic Filing System will be required to use any and all information and/or personnel selected by the Clerk to validate the current business model. In addition, the selected Respondent will be required to present recommendations (upon approval by the Clerk) to include in the system design and functionality that mirror best business practices for processing electronic filing transactions. Recommendations shall be based on the complete process flow from case initiation through docketing, case management and compliance reporting for the case types included in this pilot. The majority of cases with the Clerk are completed in over-the-counter transactions. Some filings are received by mail. All cases are initially processed at the cash register where the case number is assigned, the documents are time-stamped and applicable fees are paid. Documents filed at case initiation include a complaint and summons. Additional documents filed through a case s lifecycle may include, but are not limited to, the following: motions, briefs, supporting memoranda, discovery documents and other documents which are filed on the Clerk s preprinted forms. For further general information on the structure of the Cook County Circuit Court and for local court rules, please see the Circuit Court website at and the Illinois Code of Civil Procedure (735 ILCS 5/). 18

19 The proposed case types for the pilot include civil cases filed in bulk and commercial litigation case for money damages which are filed in the Law Division. Civil bulk filed cases consist of contract and tort cases for damages under $30, which are filed in the First Municipal District. These cases are generally filed in bulk by attorneys or law firms filing over 300 cases annually on behalf of corporations such as credit card companies or insurance companies. Generally, the cases seek to recover unpaid debts or to recover funds based on insurance subrogation. To initiate these cases, the filer will bring several complaints and summons to the Clerk s Office. The Clerk s staff will then process each case one-by-one assigning individual case numbers, filestamping the papers, totaling the fees, and returning appropriate copies to the filer. After the initial set of transactions, Clerk s staff continues back-office workflow and processing which includes manual data entry into the Clerk s case management system, transmittal of summons and complaints for service, and creation of individual files for official copies of the documents. After service, defendants are given a fixed amount of time to file an appearance and to answer or otherwise plead. Because of the nature of the cases, many defendants do not file appearances or other papers. When the cases are called for return date, hearing or trial, Clerk s staff manually retrieves the files and transfers the files to the assigned courtrooms. In case where the defendant physically appears, the cases generally settle or go to trial and a written court order is generated and signed by the judge. Clerk s staff then data enters the activity into the case management system. In cases where a judgment is entered and not satisfied, the plaintiff may begin judicial enforcement proceedings which result in the filing of additional documents. The enforcement proceedings will be included as a part of the proposed solution. Generally, the entire life cycle of this case type is from two to six month. Annual filing volume for these types of case is reflected in the following table: Civil Bulk Filed Cases (through 4/20) Cases Filed 81,884 95,822 27,427 The second case type consists of commercial litigation cases which are a subset of cases filed in the Clerk s Law Division. The jurisdictional amount for commercial litigation cases in Law Division is damages in excess of $30,000. The commercial litigation cases include, but are not limited to, the following: breach of contract; professional malpractice (other than legal or medical); fraud; consumer fraud; breach of warranty; certain statutory actions; retaliatory discharge; and other cases identified as commercial litigation by the plaintiff or his/her representative. Generally, commercial litigation cases are filed on behalf of a plaintiff by an attorney. Cases are initiated with the filing of a complaint with a Civil Action Cover Sheet (Clerk Form CCL 0520 (Rev. 5/7/02). The cases are categorized as commercial litigation cases based on the filer checking the appropriate box on the Civil Action Cover Sheet. Commercial litigation cases are generally major cases with full motion practice and discovery. All processing is manual as described above. Annual filing volume for these types of case is reflected in the following table: (through 4/20) Cases Filed 4,337 4,490 1,129 19

20 6. BUSINESS REQUIREMENTS OF THE PROPOSED AUTOMATED ELECTRONIC FILING SYSTEM The system must include software for at least 5,000 concurrent users and related equipment capable of processing electronic filing transactions (from case initiation through docketing, case management and compliance reporting) for the specified case types filed with the Cook County Circuit Court. Because any electronic filing pilot program must first be approved by the Illinois Supreme Court through the Director of the AOIC, the detailed Statement of Work for any acceptable RFI must be in the form of an application that is in compliance with and follows the order set forth in Section 6.1. In addition, the RFI must also specifically demonstrate how the proposed electronic filing system will meet requirements specific to Clerk as set forth in the remaining subparts of this Section. 6.1 DESCRIPTION OF E-FILING APPLICATION In addition to their responses to the AOIC and Clerk s specific requirements as stated in this section, Respondents shall also describe their general approach to, and methodology for, electronic filing, and then describe the electronic filing application in detail Understanding of RFI Objectives The Respondent should concisely describe the Respondent s understanding of the goals and objectives to be accomplished under this RFI and the Respondent s understanding of the purposes for electronic filing in the trial courts Proposed Hardware Architecture The RFI response must supply a complete description of the hardware platform(s) that the vendor would use to support the system including an architectural diagram. (This is in addition to the coverage of any changes to the user desktop platform noted) Proposed Network/Telecommunication Requirements The proposed electronic filing system must be designed and implemented to operate successfully in the Clerk computing environment, including but not limited to Clerk CIS, the Cook County WAN, and on the thin-client workstation platforms. Respondent must supply a complete description of the network/telecommunications that it would require for the system including a network diagram. The Respondent shall also identify the specifications of any networking/telecommunication requirements that the Clerk, attorneys or other filers would need in order to support the system. It is important that the proposed e-filing solution including the interface to CMS and the proposed document management system -- not detract from user response time for Clerk CIS. The Respondent must specify how the system utilizes the Internet and . 20

21 6.1.4 Proposed Software/Application Requirements The Respondent must supply a complete description of the software that it will require to operate the system. (This is in addition to the coverage of any changes to the user desktop platform noted above) Respondent s Proposed Clerk CIS Connection The Respondent must describe how the electronic filing system shall connect to Clerk CIS CMS and FMS for data migration to the DB2 or VSAM databases, and identify the manner in which information would be tagged for inclusion in Clerk CIS. The Respondent must specify the format to be used in sending and reading the stored cover sheet or documents and information, e.g., HTML, XML, or record. The proposed system must be able to post to Clerk CIS FMS module, and the Clerk of the Clerk should be able to correct erroneous entries before they populate the Case Management System Proposed Accounting System The vendor must describe in detail the accounting system that would be used to track: (a) Any vendor system usage fees (whether paid by the Clerk or attorneys); and (b) How court-levied filing fees would be transferred to the Clerk Respondent s Proposed Document Storage and Retrieval System The Respondent must fully describe the proposed document storage and retrieval system. This description must also include how documents would be indexed, tagged, and retrieved by the users Proposed Electronic Signature Solution(s) The Respondent must provide industry standard authentication solution(s) for electronic filing. These solutions could range from a simple user ID and password to digital signature certification with encryption. (If more than one solution is supported, Respondents should specify and justify the one they recommend) Pro se Litigant Filings The vendor must identify how pro se litigants could be provided access to this system. Solutions shall include, at least, kiosks located in Clerk s facilities for electronic filing and for access to electronically filed documents General Public Access to the Electronic/Imaged Files Electronic access by the public (i.e., by persons other than the parties to a case) to electronicallyfiled case records (as opposed to case abstract information) is not currently permitted under the Rules of Court. In the event that, in the future, the rules are changed to permit this electronic public access, the vendor must identify how the general public would be able to gain (authorized) access to the electronic/imaged files. The bidder must identify: 21

22 (a) How paper copies will be produced (b) How certified copies will be produced including how certification indicia will be applied to the document (c) Any fees for general public access (d) How the information would be protected from changes while the public is accessing the information (e) Whether the persons accessing the documents would have a capacity to print (f) Whether the Clerk would have a capacity to add a cost recovery fee on these transactions Proposed Security System The Respondent must provide a complete description of the security that will protect the system. This description should include hardware and software (firewalls), control over user IDs and passwords and how the security would function within the Clerk current computing environment. The Respondent must also fully describe how the system would handle cases that are sealed or expunged. The Respondent must agree to security audits by or on behalf of Clerk User Response Time The Respondent must indicate the average user response time for the various functions of the system. The user response time refers only to server and network response time (i.e., transaction time) - not to the functional time required to process a case. Information concerning the time needed by a user to download via dial-up modem and print a 20-page document would also be helpful Warranty Designation and Service The Respondent must supply a complete plan for how the vendor will support the system for both the Clerk and the private subscribers. The vendor must provide an accurate and complete statement designating the promises and warranties, and any disclaimers of warranties, limitations or modifications of remedies, of liquidated damages, of any third party, such as the manufacturer of the equipment, to be provided either directly or indirectly to the purchaser of the goods Training All costs for training must be included as part of the Submission, including but not limited to the following: (a) Provide hands-on training for Clerk of the Circuit Court Management Team Members. (b) Provide hands-on training for employees of the County Division. (c) Provide an on-screen help guide. (d) Provide a written, step-by-step operations guide. (e) Provide training materials to support future in-house training. 22

23 (f) Create test scripts/plans Recording Time Stamp on Documents The system shall affix or attach to on first page of any document or paper filed the following information: (a) Time and date of filing. (b) Case number. (c) Clerk identification code. (d) Case type. (e) Attorney code number. (f) Randomly assigned court room or calendar (if applicable). This information can be affixed directly to the electronic document (in the required free space) or affixed to the document in the same open space via adhesive labels. The system must also be capable of reprinting the same case number on as many documents as required. 6.2 AOIC PILOT POLICY REQUIREMENTS. 1. The application shall include a description of the proposed hardware and software and how it integrates with the case management system. 2. The application shall describe how the public will be notified of the pilot project for electronic filing. 3. The application should describe the process used to register attorneys and verify that they are in good standing with the court, which incorporates the use of registrants ID s and passwords. 4. The application should describe how the electronic filing system authenticates electronic filing participants and transmissions, incorporating digital signatures. 5. The application shall include documentation of a successful testing phase. 6. The application shall explain the overall procedure for electronic filing including: a) Operational steps b) Hours of Operations c) Document format(s) for all filed documents d) Medium used to access the electronic filing system, i.e. Internet, intranet, dialup lines e) Procedures and requirements within the filed documents, i.e. specific filing procedures, attachments to pleadings f) Procedure to follow in the event of hardware or software failure g) Verification of date and time of filing of documents 23

24 h) Handling of special exchanges, i.e. certificate of service, signature block, sealed documents, confidential documents 7. The application should describe how fees are managed with regard to electronically filed documents. 8. The application shall explain how the proposed electronic filing system will meet the following: a) Adequate interchange standards and compatibility with any statewide data access; b) Integration of electronic with paper aspects of the system; c) Ease of installation and maintenance; d) Ease of use by the court, attorney and parties; e) Reliability; f) Security; g) Data integrity; h) Reasonable controls; i) Audit trails; j) Long-term storage; k) Cost-effective upgrade or replacement to enable the migration of data as technology changes; l) Economy of operation; m) A means of authenticating the source of each document; n) A means of authenticating the accuracy of transmission of each document; o) A means of accurately ascertaining the date and time of filing; p) A means to provide the filing party with verification of the date and time of filing; q) Type of electronic signature, manner and format in which signature is affixed and a means to verify electronic signatures (reference electronic commerce act); r) A means to produce paper copies of documents filed electronically; s) A means to provide a secure back-up of any data storage device that contains documents that have been filed electronically; and t) A means to make a microfilm reproduction of documents filed electronically. 9. An electronic filing protocol must include: a) A means of authenticating the source of each document; b) A means of authenticating the accuracy of transmission of each document; c) A means of accurately ascertaining the date and time of filing; d) A specification of documents that may not be filed electronically; and 24