effective: october 1, 201 sector/supplier info… · • managed sales and marketing functions by...

Region 4 Education Service Center (ESC)Contract # R180501

for

Enterprise Content Management Solutions

Companion Data Services, LLC

Effective: October 1, 2018

The following documents comprise the executed contract between Region4 Education Service Center and Companion Data Services, LLC., effective October 1, 2018:

I. Appendix A: Vendor ContractII. Vendor Contract Signature FormIII. Supplier’s Response to the RFP, incorporated by reference

August 28,

Alternative language proposed & accepted

Solicitation Number: 18-05 TCPN Region 4 Education Service Center Enterprise Content Management Solutions Response to Request for Proposal May 17, 2018

Region 4 Education Service Center 7145 West Tidwell Road

Houston, Texas 77092

This material is the confidential and proprietary product of Companion Data Services, LLC.

Any unauthorized use, reproduction or transfer of these materials for purposes other than evaluation is strictly prohibited. © 2018 copyright of Companion Data Services, LLC. All rights reserved.

TCPN Region 4 Education Service Center Solicitation 18-05 Enterprise Content Management Solutions

Response to Request for Proposal

Use or disclosure of the data contained on this sheet is subject to the restriction on the title page of this proposal. Copyright © 2018 Companion Data Services, LLC. All rights reserved.

05/17/2018

Page iii

Acronyms API Application Program Interface

AWS Amazon Web Services

BlueCross BlueCross BlueShield of South Carolina

BPM Business Process Management

CAB Customer Advisory Board

CDS Companion Data Services, LLC

COLD Computer Output to Laser Disc

COTS Commercial off-the-Shelf

DMS Document Management System

ECM Enterprise Content Management

GSA General Services Administration

HIPAA Health Insurance Portability and Accountability Act

HSM Hierarchical Storage Management

I/O Input / Output

IT Information Technology

OCR Optical Character Recognition

OIT Optical Image Technology, Inc.

OS Operating System

PM Project Manager

POC Point of Contact

R&D Research and Development

RFP Request for Proposal

SaaS Software as a Service

SLA Service Level Agreement

SQL Structured Query Language

TSC Technology Support Center

URL Uniform Resource Locator




05/17/2018

Page 1

Executive Summary Companion Data Services, LLC (CDS), a wholly owned subsidiary of BlueCross® BlueShield® of South Carolina (BlueCross), an independent licensee of the Blue Cross and Blue Shield Association, understands the importance of, and has developed a solution to address The Cooperative Purchasing Network (TCPN) objectives towards providing efficiency and economy for governmental and public entities in procurement and ensuring timely delivery by leveraging state-of-the-art purchasing procedures. Our Solution For this particular solicitation that specifically covers Documents and Records Management, we primarily propose our Enterprise Content Management (ECM) and Business Process Management (BPM) solution, powered by DocFinity®. Our solution is complemented by secure cloud hosting services and professional services provided by our own corporate resources based in the United States:

• DocFinity, the high-powered, next-generation ECM/BPM suite, is our own product; developed and maintained by our Document Management System division, Optical Image Technology, Inc. (OIT), also a wholly owned subsidiary of BlueCross.

• We offer DocFinity through either: - A traditional on premise software license - As a Service, Software as a Service (SaaS) allows sensitive government data to be hosted and

secured by CDS, resulting in zero capital expenditure

• We support our implementation projects with professional services to ensure success, provided by our U.S.-based corporate resources with no outsourcing

More on Our DocFinity Product DocFinity, a commercial off-the-shelf (COTS) software product, provides a high degree of configurability with no source code modification and offers sophisticated BPM and workflow features to automate functions. DocFinity is used extensively by government entities and higher education institutions at more than 200 installations country-wide and internationally. We use DocFinity in our daily operations to process high volumes of business transactions involving many document types and highly sensitive, confidential health care data, in support of commercial, government and military plans. Why Choose CDS?

• We are reliable, financially strong and stable • We are a trusted government partner • We have experience in service-based offerings • We build and support what we sell, using our U.S.-based corporate resources with no

outsourcing • We use what we sell in our own operations • We are responsible for the interoperability and performance of all solution components, under

one service contract




05/17/2018

Tab 3 | Page 1

1. Vendor ProfileAppendix F

1. Company’s official registered name:Companion Data Services, LLC

2. Brief history of your company, including the year it was established:Companion Data Services, LLC (CDS), a wholly owned subsidiary of BlueCross BlueShield of SouthCarolina (BlueCross), an independent licensee of Blue Cross and Blue Shield Association, delivers secureinformation technology (IT) and business process services.

The DocFinity solution suite, the software component of our solution, was developed by Optical Image Technology, Inc. (OIT), our document management system (DMS) software development division. CDS and OIT have been in a continual business relationship since 2005.

• CDS, a wholly owned subsidiary of BlueCross, in business since 2005• OIT, a wholly owned subsidiary of BlueCross, in business since 1986• CDS’ and OIT’s shared corporate parent, BlueCross, in business since 1946

Our corporate structure has annual sales of approximately $6 billion and employs more than 10,500 professionals of which approximately 2,000 are in the Information Systems area.

CDS is a privately held company. In today’s world of mergers and acquisitions, we feature a strong and stable corporate structure to ensure that the operations and stakeholders of our customers are not negatively affected as the result of such transactions. Our business status, financial strength and operating philosophies allows flexibility in making long-term business decisions to best support customers without regard to:

• Quarterly financial pressures of public commercial companies• Short-term financial concerns of small, start-up companies

We have the infrastructure, systems, experience, culture, financial strength, working capital, stability and procedures to meet or exceed our customers’ expectations.

3. Company’s Dun & Bradstreet (D&B) number:362904331

4. Corporate Office LocationCDS Corporate Headquarters:

I-20 at Alpine RoadColumbia, SC 29219

5. Total number of sales persons employed by your organization within the United States, brokendown by market.

Federal and State: Three Commercial and State: Two Marketing and Internal Sales: Three




05/17/2018

Tab 3 | Page 2

Marketing and Sales Management: Three 6. Number and location of offices or service centers and key contacts at each location CDS Corporate Headquarters:

I-20 at Alpine Road Columbia, SC 29219 Lola Jordan, President 803-264-6141 [email protected]

Key contacts at each location: CDS Texas Office:

12377 Merit Drive, Suite 600 Dallas, TX 75251 Billie Jo Shelton de Gonzales, Assistant Vice President 469-372-8410 [email protected]

CDS Maryland Office:

5520 Research Park Drive, Suite 230 Catonsville, MD 21228 Beatrice Kinsey, Executive Assistant 443-543-5694 [email protected]

OIT DocFinity Office:

100 Oakwood Avenue State College, PA 16803 Ron Prichard, President 814-238-0038, ext. 2-223 [email protected]

7. Contact information, including resumes:

a. Sales: Oguz Gel, Director – Commercial Business Development, CDS

I-20 at Alpine Road, Mailstop AF-790 Columbia, SC 29229 803-264-5091 [email protected]

b. Sales Support: Andy Mast, Product Specialist – DocFinity, OIT

100 Oakwood Avenue State College, PA 16803 814-238-0038, ext. 2-236 [email protected]

c. Marketing: Kathleen Duncan, Marketing, CDS

mailto:[email protected]





05/17/2018

Tab 3 | Page 3


d. Financial Reporting: Lane Dundee, Controller, CDS


e. Executive Support: Lola Jordan, President, CDS

I-20 at Alpine Road, Mailstop AA-225 Columbia, SC 29219 803-736-3420 [email protected]





05/17/2018

Tab 3 | Page 4

Oguz Gel Sales Summary of Experience Mr. Oguz Gel has more than 30 years of diverse experience in the health care payer, information technology, managed services and communications industries. His experience includes managing a contact center, provider and member services, client-sourced incident activities and sales and marketing units. He has served in applications development, technology support, consulting and delivered custom-designed training in the areas of financial management and control, account management, employee performance and incentive-based payment systems. He has proven success delivering results in managerial, entrepreneurial and academic positions.

Industry Experience

• Number of years in the IT industry: 34 Relevance of Experience to Proposed Role

• Delivered results through financial control and profit and loss, efficiency and people development

• Managed sales and marketing functions by over-achieving order, revenue and profitability targets

• Empowered and developed staff members towards business-focus and results-orientation • Conceptualized business expertise into consulting, training, documentation and formal

education Employment History

Companion Data Services 2016 to Present Director, Commercial Business Development Coordinate and execute sales, marketing and program management tasks primarily for but not limited to enterprise content management and business process management solutions.

Hewlett Packard Enterprise 2009 to 2016

Manager, Provider and Member Services EGID (commercial health care payer) Managed a customer-facing service operation for a commercial health payer account with effectiveness and profitability; responsible for third party call center, provider enrollment services and client-sourced incident management. • Turned around a dysfunctional operation into an effective one, meeting contractual

obligations and internal commitments on a sustained basis by establishing performance management metrics and taking control of team performance.

• Achieved 22 consecutive quarters of Service Level Agreement compliance to meet contractual obligations and internal commitments.

• Implemented performance management metrics, documented procedures and training curriculum; coached, developed and empowered call center professionals to function as a self-managing, disciplined, accountable and results-oriented team which resulted in less than 0.2 percent supervisor call ratio for 16 quarters.

• Achieved low management overhead by empowering front-line staff and eliminating leadership layers.




05/17/2018

Tab 3 | Page 5

• Developed call center agents towards vertical growth within the capability for subject matter expert positions and horizontal career development for claims examiner, claims adjuster, claims auditor and business analyst positions.

• Identified root-causes of hidden operational bottlenecks and issues in the account including claims adjudication, claims adjustment, provider enrollment and financial accounts receivable to resolve them by communicating and working with multiple teams.

• Acted as a developer, gap analyst, reviewer and subject matter expert for several large-scale Medicaid Management Information System proposals and a commercial health care claims administration proposal.

• Led projects in platform migration, Interactive Voice Response modernization, electronic funds transfer and Computer-Telephony Integration towards successful deployment.

• Documented expertise and insight by developing concise procedures and training curricula. • Conveyed expertise based on proven operational success to other accounts.

Bogazici University 2003 to 2009

Adjunct Faculty, Department of Management Information Systems Designed, introduced and delivered senior-level courses based on business expertise in a formal academic environment. • Customer Relationship Management (eight semesters) • Financial Awareness in Operational Management (six semesters) • Functioned as an advisor for Bachelor’s Dissertation Projects (three semesters)

Freelance 2001 to 2009 Consultant/Trainer

• Provided consulting and custom-designed training services in the areas of financial management and control, account management, employee performance appraisal and incentive-based payment systems to Fortune 500 companies.

• Led national enterprises in the automotive and parts, IT services, financial services, manufacturing, telecommunications, fast-moving consumer goods, health care and pharmaceuticals, and transportation services industries.

Education

• Master’s Degree in Economics – Istanbul University, Istanbul, Turkey • Bachelor’s Degree in Mechanical Engineering – Bogazici University, Istanbul, Turkey




05/17/2018

Tab 3 | Page 6

Andy Mast Sales Support Summary of Experience Andy Mast has years of experience in the areas of software development and technology, with experience in customer service and back-end operations. Mr. Mast operated in one of the largest data centers in Northern Virginia as a dedicated/collocated server maintenance and CISCO network administrator. He has worked in technical support and quality assurance. He currently provides customer support as a technical sales support engineer, DocFinity product specialist. Industry Experience

• Number of years in the IT industry: 20 • Internet networking • Server hardware • Operating systems: FreeBSD, Unix, Linux and Windows • Software support and testing • Data scrubbing and reporting

Relevance of Experience to Proposed Role

• Experience in both customer service and back-end operations • Wide scope of understanding in the relationship of general versus specific products and

technology

Employment History Optical Image Technology Inc. 2006 to Present

Product Specialist • Customer Support, quality assurance/testing and product presentation. • Support the sale team by building custom tailored presentations for prospects and existing

customers. Affinity Connection 20004 to 2006

Database and Data Administrator • Responsible for scrubbing, monitoring and reporting on customer data. • Implemented a web-based dashboard as a window to customer data. • Performed extractions of data for the purpose of custom communication for fundraising and

alumni advancement. Nippon Telegraph and Telephone/Verio 1998 to 2004

Server and Network Support • Responding to emergencies and provided resolution of web server problems, either operating

system or network. • Managed Domain Name System records for the VERIO.NET network.

Education

• Park University, Parkville MO; Management and Computer Information




05/17/2018

Tab 3 | Page 7

Kathleen Duncan Marketing Summary of Experience As CDS’ Marketing lead, Kathleen Duncan is focused on delivering effective campaigns and communications to meet aggressive goals and schedules. Ms. Duncan possesses keen leadership, problem solving and decision-making skills. Kathleen will support the collaborative process to ensure our marketing efforts achieve successful results for the TCPN Region 4 ESC contract. Areas of Expertise

• Number of years in the IT industry: 21 • Complex project management • Develops and leads high-performing teams/individuals • Drives excellence in project delivery, operations and customer service • Collaborative, cross-functional leadership • Procurement, competitive sourcing and contracting • Develops and leverages internal and external relationships • Revenue and profit improvement and benefit analysis • Market research and competitive analysis • Internal communication • Strategic marketing and plan development • Brand manager • Art direction

Relevance of Experience to the Proposed Role

• More than 25 years of marketing and communication expertise • Extensive experience in marketing campaigns from concept to execution • Lead creative direction for cohesive graphic development for web and print collateral,

tradeshow booths, presentations and documents • Manage the marketing team’s strategic projects to ensure goals are achieved, risks are

mitigated and develop and communicate solution branded-based messaging for established markets

Employment History Companion Data Services 2009 to Present

Project Specialist • Manage all procurement and vendor contracts, review for accuracy and compliance. • Lead for the company’s high profile events attended by the Business Development team,

including budgeting, tracking work effort and return on investment. • Research, recommend and manage events to attend and exhibit based on corporate strategic

goals. • Proactively collaborate with internal subject matter experts to share market analytics and

accurately capture information and statistics for executive staff. • Manage and maintain excellent external vendor relationships. • Maintain training and understanding of industry best practices.




05/17/2018

Tab 3 | Page 8

• Responsible for the quantitative analysis of internal and external data for strategic and performance insight and data interpretation.

• Formulate reports and make recommendations based on the research findings using market conditions in local, regional and national areas to determine potential sales opportunities.

• Branding, tradeshow and event coordination through various internal and external sources. SCT Energy, Utilities & Communications Division 1997 to 2009

Marketing Communications Manager • Based on strategic direction, established brand for international communication collateral,

advertisements, tradeshow booths, sales support material and internet and intranet. • Developed and maintained the brand of corporate identity including internal, external and web

collateral. • Managed all writing, design and advertisement placement for the global market.

SCANA Corporation - Columbia, SC 1992 to 1997

Communications Strategist • Responsible for all phases of the development and rollout of the Corporate Compliance

program. • Established leadership schools for business units. • Coordinated communications within small business units to ensure business objectives were

met. • Worked with executives for ensured consistency of internal communications.

Education • Syracuse University, Syracuse, NY; College of Visual and Performing Arts – BFA Professional Memberships • Charleston Digital Corridor • Greater Columbia Chamber of Commerce Information Technology Council




05/17/2018

Tab 3 | Page 9

Lane Dundee Financial Support Summary of Experience As CDS’ Controller, Lane Dundee contributes to the oversight of all financial functions within the company. He understands the importance of documentation accuracy and the need to respond quickly to customers issues and concerns with contract language and pricing. Mr. Dundee’s experiences resulted in his selection to provide oversight on The Cooperative Purchasing Network. His continued progression in management demonstrates his success in working with clients as well as his ability to effectively manage his responsibilities. Industry Experience

• Number of years in the IT industry: 14 • Number of years in Financial leadership: 22 • Number of years in contract experience: 29


• More than 30 years of finance experience • Twenty-three years of experience in contract management and customer interaction including

conflict resolution Employment History Companion Data Services, LLC 2012 to Present

Controller (2014 – Present) • Provide oversight of billing and financial services • Provide Budgeting and Forecasting to senior management • Ensure compliance with Generally Accepted Accounting Principles, Cost Accounting Standards

and Federal Acquisition Regulation regulations • Provide responses to auditors and internal and external parties

Director of Contracts and Pricing (2012 – 2014) • Provided oversight for the Contracting department. • Ensured timely and accurate responses to clients. • Managed the preparation and submission of business and pricing proposals based on

requirements defined by various government agencies.

Electronic Data Systems Corp./Hewlett Packard (HP) Inc. 2008 to 2012 Regional Business Manager • Provided consolidation, review and oversight of region financials with annual revenue in excess

of $150 million. • Executed financial management of $200 million plus contracts across geographically disbursed

HP Medicaid accounts. • Provided oversight of four business managers supporting state government agencies located in

seven states. • Prepared business and financial proposals for state agencies. • Coordinated with clients to resolve contract and pricing issues. • Worked with clients and management to prepare contract modifications.




05/17/2018

Tab 3 | Page 10

Best Buy RVs 2007 to 2008 Chief Financial Officer/Controller • Renegotiated vendor contracts and created efficiencies to reduce operating costs by 43 percent

without affecting quality of services provided. • Managed the negotiations with financial institutions for inventory financing. • Worked with external audits during review of financials. • Prepared financial statements for company.

Electronic Data Systems Corporation 2003 to 2007

Business Manager • Prepared business and financial proposals for state agencies. • Coordinated with clients to resolve contract and pricing issues. • Worked with client and management to prepare contract modifications. • Worked with and provided support to the Office of Inspector General. • Worked with the State Family and Social Services Administration on reconciliation of accounts

receivables and federal funding. Lehigh Portland Cement Company 1988 to 2003

Various Positions from Control Clerk to Regional Financial Analyst • Provided oversight of raw materials contracts. • Coordinated with state and internal and external auditors in review of financials. • Provided cost analysis. • Provided inventory management. • Filed Sales and Property Tax returns. • Worked with vendors in the Purchasing department.

Education

• B.A., Accounting, Buena Vista College, Storm Lake, IA Professional Memberships

• National Contract Management Association • Institute of Management Accountants

Training and Certifications

• Institute for the Management of Information Technology Summer Institute, Furman University

• Passed the Certified Public Accountant exam




05/17/2018

Tab 3 | Page 11

Lola Jordan Executive Support Summary of Experience Ms. Jordan is a visionary information technology (IT) leader with almost 30 years of IT and business process outsourcing experience including directing, planning, organizing and executing IT functions. She is customer and business focused, solutions-oriented, a strategic planner and excellent communicator, focused on continuous improvement and driven to meet business requirements and technology needs while promoting a collaborative team environment. Industry Experience

• Number of years in the IT industry: 30 • Number of years in providing executive leadership: 20


• Managed one of the largest customer service organizations for the Centers for Medicare and Medicaid Services (CMS); centers handled 3,000,000 provider and beneficiary calls per year and processed more than 60 million claims in compliance with CMS standards

• Led major system and technology spanning infrastructure, application and print center environments in multiple organizations; took organizations through transformation from technology and applications to next version or generation

Employment History Companion Data Services, LLC 2010 to Present

President 2012 to Present Vice President (VP)/Chief Operating Officer 2010 to 2012 BlueCross BlueShield of South Carolina Responsibilities 2015 to Present • Accountable for all vision, strategy, operations, business development, expansion, client

relationships for IT services including planning, organizing and staff development. • Grew company from under $80 million (M) to more than $100M with constant profitable state

which required extensive negotiating skills with customers and vendors. • Worked in hierarchical matrix in Information Systems (IS) to deliver application and

infrastructure services. • Responsible for delivery of materials to CDS board and by request to BlueCross BlueShield of

South Carolina (BlueCross) corporate board. • BlueCross VP responsible for the IS Internal Support team responsibilities include: IS cost and

budget, executive reporting, recruiting, training, development, compensation management and people management in the hierarchical matrix (since 2015).

• Responsible for IT-oLogy Chief Operating Officer and oversight of the nonprofit; reduced expenses by more than $100 thousand while increasing revenue.

• Executive oversight for Optical Image Technology, Inc. (OIT) (since 2013). • Executive oversight for Preferred Health Technology until shut down (2013-2015).

Hewlett-Packard (HP)/Electronic Data Services (EDS) acquired by HP 1988 to 2010

OSEEGIB, Account Executive (Third Party Administrator) 2009 to 2010 Indiana Medicaid, Client Delivery Executive, Indianapolis, IN 2006 to 2009 OR and OH XIX, Implementation Medicaid Consultant 2007 to 2009 Kansas XIX Deputy Account Manager, Medicaid, Topeka, KS 2002 to 2006




05/17/2018

Tab 3 | Page 12

• Executive presence at Oklahoma State Education Employees Group Insurance Board (OSEEGIB) customer’s public board meetings.

• Responsible for IT systems delivery including systems design and development, data center infrastructure, project management and print center.

• Responsible for all business process management, budgeting and business office operations. • Responsible for all claims and customer and contract relationship for third party administration. • Provided leadership and business oversight for the account and leveraged staff responsible for

fulfilling the day-to-day fiscal agent services related to all technical and non-technical activities. • Reduced inventories from more than 300,000 claims to less than 20,000 claims, a 70 percent

decrease of inventory on hand from the prior vendor. • Responsible for long-term strategic direction for translating technical and business requirements

to meet customers’ needs • Accountable for $40M annual contract, executive liaison for client and growing business. • Administered customer and contract relationship for fiscal operations and business process

management, budgeting and business office operations. • Responsible for financial banking of Indiana’s Medicaid benefits of $6.2 billion. • Leadership and business oversight for IT and non-IT account staff executing day-to-day fiscal

agent services related to data center, design, development and system testing and business process outsourcing.

• Presented account activities to state legislative staff members and chambers. • Executive project consultant for implementation of the Ohio interChange system including

presentations to executive state employees, scope control, demonstrations of system and advisory capacity of implementation.

• Administered the customer and contract relationship for fiscal operations including processing almost 2M claims monthly, bi-weekly executive meetings with client and communication plans.

• Administered $2 billion health care claims benefit dollars expanding all range of medical, outpatient, inpatient, dental and ancillary.

• Responsible for team that implemented medical policies for Kansas activities including customer interaction for design definition, testing and implementing and coordination with other state contractors.

• Leadership and business oversight for account staff executing day-to-day fiscal agent services including design, development, testing and delivery of systems and data.

• Executive point for transition of operational activities for turnover of the Blue Cross Blue Shield of Kansas MMIS to EDS and implementation of the new interChange system.

Education and Training

• Disability Income Associate, AHIP, 2013 • Disability Healthcare Professional, AHIP, 2013 • Capability Maturity Model Integration (CMMI) V1.2 Completion, 2011 • Institute for the Management of Information Technology Summer Institute, Furman

University, 2011 • Health Care Anti-Fraud Associate, AHIP, 2011 • Health Care Customer Service Associate, AHIP, 2011 • Information Technology Infrastructure Library (ITIL) Foundation Certified, 2008 • Project Management Professional (PMP) Certified, June 2006 • Managed Health Care Professional, AHIP, 1997 • Health Insurance Associate, AHIP, 1996 • B.S. Computer Science, minor in Chemistry, California State University, Stanislaus, 1988




05/17/2018

Tab 3 | Page 13

8. Standard terms of payment: NET 30 (payable within thirty days of the invoice date). However, payment terms may be negotiable for government and nonprofit organizations. 9. Who is your competition in the marketplace? From the perspective of document and records management software products only, we recognize numerous competitors worldwide. However, considering the functionality, user-friendliness and robustness of the product as well as our corporate strength and financial stability, the number drops significantly. From the perspective of hosting and cloud services only, we recognize numerous competitors worldwide. However, considering the following points, the number of competitors drops significantly:

• Our security posture • Your sensitive government data being hosted in the United States • Our use of only corporate resources with no outsourcing • Our several major federal government contracts • Our government expertise

Overall, we recognize only a few competitors, if any, who:

• Offer their own software product • Provide customer support by their own employees • Host and secure sensitive government data in their own data centers • Operate the hosting environment by their own technical staff without outsourcing, under one

comprehensive service contract while still possessing a comparable level of financial strength, stability and reliability

10. Overall Annual Sales for last 3 years:

2015 – $105.7 million 2016 – $105.3 million 2017 – $95.6 million

Please note that the figures above reflect CDS sales figures only. Our corporate annual sales figures are typically close to $6 billion. 11. Overall public-sector sales, excluding Federal Government, for last 3 years:

2015: $10.1 million 2016: $9.7 million 2017: $14.4 million

12. Percentage of revenue derived from the following: a. Software Licenses Fees b. Maintenance Fees c. Professional Services/Consulting




05/17/2018

Tab 3 | Page 14

d. SaaS Revenue All of the above are provided by CDS as a part of our service offerings and are not accounted for separately in our billings. 13. Strategy to increase market share We have controlled, stable growth strategy through excellent implementations resulting in unsurpassed customer satisfaction. Since our corporate parent is a mutual insurance company, we are effective in our investments and growth plans to maintain safe levels of member equity. As is the case with our DocFinity product and government customers, we provide unparalleled operational efficiency at competitive price levels towards the best usage of their tax dollars, resulting in reasonable profit margins to maintain and improve member equity. 14. What differentiates your company from competitors? Reliable, Stable Vendor: As state, CDS is a privately held company. In today’s world of mergers and acquisitions, we feature a strong and stable corporate structure to ensure the operations and stakeholders of our customers are not negatively affected as the result of such transactions. Our business status, financial strength and operating philosophies allow flexibility in making long-term business decisions to best support customers and business partners without regard to:

• Quarterly financial pressures of public commercial companies • Short-term financial concerns of small, start-up companies

Financial Strength: The financial stability of our parent company, BlueCross, is on record. In December 2017, A.M. Best reaffirmed our A.M. Best rating of A+ (Superior). One of the few companies nationwide to achieve this distinction, this year marks the sixteenth consecutive year that BlueCross met this high standard. For the latest ratings, go to www.AMBest.com. Trusted Government Partner: We are a trusted government partner, currently holding many federal, state and local government contracts. Our Columbia, South Carolina, data center processes nearly 1.5 billion health care claims supporting commercial, government and military plans each year. Since 1986, DocFinity has been installed in 237 customer accounts, translating to more than 3,500 server licenses, serving more than 150,000 concurrent users and managing billions of documents daily. Many government, education and commercial entities use DocFinity. We have customers located in 43 states and the District of Columbia. The DocFinity customer retention rate is more than 98 percent year after year. Service-Based Approach: As part of a large-scale information technology (IT) organization, rather than a software reseller, we do not sell software and hardware, unless specifically requested by the customer. Our primary focus is to support our valued customers with our service-based solutions and operational capabilities. We establish and build long-term, strong partnerships with all customers. We Are Not New in Software as a Service or Cloud-Based Offerings: Rather than reactively trying to meet the requirement by placing our software in a public cloud provider’s infrastructure, we are proactive in this market by supporting our SaaS-based DocFinity customers:

• Primarily in our own data center that possesses health care class security

http://www.ambest.com/




05/17/2018

Tab 3 | Page 15

• Alternatively in Amazon Web Services (AWS) infrastructure Our SaaS offering is secure, cloud-based, mature and proven. All managed services including security and administration are performed by our corporate employees regardless of whether we are using our Columbia, South Carolina, Data Center or AWS infrastructure. You Interact With the Actual Developers: We are not a reseller. We offer our own product, developed by our Document Management Software Development division, OIT. All of our projects required the installation of ECM/BPM systems which included software, implementation, data migration, training, maintenance and support performed by our corporate resources. Our solution, based on feedback provided by the DocFinity Customer Advisory Board (CAB), which feeds into research and development (R&D) and product enhancements, is built from the ground up on a modern, flexible, scalable platform. Instead of acquiring parts from other companies and patching them into the core product, we build everything; therefore, we make and meet commitments in product development and the upgrade roadmap. All Under One Contract – Full Accountability: Our SaaS pricing model includes ongoing technical support for all components of our solution: application software, database, server operating software and server and storage hardware. We are responsible and accountable for maintenance, repairs, warranty, security, anti-virus protection, backup and restore and disaster recovery related to any server-level hardware or software. We are also responsible for the interoperability, compatibility, supportability and life cycle management of any server-level hardware or software component of our solution. We take entire ownership, under one contract, with a single 24/7/365 point of contact, leveraging our own corporate resources and no outsourced partners. Professional Services: Our subject matter experts have years of experience with similar implementations, complementing capabilities of our products and ensuring a functional fit. We have specific knowledge in the public sector and will discuss your business, offer best practice alternatives and convey our experience towards a streamlined, automated and efficient operational solution. All services including compliance, security, performance and infrastructure are performed by our corporate employees, legal U.S. residents. No Outsourcing: We do not outsource any research, development, coding, staging, testing, implementation, consulting and training or support tasks to any entity outside our corporate structure, including inshore, near shore or off shore. High-Powered, Next-Generation Software Suite: DocFinity, a COTS product, provides a high degree of configurability with no source code modification and offers sophisticated BPM and workflow features to automate functions. For an overview of DocFinity, refer to Attachment 1, ECM BPM/Workflow Records Management. Training and Documentation: Our comprehensive training curriculum helps customers to take full advantage of the software features and learn how to use each module effectively and efficiently. We only use our certified corporate instructors, based in the United States — no exceptions. We maintain and publish thousands of pages of formal documentation which are available to DocFinity users online.




05/17/2018

Tab 3 | Page 16

Our No Surprises Product Pricing: Pricing is fixed, based on concurrent users. We offer unlimited named users. The number of users accessing DocFinity at the same time depends on the number of licensed concurrent users. There are no surprises regarding pricing:

• No additional fees for the number of scanners, scanning workstations or scanning users • No additional fees for administrative users, power users or users with update capability • Options, available at additional costs, are identified and unit costs included in the proposed

price list Total Cost: We work hard to keep costs and expenses at a practical minimum, unlike other companies who accomplish this through onshore, offshore or near shore outsourcing, we only use our U.S.-based corporate resources. We are committed to our customers’ success and minimizing waste and offer an aggressive and competitive price point. We review our cost structure and pricing models to remain competitive and will work with you during contract negotiations, regarding pricing and payment terms. For the convenience of government entities, our prices are published in our General Services Administration (GSA) Schedule 70 contract. Our SaaS pricing provides the best value to our customers at competitive rates. 15. Describe your firm’s capabilities and functionality of your on-line catalog / ordering website: Our products and solutions include:

• Enterprise Content Management (ECM) and Business Process Management (BPM) and Records Management solutions powered by DocFinity

• Secure hosting, cloud and managed IT services • Value-added services include disaster recovery, Technology Support Center, privacy and

security, mainframe elimination, data center replacement and alternate site • Enterprise health care claims processing services powered by Companion Data Services

Healthcare Payer SuiteSM Our GSA Schedule 70 Contract has been in effect and published on the GSA web site since 2012. Government customers contact us directly to receive a quote based on their project needs. A meeting for an accurate configuration of a quote reflecting actual need is beneficial for most government customers. 16. Describe your company’s Customer Service Department (hours of operation, number of service

centers, etc.): The CDS Technology Support Center (TSC) help desk is located in Columbia, South Carolina. It operates 24/7/365, with a monitored web submission process for customers to submit issues and open tickets. Technical support representatives answer calls and work with the customer to quickly resolve issues. A designated point of contact (POC), technical support representative is assigned to each customer to track and manage tickets. Supporting your technical support representative is a team of engineers to address severe issues. The Support Engineer team works with your help desk representative to ensure fast service and to develop and maintain trouble shooting utilities and programs. Procedures exist for issue escalation to other internal teams such as development, testing and professional services. We do not outsource our customer support or help desk operations to any entity outside our corporate structure. All support is provided by our U.S.-based corporate employees. We assume that in normal




05/17/2018

Tab 3 | Page 17

operation, a majority of the day-to-day questions or requests at the end-user level, including but not limited to password resets through the Active Directory, would be handled by the customer’s IT staff. Figure 1 depicts a typical response and resolution time chart for generic use in incident reporting. The chart is provided for problem reporting only, providing an answer to a question may take a shorter time. We will work with the customer to modify these response times or other proposed Service Level Agreements (SLAs) to comply with the customer’s requirements, laws or terms and conditions not in your best interest.

Severity / Priority Levels Response Time Standards Resolution Path / Goals (Escalation)

1 – Severe The system or major application is down or seriously impacted, users cannot log in and there is no reasonable workaround available.

CDS responds within one hour to the initial issue submission.

CDS begins continuous work on the problem; a customer resource must be available to assist with problem determination. CDS and the customer work together to determine if the problem is a product defect or environmental, network, hardware or configuration change. We will exhaust all resources to expediently determine the problem, inclusive of the use of remote support tools and deploying staff to the customer’s site. When system being down has been determined to be product defect based, we will provide our best effort for workaround or installation of a previous functioning version of product so that the system is back up and running within 48 hours. At that point, CDS and the customer will reclass the issue as a high priority and then follow the appropriate high-priority criteria detailed below.

2 – High The system or application is moderately affected due to product defect and not product design. There is no workaround available or the workaround is cumbersome to use.

CDS responds within four business hours.

CDS will provide our best effort for a workaround or fix within 10 business days, once the problem is reproducible. We may choose to incorporate the resulting fix in a future release of the product where practical.

3 – Medium The system or application issue is not critical. The system has not failed. The issue has been identified as product defect and not product design. The product defect does not hinder normal operation or the situation may be temporarily circumvented using an available workaround. This is a feature failure with an existing and convenient workaround.

CDS responds within 24 business hours.

CDS will provide best effort for a workaround or fix within 30 business days, once the problem is reproducible. We may choose to incorporate the resulting fix in a future release of the product where appropriate.




05/17/2018

Tab 3 | Page 18

Severity / Priority Levels Response Time Standards Resolution Path / Goals (Escalation)

4 – Low Noncritical issues, general questions, enhancement requests or the functionality does not match documented specifications.

CDS responds within 48 business hours.

Resolution of problem may appear in future release of software where practical. If the enhancement request is deemed to require custom programming, CDS will engage the customer in a process of specification, resulting in a custom programming specification document. This document will define the need, customer responsibilities, what CDS will provide as a solution and how and an estimate on the time and cost required.

Figure 1 - CDS Response Requirements

Figure 2 provides additional information about our support services for a SaaS based deployment.

On-Site Support (SaaS)

As needed throughout the lifetime of the SaaS-based contract at no additional cost to the customer. Because the application software will reside on the server platform we provision and operate in a SaaS-based implementation, there will be almost no need for on-site support after the go-live date. On-site support will only be provided in cases where the issue could not be resolved at the server level. All on-site support will be provided by our corporate employees, usually based in Pennsylvania or South Carolina.

Telephone Support (SaaS)

Throughout the lifetime of the SaaS-based contract at no additional cost to the Customer. We maintain a fully staffed, large-scale Technical Support Center using state of the art tools including Computer Telephony Integration, Interactive Voice Responder and web chat technologies. We do not outsource our customer support or help desk operations. The TSC operates 24/7/365 to support government and commercial customers. The TSC assists millions of end-plan-member, business and government users. We support government and commercial contracts with strict SLA requirements. There is no scheduled downtime.

Future Upgrades, Bug Fixes, Patches and Product Enhancements (SaaS)

Provided throughout the lifetime of the SaaS-based contract at no additional cost to the Customer, unless an additional feature is requested. In a SaaS-based implementation, the customer will not pay for any future DocFinity upgrades, bug fixes or product enhancements unless an additional feature is requested. Our commitment extends beyond the DocFinity application software; it covers any server-level software including the operating system, database, runtime modules, drivers and firmware.

• In a SaaS-based implementation, we will ensure that the customer uses the latest official release of each server-level software component that is supported and proven, tested and approved to be interoperable.

• In a SaaS deployment, we will deliver on a schedule consistent with the final service level obligations defined in the final contract.

For all other software or hardware components of our solution, such as the database and operating system, we will follow the original manufacturers’ upgrade and update schedules.

Support Provided for Third party Solutions (SaaS)

CDS is fully responsible throughout the lifetime of the SaaS-based contract. CDS assumes full responsibility of any server-level component of the solution proposed including third party software and hardware products (if any) throughout the lifetime of a SaaS-based service contract. We will be the main point of contact for any support-related task or request.

Figure 2 - Additional Support Information for SaaS-Based Deployments




05/17/2018

Tab 3 | Page 19

Figure 3 provides additional information about our support services for an on premise deployment (DocFinity server software installed on the customer’s servers).

On-Site Support (On Premise)

As needed, as long as there is an annual DocFinity maintenance contract is in effect. Because we have the capability to access and diagnose issues (based on and subject to the customer’s security settings and permissions), there will be almost no need for on-site support after the go-live date. On-site support will only be provided in cases where the issue could not be resolved at the server level. All on-site support will be provided by our corporate employees, usually based in Pennsylvania or South Carolina.

Telephone Support (On Premise)

As needed, as long as there is an annual DocFinity maintenance contract is in effect. We maintain a fully staffed, large-scale Technical Support Center using state of the art tools including Computer Telephony Integration, Interactive Voice Responder and web chat technologies. We do not outsource our customer support or help desk operations. The TSC operates 24/7/365 to support government and commercial customers. The TSC assists millions of end-plan-member, business and government users. We support government and commercial contracts with strict SLA requirements. There is no scheduled downtime.

Future Upgrades, Bug Fixes, Patches and Product Enhancements (On Premise)

Provided without any additional cost, as long as there is an annual DocFinity maintenance contract is in effect, unless an additional feature is requested. As long as there is an annual maintenance contract in effect, the Customer will not pay for any future DocFinity upgrades, bug fixes or product enhancements unless an additional feature is requested.

Support Provided for Third party Solutions (On Premise)

CDS is fully responsible as long as there is an annual DocFinity maintenance contract is in effect. CDS assumes full responsibility of any server-level component of the solution proposed, including third party software and hardware products (if any), as long as there an annual maintenance contract is in effect for those products. We will be the main point of contact for any support-related task or request.

Figure 3 - Additional Support Information for On Premise Deployments

Application Software Upgrades and Enhancements We will deliver future upgrades, bug fixes and product enhancements within the scope of our SaaS subscription model or annual maintenance agreement with no additional charge. We emphasize this because we are the developer, we make and meet commitments regarding the product’s future roadmap and follow a product development roadmap. DocFinity was built from the ground up on a modern, flexible, scalable platform so it can meet the needs of small departments to global organizations. None of the DocFinity components were acquired from other vendors. DocFinity provides two major releases per year with interim patch releases as necessary. All DocFinity research and development (R&D) and testing are performed at OIT’s U.S. headquarters including the R&D functions located in State College, Pennsylvania. R&D initiatives are also performed through the CDS and BlueCross corporate resources in Columbia, South Carolina. These initiatives pertain to heavy volume, load-based performance testing and product enhancement requests.




05/17/2018

Tab 3 | Page 20

DocFinity is a customer-driven application. We continue to poll and inform customers on product roadmap and ask for enhancement requests through a variety of methods. Below are the processes in place that support product development:

• Customer Advisory Board (CAB): The DocFinity CAB feeds into R&D and product enhancements. We log and track all general enhancement requests made by customers that are not contracted as special efforts or customization. This log is reviewed in conjunction with the development cycle. We work to incorporate requests that make sense in relation to a specific development effort/cycle. Some requests start as ideas or concepts that we develop and seek validation from our customer base. Seventy percent of all enhancements or new feature requests flow from the DocFinity customer base and 30 percent from DocFinity R&D.

• DocFinity Users Conference: This conference is scheduled approximately every 18 months and

attended by users and academia, with keynote speakers from various U.S. geographical areas. Individuals exchange ideas to enrich processing and to do more with deployment. The next DocFinity Users Conference is scheduled to take place on May 14-16, 2018, in Annapolis, Maryland.

• DocFinity Newsletters: We release newsletters to the DocFinity user community to inform them

of new enhancements and case studies, tips and tricks, trade show events and new customers. In addition, special messages are transmitted regarding new releases and patches.

17. Information on any litigation, bankruptcy or reorganization Companion Data Services, LLC versus SRA International, Inc., No. 14-CV-4631 (D.S.C.) collection action; SRA then countersued; the legal issues were settled favorably. 1.1 Marketing and Sales

Appendix F 17. Marketing this contract within the first ninety (90) days of the award date.

Within the first 90 days of becoming a Region 4 ESC partner, we will market our partnership and Enterprise Content Management solutions to the target markets (public and private schools, colleges and universities, cities, counties, nonprofits and government entities) as follows:

a. Co-branded press release We will produce a co-branded Region 4 ESC specific press release through our Media Relations department. The Media Relations department will contact and speak to the appropriate contacts to gather the information about the business advantage and “why this is news” elements. The press release will be written and then sent for appropriate approvals. After approvals are received, the press release will be distributed to Region 4 ESC target market media outlets and posted on our website. We will follow-up with the selected outlets to ensure the press release was received and distributed.

b. Announcement of award through social media CDS uses LinkedIn as our primary social media tool. We use this platform for Business-to-Business and Business-to-Customer engagement. Social media promotion offers a great opportunity to reach 90 percent of customers who go online to research business purchases.




05/17/2018

Tab 3 | Page 21

c. Direct mail and email campaigns Direct mail – We will develop and distribute direct mail pieces through an ongoing campaign that announces our Regions 4 ESC partnership, capabilities and solution. The message and design of the direct mail pieces will be tailored to each target market within the award. Email – In conjunction with our direct mail campaign, we will craft a series of email communications that will be tailored to each market and sent to targeted contact lists. The email communications will reinforce the message and point people to a branded page on the CDS website where visitors can learn more information and be pointed to the TCPN Region 4 ESC homepage. d. Co-branded collateral pieces In addition to the items listed above and below, we will produce a print and digital sales sheet for each target market. The consistency of the design and content of each target market will be maintained. This sales sheet will be used for distribution and follow-up to potential customers at tradeshows.

e. Advertisements in regional or national publications To announce the award of our partnership with Region 4 ESC and TCPN, we will research and purchase print and digital advertisement space in regional and national publications such as the ASCD’s Educational Leadership, ASCD Express e-Newsletter and www.ASCD.org. The message and design of the advertisements will be tailored to the target markets.

f. Participation in trade shows We will consider sponsorship opportunities, such as National IPA’s Regional Cooperative Summits and other relevant tradeshows to directly access the target market audience, public procurement experts, suppliers and industry leaders. Our exhibit booth will include and promote our partnership, solution and capabilities. We will promote our participation with pre-conference communications and distribute our co-branded collateral.

g. Dedicated TCPN and Region 4 ESC internet web-based homepage The CDS website will include a separate page promoting our award and participation in the Region 4 ESC. The creation of this page will include the TCPN and Region 4 ESC branding, including logo, with content to communicate our partnership, capabilities and solution. This page will provide links to the Region 4 ESC homepage and to the TCPN vehicle for direct purchase.

18. How your company will demonstrate the benefits of this contract to eligible entities if awarded

CDS will consistently communicate the role, purpose and customer service TCPN provides. These benefits along with our Enterprise Content Management capabilities will be integrated throughout the following:

• Collateral sales sheets • Direct mail and email campaigns • Sales training module • CDS website’s Vertical Markets page • Co-branded webpage • Sales demonstration and presentations • Tradeshows




05/17/2018

Tab 3 | Page 22

19. Marketing this agreement to existing government customers

Respecting our existing government customers’ policies regarding communications, we will promote the Region 4 ESC award through digital and print publications, our website’s Vertical Markets page and tradeshows. Where allowed, we will promote TCPN for direct purchase. 20. Detailed ninety (90) day plan describing how the contract will be implemented within your firm

1-30 days Message: Announce the TCPN Region 4 ESC Partnership • Press Release – Create and distribute co-branded press release to target media outlets • Internal Announcement – Executive leadership announces award through a company-wide

memo • Social Media – Develop content and schedule for postings on LinkedIn • Webpage – Develop content and launch co-branded webpage • Sales Team Training – Conduct with leadership providing the direction and message • Direct Mail and Email Campaign – Identify target markets and create campaign message tailored

to each target market

31-60 days Message: Promote Our Enterprise Content Management Solution available on TCPN (benefits to target markets, drive target market the co-branded webpage and to TCPN for direct purchase) • Social Media – Post content according to schedule on LinkedIn • Email Campaign Phase I – Distribute to target markets • Direct Mail Campaign Phase I – Distribute to target markets • Advertisements – Research and identify regional and national publications and cost for print and

digital advertising • Tradeshows – Research and identify events, costs for exhibition and sponsorship

61-90 days Message: Promote Our Enterprise Content Management Solution available on TCPN (benefits to target markets, drive target market the co-branded webpage and to TCPN for direct purchase) • Social Media – Post content according to schedule on LinkedIn • Email Campaign Phase II – Distribute to target markets • Direct Mail Campaign Phase II – Distribute to target markets • Identify plan for advertisement and tradeshow campaign

21. Describe how you intend on train your national sales force on the Region 4 ESC agreement

CDS has developed instructor lead training modules to ensure consistent communication and messaging for our Sales team. This established method will be facilitated by leadership of the TCPN and Region 4 ESC agreement during our onsite quarterly strategic sales meeting. The content of the training will consist of the background on Region 4 Education Service Center; the role, purpose and customer service provided by TCPN. Additional content will include our Enterprise Content Management capabilities and the marketing plan to promote our TCPN Region 4 ESC partnership. 22. Acknowledge that your organization agrees to provide its company logo(s) to Region 4 ESC and

agrees to provide permission for reproduction of such logo in marketing communications and promotions




05/17/2018

Tab 3 | Page 23

We acknowledge and agree to provide our company logo to Region 4 ESC and agree to provide permission for reproduction of such logo in marketing communications and promotions. 23. Anticipated revenue each year for the first three (3) years of this agreement

$480,000 in year one $1,200,000 in year two $2,160,000 in year three 1.2 Administration

Appendix F 24. Existing Cooperative Purchasing Programs Our General Services Administration (GSA) contract has been in effect since 2012. We were recently awarded a cooperative purchasing contract by the National Cooperative Purchasing Alliance and are waiting to receive the fully-executed contract before program kickoff. The contact information is provided below: Jonathan Applegate, Director, Operations 832-477-3475 [email protected] 25. Reporting Monthly Sales We have a department dedicated to contracts administration under a manager reporting directly to the Chief Financial Officer (CFO) to accurately track and book sales transactions, using financial management tools and clearly-defined processes. We will report monthly sales figures to TCPN in a timely and accurate manner. CDS maintains a structured Finance team that includes contracts which allows for invoicing to be customized to each member’s reporting requirements. Systematically our accounting system (Costpoint) is reviewed by internal and external agencies to ensure accuracy and compliance with Federal Acquisition Regulations, the Cost Accounting Standard and Generally Accepted Accounting Principles. Our system reports sales on a monthly, year-to-date (either calendar year or option year) and an inception-to-date basis. We have a department dedicated to contracts administration under a manager that reports directly to the Chief Financial Officer to accurately track and book sales transactions, using financial management tools and defined processes. We will report monthly sales figures to TCPN in a timely and accurate manner. 1.3 Green Initiatives

Appendix F Being a wholly owned subsidiary of a large scale health insurance company, we have taken major steps in significantly reducing carbon footprint, reducing waste, conserving energy and ensuring efficient computing. With no exception, all network providers of BlueCross are enrolled in the provider portal to electronically submit and check the status of their claims and payments. All network providers receive their payment through ACH/electronic fund transfer, which eliminates printing of paper checks. Health plan members are encouraged to use an electronic membership card and enroll to receive electronic Explanation of Benefits documents. These initiatives reduce paper use and help energy conservation by minimizing usage of printers, scanners, inserters and sorters in our operations center.





05/17/2018

Tab 3 | Page 24

Our wellness initiatives for customers (health insurance contract holders and their dependents) as well as our employees promote walking and climbing stairs, which have a symbolic effect on actual energy usage but does create awareness on this issue. In all of our office locations as well as data centers, heating, ventilating and air conditioning systems are properly maintained per the manufacturers’ recommendations to ensure the lowest energy consumption possible. Due to intensive virtualization in our data centers, we have consolidated our server platforms, including mainframes, which resulted in reduction of the number of physical computers, declining energy consumption. DocFinity feeds green initiatives to help organizations go paperless. Our products delivers the ability to automate business processes and conduct business digitally, eliminating the costs of printing and paper. In addition to the green initiative benefits realized by going paperless, you are also lowering costs and gaining efficiencies. 1.4 Vendor Certifications

Appendix F Upon contract award, CDS will obtain and maintain any and all licenses required to perform the services covered under this Agreement.




05/17/2018

Tab 4 | Page 1

2. Products and ServicesAppendix B

Our intent is to make DocFinity, our ECM/BPM and Records Management solution, developed by our software development division, available through this contract. In this tab, we provide information on:

• DocFinity (application software)• DocFinity Deployment Models – On Premise and Software as a Service (SaaS)• Professional Services for a successful, effective implementation of DocFinity• DocFinity Training• DocFinity Documentation• Warranty• Business Process Services

The solutions and services we introduce in this response address these needs: • Capture• Manage• Access• Integrate• Measure• Store

2.1 DocFinity DocFinity is a high-powered, COTS product, flexible and ready to be configured as your DMS with no programming or source-code modification. This integrated, web-based solution was built using powerful, cross-platform enterprise server technology that brings performance to a new level. With its flexibility and ease of configuration, DocFinity can be implemented by any document intensive line of business (LOB).

What is the business benefit for the customer? The flexibility and configurability of DocFinity allows it to serve many purposes such as:

• Document management system• Business process and workflow management system• Enterprise content management system• Case management system• Records management system• Engineering document management system

DocFinity is a next-generation ECM and BPM suite. It offers capabilities beyond traditional document imaging and database systems to offer increased efficiency, flexibility and scalability. The integrated, web-based software was built using powerful, cross-platform enterprise server technology. With its flexibility and ease of customization, DocFinity can be implemented by any information intensive industry. Figure 4 is a depiction of the functional overview of the DocFinity solution.




05/17/2018

Tab 4 | Page 2

Figure 4 - DocFinity Functional Overview

DocFinity delivers:

• Powerful document management: Efficient and customizable electronic document management including scanning, importing, uploading, indexing, searching, full-text searching, viewing, document versioning and markup.

• Business process management: Design, execute and monitor business processes that manage the flow of work, documents and data including integration with other business applications.

• A cross-platform suite: Runs on Windows and Linux operating systems. DocFinity supports the most widely used databases such as Microsoft’s Structured Query Language (SQL) server and Oracle and client browsers like Internet Explorer, Firefox and Safari.

• Enterprise scalability: Equally efficient whether used by a small office, department or large enterprise. DocFinity supports creating nearly limitless document types and metadata and options for scaling server, database and repository resources.

• Integration capabilities: Uses servlets and web service calls based on the Apache CXF Web Services Framework for every application function and user action. It publishes the Application Programming Interface (API) for client use. DocFinity can integrate with existing LOB applications and work behind the scenes, while end users work with familiar applications. DocFinity also offers the Uniform Resource Locator (URL) API as a zero programming integration alternative.

• Simplified installation and administration: Offers one-main installation and an intuitive, browser-based administration interface.

• Intuitive web interface: Users access DocFinity through a browser, using an easy-to-learn interface featuring customizable workspaces, dynamic feedback and online help.

2.1.1 DocFinity Core Module DocFinity Enterprise Core provides the product suite, a foundation and base system which includes:




05/17/2018

Tab 4 | Page 3

• Searching: Enables keyword searches for intuitive inquiry of active databases and archives

• Indexing: Categorizes information for quick and easy search and retrieval of documents

• Viewing: Provides instantaneous, on-screen visibility for single documents or complete files

• Administration: Gives the customer complete control over access, task assignment and monitoring, load balancing and security from a single, intuitive interface

• Scanning: Converts paper documents to digital files to ease handling, speed processing and save space

• Import: Includes object, index and email importers that automate importing of virtually any file type directly into the system or a workflow process including other DMSs

• Print Server: Enables the printing of multiple stored documents without having to open them, reducing network traffic and increasing productivity

• Versioning: Tracks changes to documents, files, metadata and markup, preserving the history and evolution of a document and allowing reversions to previous versions

• Office Integration: Integrates DocFinity and Microsoft Office for Word documents to be imported to DocFinity and to open documents stored in DocFinity in Word

• Application Program Interfaces (APIs): Allows all attendant systems, applications and data sources to interface with DocFinity

Additional details about the functionality outlined above are provided in the subsequent sections. 2.1.2 Additional DocFinity Modules Additional DocFinity modules that complete the solution stack are provided below. These modules are offered in the SaaS subscription as DocFinity Full Suite at no additional charge. When a customer selects an on-premise deployment, they are offered as optional, separately priced components:

• DocFinity Exporter: Takes user-defined collections of documents and extracts files and associated database records that identify those documents. The extracted content, written to the network folder or CD or DVD drive of choice, can be used to transfer document collections to third parties and other systems.

• DocFinity Connect: Calls documents from the database and integrates DocFinity into the customer’s LOB applications without programming.

• Print to DocFinity: Indexes documents into the DocFinity repository from their native applications by selecting DocFinity’s PDF Printer. The PDF copy then opens for you to provide indexing metadata according to a preselected indexing scheme.

• BPM Workflow: Standardizes and expedites processes by pushing and pulling data and files from email, voice mail, faxes and administrative systems to people and systems. You can easily design and modify robust workflows through the intuitive drag-and-drop, point-and-click designer.




05/17/2018

Tab 4 | Page 4

• Enterprise Search: Queries the repository for text matches in non-text file formats such as PDF, TIFF, HTML and JPEG. Locates structured and unstructured data in files and other documents and combines keyword and full-text searching.

• eForms: Lets users design simple and complex electronic forms. It allows forms to automatically trigger new workflow processes on submission and to be integrated into existing websites, portals or other systems and software.

• DocFinity Hierarchical Storage Management (HSM): Processes requests to retrieve, store and move data from multiple storage devices. This module has tools for data migration, prefetching (caching) and automatic purging of outdated, useless documents. It supports a range of media including magnetic drives, optical drives and jukeboxes. DocFinity HSM can be used for off-site, live backups and full redundancy of data in separate locations.

• Records Management: Creates clear, auditable trails of evidence for every process performed on records in the system. Groups related documents into record series and provides mechanisms to automate management in basic retention policies. This includes rules to map records to retention policies, approval process or record disposal and rendering records in non-editable formats. Provides advanced retention policies including legal hold.

• Dashboard: Offers a clear picture of how the system is working and a business process is functioning through comprehensive metrics of performance.

2.1.3 Administration DocFinity is a configurable enterprise suite that makes system configuration and maintenance straightforward and intuitive. All system setup and configuration are performed in DocFinity Administration. The interface guides administrators through setup from top to bottom, through repositories, users, groups, document classification, data setup and BPM. Administrators can manage multiple instances of DocFinity on different servers from one location in central administration. Figure 5 depicts one easy to use tool available in DocFinity Administration. Administrators can easily import and export the system settings, importer configurations and business process designs between DocFinity instances such as from a testing system to a production system. Figure 6 shows a sample user administration panel.

Figure 5 - Sample User Administration Panel




05/17/2018

Tab 4 | Page 5

2.1.4 User Interface – Mobile Devices and Client Workstations DocFinity is 100 percent web based accessible by mobile devices and desktops. The user interface adapts and scales to the device. No application is required. The user accesses DocFinity through a device browser, and DocFinity runs in the browser. This provides mobile functionality without the overhead of downloading an application. Figure 6 denotes a sample mobile input panel.

Figure 6 - Sample Mobile Input Panel

What is the business benefit for the customer? • DocFinity was built using the latest technology and architecture, resulting in

all business processes defined/configured for the customer being accessed simply, uniformly and intuitively.

• Users needing access to different business processes do not need to learn different user interfaces because our offering encompasses flexible configuration of the same system for each process.

• There is no need to install, support or maintain any additional software component on client workstations or mobile devices. This eliminates the day-to-day issues caused by another piece of software residing on another piece of hardware.

Please refer to Attachment 2, DocFinity on Mobile, for more information. 2.1.5 Document Management The DocFinity suite includes powerful document management capabilities including scanning, uploading, importing, indexing, versioning, searching and markup to manage the flow and storage of documents and data. The DMS is customizable. Administrators set up unique categories, document types, metadata and indexing rules that correspond to your business needs. 2.1.5.1 Capture DocFinity enables enterprise-wide setup to automate capture processes and systematize scanning and indexing while allowing designated users to upload and index documents quickly. 2.1.5.1.1 Scanning Capturing documents as stable electronic media is a crucial step in the ECM process. DocFinity supports the most common industry scanning standards, TWAIN and Kofax supported scanning. Through its built in interface, DocFinity allows Windows workstation users to scan from a local workstation through a




05/17/2018

Tab 4 | Page 6

simply installed scanning integration component that allows the DocFinity web application to communicate with a local scanner driver. Windows and MAC workstation users can bypass DocFinity’s built-in scanning interface and scan in documents using a scanner’s native interface. The scanning workspace offers convenient features that allow users to easily work with documents:

• Administrators can create scan profiles that specify scan settings by document type to ensure consistent scan outcomes

• Security can be assigned to scanned batches • Scanned pages in a batch can be reordered • Scanned pages can be combined into documents • Multipage documents can be separated into pages • Pages can be rotated and resized • A batch of documents can be partially indexed on scanning with the category and document

type • Documents can be scanned to an external directory or server for preprocessing or to

accommodate network security

What is the business benefit for the customer? • DocFinity minimizes the software to be installed, supported and

maintained on client workstations, which currently perform scanning.

• The end users can continue to use their current scanner’s native interface.

• Scanned pages can be easily and intuitively manipulated at the user level.

2.1.5.1.2 Uploading A comprehensive ECM system lets users conveniently capture documents for storage in the DMS. DocFinity allows users with granted rights to upload documents and files to the system from their own workstations and index them. DocFinity comes with Print to and Send to capabilities, enabled by the same simply installed integration component that enables scanning.

What is the business benefit for the customer? These upload features enable the users to efficiently and accurately capture their documents and data at the point of interaction:

• Upload and index any document to DocFinity from any interface users are familiar with.

• Print to DocFinity allows users to convert a file to PDF from any application such as Microsoft Office and index it in DocFinity.

• Send to DocFinity allows users to send a file or an entire folder in their native format from supported applications such as Microsoft Office or Windows Desktop and index them in DocFinity.




05/17/2018

Tab 4 | Page 7

2.1.5.1.3 Importing DocFinity features powerful importers to automate the capture of enterprise content: Email Importer, Object Importer, Index Importer and Computer Output to Laser Disc (COLD) Importer. An importer monitors a watched directory for incoming files such as index files, email, web submissions, COLD-Enterprise Report Management reports or output from other business applications. Importers can be scheduled to run at specific times such as off-peak hours or in accordance with a business schedule. All importers can be set up with detailed rules to filter what is imported and to assign indexing based on conditions. Indexing information for imported documents can be automatically populated by data sources for third party databases or applications. Imported documents can be sent directly into a business process. Importers feature options to fine tune the way documents are processed and rendered for optimal performance.

• Email Importer: An invaluable tool for capturing the most difficult content to manage. According

to the Association for Information and Image Management (AIIM), “Email is still out of control, with 55 percent of organizations having little or no confidence that important emails are recorded, complete and retrievable.” With the increasing pressures for corporate records management, due to regulatory compliance requirements, email capture is more important than ever. DocFinity's email Importer is easy to configure, featuring the abilities to import the email body and attachments, to set up white and black lists of email addresses to monitor and to construct filters for importing and indexing.

• Object Importer: A flexible tool for importing items from a monitored directory. It can be used for one-time file conversion such as to bring all stored documents into the DocFinity system. Object Importer can be used for ongoing importing of any type of files and documents from a watched directory such as web submissions or other LOB application output.

• Index Importer: Similar to Object Importer, Index Importer monitors a watched directory and can import records from tab-delimited files into DocFinity and index their data.

• COLD Importer and Report Importer: Enables the capture, compression, indexing and storage of computer-generated reports from legacy systems. These importers work with other DocFinity report management products like DocFinity Archive that can capture print streams in American Standard Code for Information Interchange and Extended Binary Coded Decimal Interchange Code for simple line reports and advanced print streams like IBM Advanced Function Presentation, Xerox Metacode/Dynamic Job Descriptor Entry, Postscript/PDF and Point Cloud Library for more detailed and formatted statements, bills and invoices. Report Importer automatically indexes reports based on the report metadata associated with the report. COLD Importers import reports and convert them to PDFs or plain text files according to a user-created script.

What is the business benefit for the customer? In addition to providing the flexibility to import documents and files into DocFinity, the set of import functions can trigger a business process based on a document that is created on another system. It is even possible to trigger a business process in DocFinity based on:

• A document or file that is placed on a specific folder • An email message that is sent to a watched email address • An entry, document and file submitted through a web portal or




05/17/2018

Tab 4 | Page 8

mobile device 2.1.5.1.4 Intelligent Capture Adding DocFinity Intelligent Capture to your solution eliminates manual indexing and the chance for human error. As the customers are usually tasked with accomplishing more with fewer resources, this technology frees up staff for more meaningful work. This means increased turnaround time, better client services and ensures information accuracy. DocFinity Intelligent Capture goes beyond traditional zonal and template-based Optical Character Recognition (OCR) capabilities. The software’s intelligent recognition functionality extracts information and adapts to changes in individual documents, structured and unstructured, and auto classifies and auto populates fields associated with the document type. Data matching criteria in the system triggers workflows and pushes information to other systems. As the document enters into DocFinity, retention rules are applied to the lifecycle of the document. The room for error during these steps is drastically reduced and standardization upheld. Key features include:

• Extracts content eliminating or drastically reducing the need for manual entry • Launches workflows and business processes based on extracted data • Offers intelligent recognition with the ability to learn where data is held in specific documents • Eliminates the need for designing templates or identifying zones • Extracts lengthy detail from line items • Classifies large groups of documents held in a folder or scanned without presorting

Refer to Attachment 3, DocFinity Intelligent Capture, for additional information.

What is the business benefit for the customer? DocFinity Intelligent Capture integrates seamlessly with all DocFinity modules including Records Management, ensuring that retention plans are applied accordingly. As a result, accurate information is available immediately to the customer’s employees, departments and external stakeholders.

• Variety of incoming documents such as invoices, forms, expense statements, vouchers, applications, claims, appeals and remittance advices to the same mailbox are immediately imaged and imported without manual classification. There is no need to:

- Specify a particular P.O. Box number for each document type or filing

- Manually separate documents that are incoming to the same P.O. Box number, based on the type, into different batches prior to scanning

• DocFinity Intelligent Capture will: - Auto-classify the document or group of documents - Extract metadata buried in the document to auto-populate




05/17/2018

Tab 4 | Page 9

indexing fields - Trigger relevant workflows/business processes, based on the

document type detected and metadata such as Social Security Number, subscriber-ID, member-ID and employee-ID automatically extracted

- Feed data to other systems 2.1.5.2 Indexing Electronic documents are only useful to the extent that they can be easily found and retrieved. DocFinity features a comprehensive indexing component customizable to provide dynamic validation and user feedback, ensuring that documents are indexed correctly. For example, if an indexer enters a date out of the permitted range, an onscreen alert notifies them. Indexing can be automated through the importing and scanning processes and configured with data sources to pull in associated data from third party applications or databases. Indexing requirements and validation can be uniquely configured per each document type to meet your business needs. Figure 7 is an example of an indexing screen shown in the document viewer.

Figure 7 - Sample Screenshot of Capture and Indexing

What is the business benefit for the customer? • Business transactions and data for processes will be integrated into one

cohesive system under a holistic approach. • Required fields for each process will be cross-checked against others during

the implementation, process design and configuration phase, while working closely with the customer.

• Indexes, metadata and search methodologies are thought and designed together, eliminating discrepancies, misalignments and inconsistencies among record types used in different business processes.

• A single view of an individual, bringing up all the records of the same person based on a common index, depending on the security and feature rights




05/17/2018

Tab 4 | Page 10

settings of the employee performing the inquiry. 2.1.5.3 Searching Retrieving documents is easy, intuitive and secure. DocFinity returns documents to users based on the document types they have permission to access. Document access is further controlled by specific metadata values or ranges and by permissions for specific actions such as view, deletes or override redactions. Administrators can customize searches in these ways:

• Searches can be designed based on commonly used categories and document types such as claims applications. For example, Figure 8, Sample Search Panel, is configured to display a list of employees missing a specific document on file.

• Searches can be designed as customizable forms called template searches to prompt users through the search process such as for client account information and to drill down through a configured hierarchical folder structure to browse for documents.

• Stored procedures searches offer a way to customize searching against the DocFinity database. Administrators can store and run reports against the system for business process statistics or user audits.

• Checklist searches lets you manage multiple related documents and track their status in the system such as whether all required documents for an application, enrollment or claim are processed. For example, Figure 9, Sample Checklist Search Panel, below shows that a packing slip is missing; therefore, a payment process cannot proceed.

Figure 8 - Sample Search Panel




05/17/2018

Tab 4 | Page 11

Figure 9 - Sample Checklist Search Panel

What is the business benefit for the customer? • A variety of search options can be set up based on the customer’s business

needs of a certain role. • All search options are defined in the security settings based on roles. • The checklist search allows examiners to visually check or run reports based

on whether required documentation has or has not been submitted to proceed with a task. For example, an effective checklist search can be defined for enrollment, finance or accounting clerks to enable them to examine what is submitted and missing to proceed with the relevant business process.

2.1.5.4 Full-Text Searching In addition to standard search functions, DocFinity features a Full-Text Search component, which extends search capabilities to the full-text content of documents. Enterprise Search is an additional module, which runs on its own server to maximize indexing and search performance. Administrators specify which document types in the system should be full-text indexed. Those documents can be processed by the Optical Character Recognition (OCR) server and then indexed by Enterprise Search. Users can then search the full text of documents for a name or key word. Enterprise Search returns all instances of the term, highlighted. The ability to locate structured and unstructured data contained in PDFs, TIFF files and other documents streamlines efficiency and improves processing turnaround. Full-Text Searching improves access to unindexed data, reducing indexing overhead. In addition, Full-Text Searching dramatically improves the capacity to respond to e-discovery requests. By enabling searching directly into document contents, DocFinity takes access to document information to a new level.




05/17/2018

Tab 4 | Page 12

What is the business benefit for the customer? • If the text in question is not indexed as a metadata item, it is still possible to

perform a search. This is helpful for customer service clerks and agents to pull up information when the stakeholder can only provide limited information.

• Even if the documents subject to search have not originally been recognized through the OCR process, it is still possible to search for their content later.

2.1.5.5 Document Viewing, Annotation, Markup and Redaction Document images need to be viewable in a variety of formats to meet your varied business uses. With enterprise scale scanning and indexing, documents must load and be viewable quickly, so thumbnails and document previews are available. Documents, such as Microsoft Office files, can be viewed as PDFs to enable cross-platform compatibility. Documents, images and other items, such as audio and video files, feature the option to open in the file's native application. Users can view document images using a full-featured image editor with the ability to perform annotations and markup such as highlighting, footnotes and redactions. Figure 10 below depicts the annotation feature. Users can also use standard stamps, such as Approved or Rejected and custom stamps, as done in paper-based work. Once the redaction or annotation is completed, the document is saved in the system. Although the original document is never modified, the security settings can be adjusted to allow certain users to view or print only the annotated/redacted version. Permission to view documents is restricted or granted based on the security settings applied to each document type.




05/17/2018

Tab 4 | Page 13

Figure 10 - Sample Document View with Annotation

What is the business benefit for the customer? Viewing and redaction features eliminate cumbersome and time-consuming manual processes. For example, instead of going through a multi-step process involving:

• Accessing scanned documents containing sensitive data like payments • Searching for specific items from several hundred entries and printing

certain document pages • Redacting portions of the paper copies • Scanning documents and placing them on a shared drive

An employee can:

• Search, retrieve and view the document • Redact the document with standard and custom stamps directly on the

screen, using enhanced features as done in paper-based work while not modifying the original document

• Save the redacted version into DocFinity, allowing certain users to see the redacted-version only, based on role-based security settings




05/17/2018

Tab 4 | Page 14

2.1.5.6 Document Versioning and Editing DocFinity offers robust support for document versioning in which all iterations of a document are retained. Accurate version records of documents are crucial to business cases when past versions need to be retained and accessible such as changes to contracts and insurance policies. Versioning tracks any changes to an electronic document and its metadata including markup and redactions. Versioning can be applied to individual document types and security measures extend fine-grained control over who can create, view and go back to past document versions. Users with permission can check out a document for editing or revision, and administrators can review and manage documents that users’ access to edit. All changes to a document and its metadata are tracked by user and date. Authorized users can revert documents to a prior version. DocFinity accurately manages business documents that evolve over time. 2.1.5.7 Document History Accountability for actions involving documents and data is a crucial component of a document management. DocFinity conveniently puts a documents history at your disposal. Authorized users can access an entire document's history record including when it was acquired and indexed and each time it was viewed, annotated, versioned, output or reindexed. 2.1.5.8 Hierarchical Storage Management DocFinity Hierarchical Storage Management (HSM) allows administrators to automate the lifespan of documents. With HSM, administrators set up rules to process documents based on a schedule such as moving documents to an archive or backup storage, sending documents into a business process or purging documents completely from the repository or database. HSM allows managers to customize the retention and destruction of documents and data according to regulatory guidelines. Automating document storage, backup and destruction will help optimize repository and database resources such as movement of records from expensive, fast storage to more cost-effective, long-term storage options. Plug-ins can be created to add any type of scheduled batch functionality needed. 2.1.5.9 Printing and Faxing DocFinity enables enterprise-scale printing and faxing so these operations can be handled in the ECM system. Users can conveniently print documents while indexing, searching or working a business process, and documents are sent to the print/fax queue to be managed, enabling high-volume printing. As with all DocFinity documents, user printing and faxing access is controlled by feature rights and security, only users with the appropriate permissions can output documents. 2.1.6 eForms The DocFinity eForms module enables capturing data in simply created, structured forms customizable in design and behavior. Forms are created by administrators in the Form Designer, which features an intuitive interface with drag-and-drop functionality for adding form components to the canvas. Forms can be designed to display dynamically depending on the data entered and can feature multiple steps to be completed by different users or depending on different conditions. Forms can execute a variety of actions on submission from sending dynamic email messages, generating PDF form versions, storing data and starting a business process.




05/17/2018

Tab 4 | Page 15

Users can complete forms in DocFinity and receive and complete forms through a business process job. DocFinity forms and data can be indexed, searched and retrieved like other documents and forms can be assigned and monitored in DocFinity Administration, as shown in Figure 11.

Figure 11 - Sample eForm Design

DocFinity eForms offer options that enable integration. Forms can be linked to external data sources to automatically populate with existing data. On submission, forms can trigger running a stored procedure or sending data to an external database. Users external to DocFinity can access and complete forms using the DocFinity interface. External access to eForms offers a powerful way to integrate with public-facing web pages and applications to capture data and enables self-service by users.

What is the business benefit for the customer? • Enables users to submit and track information such as reports, requests and

orders. The submittal might, but does not have to be complemented by supporting documentation.

• eForms can trigger a business process on the entity that receives submitted information, with or without supporting documentation.

• Information on an eForm can be converted to PDF for viewing and printing, appearing similar to what the users are used to seeing.

2.1.7 Business Process Management DocFinity’s BPM is fully integrated with the ECM system to manage the flow of documents, data and work. According to a recent AIIM business survey, 49 percent of respondents agreed that "Finding the




05/17/2018

Tab 4 | Page 16

information I need to do my job is difficult and time consuming." DocFinity BPM solves the information gap by automatically delivering documents and information directly to the people who need them. 2.1.7.1 Process Designer DocFinity BPM expands workflow capabilities to include a full-featured, web-based Process Designer with the capability to document and model business processes. Business process analysts gather information about processes, designing at a high level how those processes work with a diagram that speaks to managers, decision-makers and technical administrators. The Process Designer lets the diagram be configured into an executable model, regardless of whether or not it is related to documents. The Process Designer offers zero programming requirements and convenient features like an intuitive interface, annotations, drag-and-drop functionality and libraries to save configured process components for reuse. A sample view is provided in Figure 12.

Figure 12 - Process Designer Panel

Business process models can incorporate these technical features:

• Assign user tasks and monitor completion • Enforce deadlines and processing times • Create customized forms, prompts and instructions for workers • Determine routing and tasks based on conditions and data • Configure distribution based on users' group memberships, roles, workload, attendance and

other rules • Schedule job distribution around business hours, business holidays, shifts and attendance • Integrate with third party applications automatically during a process by running

executables, URLs and web services or by populating data from external databases or applications

• Run database stored procedures to access stored and automated business transactions




05/17/2018

Tab 4 | Page 17

• Generate and send emails containing dynamic information to workers, managers and clients • Automate document indexing • Versioning for process models that are saved, activated and modified

2.1.7.2 Job Assignments DocFinity business processes are web based. Users access their business process job assignments, complete with task lists and user instructions, in the DocFinity interface. Users check out and work on jobs, viewing documents and data, and when they are complete, the business process executes to the next step. Business processes can integrate with other document management features for indexing, searching, viewing, annotating, printing and emailing documents. Business processes can start automatically when documents are imported or indexed into the system. A sample Workflow Job panel configured for payment processing is shown in Figure 13.

Figure 13 - Sample Workflow Job Panel

2.1.7.3 Monitoring DocFinity BPM provides robust monitoring tools for tracking business processes as they are running, for administrators to view and adjust process instances in progress. Monitoring issues warnings for process errors and tracks which business processes are active, how many instances of a process are running, what stage of execution has been reached and what documents and variables are handled by a process. 2.1.8 DocFinity Software Application Based Security Securing data is a crucial aspect of regulatory compliance as mandated by laws like Health Insurance Portability and Accountability Act (HIPAA), Family Educational Rights and Privacy Act and Sarbanes-Oxley. Guaranteeing audit trails over who has access to documents and data is an important component of corporate accountability. DocFinity offers a number of security features to control who sees and modifies documents and data.




05/17/2018

Tab 4 | Page 18

• Feature Rights control which groups of users can use specific application features and functions such as searching, scanning, indexing and administration.

• Document Security determines which groups of users have access to each document type.

• Permissions control which groups of users can perform specific actions per document type such as viewing, deleting, seeing markup, updating data or overriding redactions.

• Filter Security limits document access and permissions for a document type according to specific data values or ranges.

• Batch Security sets user access security over unindexed documents and files.

• Assigned Searches grant specific searching capabilities and rights to specific groups of users and return only the documents to which users are granted access.

• Restore and Purge functionalities enable backup options by administrators for user-deleted documents and allow only an administrator to permanently delete a document in accordance with compliance requirements.

In addition to these security features, DocFinity BPM’s ability to streamline and automate business processes allows the customer to increase control over access to documents and data. DocFinity audits all changes involving documents, data and user activities including system administration actions. Audit records confirm the validity of audit trails. Aided by a detailed audit guide, administrators create customized audit reports from the database. In addition to the security in the application, DocFinity can be run on HTTPS to provide encryption and secure communication for sensitive data. 2.1.9 Records Management The DocFinity Records Management module allows the customer to comply with internal record retention policies and government regulations and ensures records needed for legal cases are not disposed of prematurely. Representative views of this module are shown in Figure 14 and Figure 15.




05/17/2018

Tab 4 | Page 19

Figure 14 - Records Management (Records Panel)

Figure 15 - Records Management (File Plan Panel)

Records Management automates retention based on your policies. Custodians approve record disposal, and legal hold allows e-discovery compliance. Clear, auditable trails reveal who touched what and when and rendering records in noneditable formats keep sensitive information safe. The Records Management module is integrated with the core engine. It provides full-featured Records Management functionality including:

• Automated record classifications




05/17/2018

Tab 4 | Page 20

• Configurable retention scheduling • e-discovery compliance • Record disposition through custodian approval (requires Workflow) • Automated record disposition without custodian approval • Legal hold configuration options

DocFinity Records Management creates clear, auditable trails of evidence for every process performed on every record in the system. It groups related documents into record series and provides mechanisms to automate the management of document lifecycles. Records Management has four major components:

• Record Retention: Every document has a useful lifespan. After which, the document becomes a liability. Record Retention lets users create retention policies that specify the useful lifespan of each document type. These retention policies define how to dispose of documents when their useful life has exceeded. The disposition process for a document no longer required can be automated or set to require approval of a designated user, called a custodian, through Records Management or a BPM process.

• File Planning: Lets you create and enforce your over-arching plan for records management of the records stored in DocFinity.

• Record Search: Lets users search beyond the current version of each document into all document versions and the history data that makes up the record account. This allows a custodian to find every instance of any record, even obsolete versions, when putting records on hold due to a lawsuit or other legal matter.

• Legal Case Support: When documents are needed for a lawsuit or other legal action, documents and records relating to the case can be put on Legal Hold to prevent them from being disposed of either manually or as part of an automated record retention schedule. Legal Case Support helps users find those documents and any other related materials and flags them so they are not purged until they are not required. With Legal Case Support, users can easily export records for use in the case.

What is the business benefit for the customer? • Provides the customer with the tools and controls for classifying, archiving,

preserving and destroying records. • Records management facilitates the efficient and economical control of

records and information created, received, used and kept. • Provides the controls and automation required to manage large record

volumes from creation to transfer to archives for permanent retention or other final disposition DocFinity Records Management.

2.1.10 Reporting and Analytical Capabilities The architecture and technologies behind DocFinity allow the application suite to be flexible and scalable to suit your business needs. Open database structure is published for custom reporting and




05/17/2018

Tab 4 | Page 21

programming. The following information provides additional details on DocFinity’s reporting tools and features. 2.1.10.1 Dashboards DocFinity Dashboards is an integrated, out-of-box design and reporting tool that visually provides reports, charts and graphs with no programming required. Third party reporting tools can leverage DocFinity's API and direct database connection. All of the information about documents, auditing, system state, workflow and more can be accessed for reporting. Combining meaningful reports using DocFinity and third party data and is a key benefit of Dashboards. The Dashboards module provides system usage and workflow statistics in a graphical presentation. You can design and view all types of charts to display information about your DocFinity instance, the documents within, BPM data and any data you have access to through a data source. Because you can use Dashboards to monitor any data accessible through a data source, including data outside of DocFinity, dashboards can serve as your view into your entire organization. With Dashboards you can visually see how your business is running, enabling you to proactively avoid bottlenecks and productivity losses. With real-time monitoring capabilities, Dashboards lets you see where workloads are light or overloaded. It also monitors importers and your servers and repositories. It can be used to gain insight into other business systems. An example of a DocFinity dashboard is depicted in Figure 16.

Figure 16 - Sample Dashboard

We simplified the development of dashboards so business users can focus on presentation without SQL knowledge. For example you can:

• See how systems and repositories are keeping up with your processes: Performance issues can be tied to bogged-down systems, over-used importers, over-worked servers and full repositories. Dashboards show you how these elements are functioning to be proactive about future needs or to make simple changes to expedite processes.

• Identify bottlenecks within your processes in real time: Dashboards gives you a here-and-now view of what is being accomplished. You can compare today’s activities with those of the past month. You will identify when productivity is slow or efficient, see the reason and know where to modify your processes based on this information.




05/17/2018

Tab 4 | Page 22

• Drill down into charts and graphs for further details: Whether you are monitoring DocFinity or another system, you can drill down into charts and graphs to view details like individual staff productivity or the time of day your importer experiences issues. You can even drill down to a URL, allowing you to view a specific document or launch the job queue in question. These details help your staff to identify and address concerns.

Please refer to Attachment 4, DocFinity Dashboards, for more information. 2.1.10.2 Custom Reporting DocFinity Dashboards provides configurable reporting of the system. In addition, the database is fully documented with a data dictionary. With that knowledge, you can use a third party reporting tool against the database such as Crystal Reports for your reporting requirements. 2.1.10.3 Auditing DocFinity audits all document and data changes and user activities including system administration actions. Audit records confirm the validity of audit trails. Aided by a detailed audit guide, administrators can create customized audit reports from the database according to your needs. Sample screen shots of the Document Activities and Search Documents panels are shown in Figure 17 and Figure 18.

Figure 17 - Auditing (Document Activities Panel)




05/17/2018

Tab 4 | Page 23

Figure 18 - Auditing (Search Documents Panel)

2.1.11 System Integration and Interoperability Capabilities DocFinity integrates with LOB applications and legacy systems. It supports integration by using service-oriented architecture, a standardized but flexible system design, leveraging web services and servlets to create loosely coupled and interoperable services. With the proper integration, DocFinity disappears behind the scenes, operating as the ECM and BPM engine that processes documents and data. Members may have a unique combination of software, LOB applications, databases and communication technologies, a successful ECM solution must be flexible to integrate with a broad range of existing applications and data. Integration is one of DocFinity's strengths, enabled by these capabilities:

• Obtain external data: To capture data and minimize processing, DocFinity offers many ways to obtain existing, externally stored information. Importers, indexing, electronic forms and business processes can be configured to connect with external databases or applications and to obtain indexing data automatically, minimizing staff time and ensuring accuracy.

• Search linked data: User searches can link to external data sources to return information not stored in DocFinity, helping the customer reduce data duplication and storage space. Search results can display dynamic and up-to-date external data alongside DocFinity data in the same search interface.

• DocFinity URL API: The URL API offers an out of the box tool for integrating DocFinity with other applications. Using simply written URL queries, another application can link directly to a DocFinity document or function.

• Web Services API: DocFinity's architecture is web-services based, and the complete public API is published for the customer to use. With customized integration, users can work in familiar applications while DocFinity operates behind the scenes. DocFinity disappears into




05/17/2018

Tab 4 | Page 24

the background, with operations tightly tied to another product's interface through web services, yet continues to function as the ECM engine handling documents and data.

• BPM integration: The business processes routing documents, data and tasks to workers offer many options for setting up integration with other business data and applications such as: - Start business processes that are triggered automatically by external events or

applications such as by importing, email or web services. - Web service tasks can connect a business process to an external or DocFinity web

service and enable dynamically communicating data and executing operations. - Run executable tasks automatically start and send data to another application on the

server or a user's workstation from within a business process. - SQL data sources enable communication with an external database during a business

process. - Run stored procedure tasks automatically runs business transactions on a database. - Run URL tasks let a user or server connect to a URL to access documents, data or web

services.

• Integrate with users' daily document tasks: DocFinity makes handling documents easier for users with Office Integration. Users can access DocFinity directly in Microsoft Word to download documents and upload and index documents. Users can also send and index documents directly from an open application or file directory using Print to DocFinity and Send to DocFinity. Integrating with familiar tools means users can manage DocFinity documents in their normal work stream.

• Managing users and security: Users can be handled using existing systems and security. Synchronizing with a Lightweight Directory Protocol server such as Microsoft's Active Directory. This means existing user accounts can be tied to DocFinity and updated without administrator overhead. Kerberos authentication and trusted authentication, using a single sign-on server, can also be used to leverage existing resources, avoid redundancies and speed user access.

• Zero-programming integration: DocFinity Connect is an integration tool that lets users scrape data from another application using a configurable Hot Key. Information can be sent to DocFinity or the URL API with a keystroke.

• Custom integration: Indexing is another integration component that implements a standard plugin framework customizable for a wide range of indexing scenarios such as for specific security or communication protocols. Our experienced Professional Services department is available to develop custom integration programming for the customer’s unique environments.




05/17/2018

Tab 4 | Page 25

What is the business benefit for the customer? Our professional services experts work with the customer in refining existing processes to take advantage of the technology towards effectiveness. This work may include a complete rewrite of certain processes for example:

• Replacement of email with clearly defined workflows. • Potential elimination of spreadsheets and manual entries. • Elimination of manual scanning. • Replacement of manual entries by automatically sending data to or

receiving data from legacy systems. • Automatic generation of periodic reports. • Should the customer need to retain existing spreadsheets and email

messages; for example, to remind users about an upcoming task or as backup, DocFinity helps by interfacing these applications. It can automatically create or update a record on or read a record from them. If the customer sees any benefit to integrate legacy systems including email and spreadsheets to DocFinity instead of eliminating them, this will still result in significantly improved accuracy and effectiveness.

2.1.12 Public Access to Records DocFinity is a 100 percent browser-based product, developed in HTML5. Therefore, the functionality of being accessed over the web by authorized users already exists and is provided out-of-the box. Under development and scheduled for release late third quarter of 2018, is a new module which expands our sharing capabilities to include more portal like features that can serve as a public gateway but will also provide workflow tasking, documents, forms and integrations with other systems. The Public Gateway/Portal will provide external access to users not registered in your system, the Gateway/Portal Server will be capable of living outside of your firewall, and the Gateway/Portal will support multi-factor verification. 2.2 DocFinity Deployment Models CDS offers two options for the licensing and use of DocFinity: 2.2.1 Traditional On Premise We offer the option to select DocFinity software licenses and maintenance contracts for on-site installation, using the customer’s server and network infrastructure. CDS would fully support the customer with installation, configuration and training and professional services. Following aspects need to be considered for on premise deployment:

• Network security: Network security is dependent on the customer environment, policies and practices

• Data security: Encryption and security of the data is dependent on the customer’s standards, environment and policies.




05/17/2018

Tab 4 | Page 26

• Redundancy: Redundancy is dependent on the customer environment including but not limited to the policies, strategies, practices and the extent that the customer wants to invest in the acquisition, maintenance and operation of the software and hardware tools that provide redundancy. DocFinity is supported on most industry-standard hardware and software platforms that could be configured for high levels of availability.

• Database maintenance: Maintenance tasks to be conducted by the customer are subject to the requirements of the database management software chosen. DocFinity supports Oracle and Microsoft SQL Server.

• Application maintenance: DocFinity does not have any specific requirements for application-level maintenance tasks to be performed by the customer. An annual software maintenance contract is highly recommended to receive support including updates and upgrades.

• Application software licenses: A customer selecting on premise deployment can purchase licenses for additional, separately-priced, additional DocFinity modules that complete the solution stack after the DocFinity Core module is installed.

System requirements for an on premise deployment are summarized below:

• Supported operating systems: - Microsoft Windows Server 2008 R2 (64 bit)* - Microsoft Windows Server 2012 (64 bit)* - Microsoft Windows Server 2012 R2 (64 bit)* - Red Hat Enterprise Linux 6.7 (64 bit) * Non-GUI Server Core version not supported.

• Hardware requirements: - Up to 25 users (workgroup): single server with a Quad Core server processor, a 64 bit

Operating System (OS) and 4GB RAM - 25 to 100 users (enterprise): two servers with Quad Core server processors, a 64 bit OS and

8GB RAM - For more than 100 users: consult with CDS Professional Services

• Supported Databases

- Microsoft SQL Server 2012 SP2, 2014 - Oracle, using the WE8MSWIN1252 Character Set: 11g, 12c

2.2.2 Software as a Service (SaaS) This option is the customer’s use of our service-based approach, SaaS deployment with the following attributes:

• Zero capital expenditure: SaaS option requires no capital expenditures by the customer to purchase server hardware or server software licenses

• Zero maintenance cost: Maintenance for all server-level components of the solution is included in SaaS subscription




05/17/2018

Tab 4 | Page 27

• Lower Personnel Expenses: The role of a database administrator, network administrator and a system administrator is either very limited or not necessary

• Full Suite included: Additional DocFinity modules which are separately priced on an on premise deployment are offered at no additional charge within the SaaS subscription.

• Flexible licensing: The number of licensed users can be increased or decreased on a monthly basis with sixty days’ notice following implementation. Figure 19 is an overview of the solution components provided by CDS and devices and connectivity provided by TCPN members.

Companion Data Services Provides TCPN Members

Provide Solution Components Services for all Solution Components

Application Software • Provisioning • Hosting • Installation • Maintenance • Support • Upgrades • Updates • Warranty • Repairs • Operations • Monitoring • Physical security • Data security including anti-virus protection • Data backup • Disaster recovery • Performance tuning

• Personal computers

• Mobile devices • Scanners • Printers • Compatible web

browser • Internet

connection

Server Hardware

Server Operating System

Server Data Base

Server Data Storage (starting at 1TB) at unlimited Input / Output requests

Server Application Software Storage as needed

Figure 19 - SaaS Deployment Summary

We offer two SaaS deployment choices:

Private cloud: Customer’s data is hosted in the HIPAA-compliant Companion Data Services Columbia, South Carolina. The SaaS subscription fees include unlimited Input / Output (I/O) requests. Due to federal contracts, our Columbia data center has achieved:

• Federal Information Security Management Act (FISMA) High Rating • HIPAA Compliance • International Organization for Standardization (ISO) 9001:2008 Certification • Statement of Auditing Standards (SAS) 70, Statement on Standards for Attestation

Engagements (SSAE) 16, Service Organization Controls (SOC) 2 Audit Compliance Public cloud: Customer’s data is hosted in an Amazon Web Services facility in the United States. Amazon Web Services I/O fees are directly reflected to DocFinity users as a pass-through.




05/17/2018

Tab 4 | Page 28

2.3 Professional Services DocFinity, a complete COTS product, will meet your requirements out-of-the-box, with no customization through source code modification. DocFinity is simply configured by the user, based on the customer’s unique needs. However, we firmly believe that the type of support you receive is as important as the software you implement. We have been providing support to DocFinity customers for more than 30 years. We partner with our customers to find the best ways to meet their needs and provide them with the individual attention they deserve. That is why we consistently retain more than 98 percent of our customers year after year. And we typically earn 97-98 percent customer-satisfaction rates in anonymous, third-party surveys conducted annually. We support our implementation projects with professional services to ensure success. In today’s business world, almost all IT-related projects are sophisticated and have a direct impact on the effectiveness of the operation as well as financials on the customer’s side. The professional services we provide are critical to establishing and sustaining long-term customer relationships. Below is a brief description of how we will ensure a successful implementation. 2.3.1 General Approach to Configuration and Implementation Systems and implementation services go hand-in-hand. As a developer and solutions provider based in the DocFinity solution suite, we provide a full offering of professional services that complement the capabilities of electronic document, records and workflows. We offer strategic and tactical services to help you set directions, take the right steps, stay on course, take corrective action and if necessary, install and implement, go-live and post go-live service and support. From tips to tools, we offer everything you need to optimize the use of the DocFinity system and maximize the success of implementation through:

• Needs analysis and organizational assessment • Requirements gathering and implementation planning • System design, installation and implementation • Change management expertise • Needs-specific installation and configuration • Process engineering, BPM and workflow consulting and mapping • Software and systems integration • Document indexing analysis • Custom programming, designs and feature enhancements • Records life-cycle management • Disaster recovery • Operational consulting • Training

We do on-site and remote implementations; with most projects being a blend of the two. We work with customers to deliver implementation services in a cost-effective manner that meets their specific needs.




05/17/2018

Tab 4 | Page 29

Remote support is provided through the facilities in State College, Pennsylvania, or Columbia, South Carolina, depending on the task. We never stop enhancing DocFinity with the features and functionality from which our customers benefit. We will keep you informed about items in development and make it easy to request features, report issues and get help. As a customer, you have access to full documentation for the entire DocFinity Suite including implementation instructions and best practices from fellow DocFinity users. 2.3.2 Roles and Responsibilities Our services team will work with the customer’s project leadership team to establish the project and staffing plans. Project management is a joint effort between the customer’s project manager and CDS’ client advocate, together they handle customer resource allocations and project updates. Project change management is addressed during project updates or any critical path change where an agreed on deliverable or approach may change. Once the project’s critical path, milestones and deliverables are established, changes to the implementation plan will be documented. CDS’ client advocate will be responsible for allocating resources and laying out the project plan according to best practices to ensure a successful deployment. In addition to the project’s implementation plan, system design documents are generated with a complete Implementation project plan. CDS’ client advocate has oversight of all project management activities such as maintaining the project plan and all other plan deliverables, status reporting to include issues tracking and timely resolution. The customer will use the client advocate as the primary POC throughout implementation and ongoing production support. We have structured the Implementation and Production Support teams, directly working with the client advocate. The client advocate will be the primary POC, beginning with contract award and continuing through the life of the contract. In addition to the support of the client advocate, technical support will be provided through the CDS TSC and application support from either CDS or OIT. The client advocate will lead our team and be the single POC for interaction with CDS to ensure communications are timely and responsive. Our team also includes subject matter experts with years of experience working similar implementations. This experience includes knowledge of the DocFinity software, project management, business requirements analysis and solutioning and technical support. From the TCPN member side, we see involvement of the resources referenced below. Please read the footnotes as the involvement of certain roles in a SaaS deployment is either not necessary or limited:

Project Manager (PM): Represents customer management and project stakeholders and coordinates and organizes efforts between CDS personnel, the Customer Project team, stakeholders and LOB managers and system users with the goal of driving successful completion of the project. The PM works to ensure good communication and efficient interaction between CDS personnel and the Customer Project team to resolve conflicting situations that could inhibit progress and successful project completion. Appropriately available to CDS personnel to assist and work toward project closure and success.




05/17/2018

Tab 4 | Page 30

Systems Administrator/Analyst1: Responsible for application and interface maintenance and administration including the setup and configuration of DocFinity features and functionality in a manner that allows for the system to efficiently meet the LOB needs and requirements. This includes debugging and troubleshooting in an effort to ensure the system is performing as it should in the customer environment. Appropriately available to CDS personnel to assist and work toward project closure and success. Database Administrator2: Responsible for the performance, integrity and security of the database. In addition to assisting with planning, developing and troubleshooting in an effort to ensure the system is performing as it should in the customer environment. Appropriately available to CDS personnel to assist and work toward project closure and success. Network Administrator/Analyst: Responsible for implementing, maintaining and supporting the customer computing infrastructure, and providing a working knowledge of network security, user account management, email systems and servers, internet access and servers, office systems and applications. Appropriately available to CDS personnel to assist and work toward project closure and success.3 Document and Data Knowledge/Solutions Architect: This staff member needs to know how, where and why documents and data are generated and used in the customer’s business process. With a thorough understanding of how system users need to search and retrieve documents and data, and then use the documents and data to complete tasks and processes. In addition, having the ability to assist with business requirements and create the appropriate information architecture, taxonomy and solution approach; to work with users, management and executives to expand the use of the DocFinity solution; and to guide the solution design and fit to solve business process challenges and address overall customer strategy. Appropriately available to CDS personnel to assist and work toward project closure and success. Line of Business Knowledge Analyst: Knowledge and understanding of the business issues and document and data challenges related to the LOB process for which DocFinity is being implemented. Has knowledge and understanding of the application user strength and weaknesses. Thorough knowledge of the LOB processing and workflow requirements inclusive of compliance needs. Assists in developing and fitting of system design to fit LOB purpose. Appropriately available to CDS personnel to assist and work toward project closure and success.

In a typical implementation, to ensure the successful delivery of the professional services outlined in this section, we use the staffing resources and their corresponding responsibilities described in Figure 20.

1 For a SaaS based deployment, this role is optional and will have very limited involvement. 2 For a SaaS based deployment, this role is not necessary. 3 For a SaaS based deployment, the involvement of this role is applicable only during the implementation phase.




05/17/2018

Tab 4 | Page 31

Role Project Manager System Engineer Implementation Analyst

Business Process Analyst Trainer

Expe

rtis

e Solution Project Management

Industry & Operations

Functionality

Field Implementation & Application Functionality

Business Process Development

User Education and Working Knowledge

Resp

onsi

bilit

ies

Serves as primary point of contact throughout the project Manages all phases of the project: • Coordinates all

project meetings • Maintains all

reports and tracking tools

• Directs all communication

Tracks project performance: • Schedule • Cost • Quality • Risk indicators • Team success

Collects and distributes customer information: • Provides status

updates • Conducts

discovery meetings and interviews

• Facilitates risk planning and monitoring

Documents the customer’s: • Requirements • Expectations • System

requirements • Change control

process

Configures application: • On-site

configuration of application

• Pre-implementation application testing

• Customization Conducts on-site: • System

implementation • Application testing

and parallel testing • Administrative

training • Status reports • Production

transition

Provides business process consulting to aid in product use Interviews staff and establishes: • Existing

workflows • Workflows that

need to be created

• Key business processes

Designs and develops workflows based on need and desire

Provides end-user product training: • Offers

established course options depending on needs

• Provides customized curricula based on customer request

• Makes training available on-site, at CDS offices or through the web

• Provides a working knowledge of all applications

Resu

lts

Complete project documentation: • Statement of

Work • Change Control • Action item list • Status reports • Project schedule

A project that matches expectations (per the Statement of Work)

Discovery meetings that shape the project, facilitated by CDS Customer requirements document that guide the project, facilitated by CDS Requirements issues are resolved quickly System design document to guide the customer

DocFinity software is correctly configured and installed Administrators are trained how to use the system On-site issues are resolved quickly A collaborative implementation design document that is designed by your team, facilitated by CDS

A functional workflow design Streamlined business practices

End users are comfortable using the system when training is complete All project knowledge is transferred successfully to the customer

Figure 20 - Professional Services Resources

2.3.3 Tasks The Professional Services team offers specialized services that address the unique needs of organizations in relation to electronic document, records and business process and workflow management. We provide personalized consulting, configuration, business process/workflow analysis and improvement. We can also assist with customized integration to address changing needs as the organization and requirements grow. Professional services include the below tasks. However, the




05/17/2018

Tab 4 | Page 32

necessity and intensity of the tasks in an actual implementation depends on many factors including the project’s sophistication level, integration requirements and others. 2.3.3.1 Requirements Planning and Design Kickoff Meeting: Members of the DocFinity Professional Services team will travel onsite to work with the customer project team for a face-to-face project kickoff meeting. This visit will help establish the best method for adding the DocFinity software stack to the business environment. The meeting will also help identify any potential technical issues and risk factors. Most importantly, the meeting’s purpose is to provide an overall direction for DocFinity deployment decisions. Specific milestones and project timeline will be defined as well as a project communication plan System and Implementation Design: The design will include developing a document DocFinity taxonomy (documents and metadata) to support documents and data for the phases included and priced per the RFP requirements. Also included in design is creation of searches for efficient retrieval of documents and data, and to ensure proper security and accessibility are setup for these confidential documents. Once the teams agree to a design, those items will be constructed in the test and quality assurance region. Intelligent Capture Consulting: This stage is dedicated to the determination of data that will be extracted from scanned or imported documents using the OCR feature, regardless of whether the data resides in defined regions or in the document. Also, Intelligent Capture allows the system to automatically start a workflow based on the data that is automatically captured from the document scanned or imported. Although the Enterprise Search (Full-Text Search) virtually allows any document to be searched by the actual content, Intelligent Capture offers much more. To take full advantage of Intelligent Capture, we will work together to determine what the feature is expected to search for in the documents entered and what type of workflows are to be initiated. The success of this stage is critical and will provide valuable input to the next phase, Business Process Engineering. 2.3.3.2 Business Process Engineering We provide shoulder-to-shoulder consulting and services to verify existing business processes and workflows. We then provide document inventories and flowchart diagrams, making customer processes more efficient and easing the transition to electronic document management and electronic processing of business processes/workflows. In addition, we help customers create and execute test cases for workflow projects prior to implementing flows in a production environment. This step includes BPM analysis and design. The existing and desired business processes will be analyzed in detail. The objective is to optimize the processes from a business flow perspective and then automate them using the BPM/Workflow feature of DocFinity. 2.3.3.3 Systems Engineering Systems Engineering includes installation and configuration of designed systems and integration consulting.

Installation and Configuration of designed systems: Depending on the deployment model chosen (SaaS or On Premise), the application program (and database and other component needed in a SaaS deployment) will be installed by CDS. The system will be configured per the requirements of the RFP and outcomes of the System and Implementation Design, Intelligent




05/17/2018

Tab 4 | Page 33

Capture Consulting and Business Process Engineering phases. No source code modification will be performed.

Integration Consulting: CDS will provide consulting and integration services as required. To do this, we will require the cooperation and collaboration of the TCPN member and original developer of the software existing in the member’s premises.

2.3.3.4 Project Management Project Management includes the following tasks:

Project planning: Project planning is essential to the overall success of any project. You will benefit from our high level of technical and business expertise. Project discovery, design and review of hardware requirements serve to define and outline clear expectations. Together with the customer, we identify project phases, set timelines and recognize key milestones. Indexing plans are created to eliminate the frustration that is associated with unsuccessful document retrieval, security and retention. Project Management: CDS will provide a project manager for the entire duration of the project. The project manager will be responsible for coordinating the project between CDS and the member. The project manager will manage CDS project resources, milestones and expectations for the duration of the project. Unless agreed upon otherwise, there will be a weekly call with the CDS project team and customer team to work towards agreed upon milestones and activities. Any time remaining after the go-live date will be used for support or minor changes.

Go Live Support: The CDS DocFinity Implementation team will provide support when the system is made available to users to ensure the application is functioning as planned and the workflows are progressing as designed.

2.3.3.5 Testing Before DocFinity is installed and activated in a production environment, the system must be tested by customer personnel. Often, configuration changes can be made to further customize the solution to fit the customer’s exact needs. This task provides time for DocFinity personnel to work with the customer to discover any changes and perform the required customizations prior to go live. The test and quality assurance region will be used for unit testing and user acceptance testing. This is when end-users are trained on the new platform. This stage includes the final approval of the design and configuration. Finally, the system will be promoted into the production instance. 2.3.3.6 Risk assessment, change management and disaster recovery Professional services help customers to develop a risk assessment plan regarding procedures for personnel changes, unmet deadlines, cost changes or other calculated but unwanted risks. Communication strategies and change management plans help the customer embrace new IT projects at all levels. Data recovery plans are developed in the event of a natural or man-made disaster. CDS works with customers to prioritize what information is needed most and explains the effects of each step in the plan.




05/17/2018

Tab 4 | Page 34

2.3.4 Project Stages Figure 21 depicts the stages or phases of a typical project, tasks performed and the contribution of CDS and customer. Depending on the implementation, there can be minor or significant changes.

Figure 21 - SaaS Based Implementation Approach

Our approach to solution implementation is designed to meet project timelines and milestones. Using the customer go-live date, we will work backwards to accomplish this goal. Our waterfall model is a sequential design process, in which progress is seen as flowing steadily downwards through the phases of conception, initiation, analysis, design, construction, testing, production/implementation and maintenance. All professional services including business analysis, process modeling, workflow design, implementation, project management, system configuration and testing are performed by our U.S. corporate resources, under one contract, with CDS assuming all responsibility. Refer to Attachment 5, Professional Services for SaaS Deployments, for more information on our professional services. 2.4 DocFinity Training Thorough and relevant training is critical in helping staff to maximize use of the powerful tools provided to them. Therefore, our curriculum addresses the needs of administrators, users, network administrators, database administrators and others. Training is offered at our offices, on-site or interactively through the web. Courses are taught by instructors who are CDIA+ certified. You can choose your own subset of courses or request a customized series. We will bring instructors to your site and train your staff on location. All of our instructors are legal U.S. residents.




05/17/2018

Tab 4 | Page 35

• In the case the customer selects the training program to be delivered in their offices, all reasonable travel, meals, transportation and accommodation of the instructor(s), venue and equipment (projector, screen, computers, internet connection and others.) will be paid for and provided by the customer.

• In the case the customer selects the training program to be delivered in a physical location other than their offices or our corporate offices, all travel, meals, transportation and accommodation of the instructor(s) and customer employees, venue and equipment (projector, screen, computers, internet connection and others) will be paid and provided by the customer.

• In the case the customer selects the training program to be delivered in our corporate offices in Columbia, South Carolina, or State College, Pennsylvania), all travel: meals, transportation and accommodation of customer personnel will be paid by the customer.

CDS’ role and responsibility during the design and implementation of the training plan, is to ensure the content is delivered per corporate standards, relevant to the specific implementation of the application and meets business expectations. The role and responsibility of the customer’s staff during the design and implementation of the training plan, is to ensure that the relevant employees attend, pay full attention and are dedication to training. Below is a short description of select training programs:

DocFinity 101: This course provides a high-level overview and foundation to applying DocFinity to daily practices. This is a prerequisite for all other courses. DocFinity Administration: This class provides hands-on security administration of groups and users necessary to secure sensitive information. DocFinity System Design: Students will learn about the DocFinity BPM tools, such as designer, monitoring, administration and job assignments, and how they work together to automate and manage a paperless business process. DocFinity BPM: This course presents an overview of the BPM designer. Attendees learn the components, terminology and theory used in building a business process design including distribution, user tasks and options in the Job Assignments workspace. DocFinity eForms: This course covers eForms administration, design and business process integration, with hands-on activities that illustrate these concepts. Records Management: Students will learn to comply with corporate record policies, government regulations and legal discovery and how to enforce policies and regulations with automation. Dashboards: Students learn how to use structured query language to gather your key performance indicators and how to create data sources in DocFinity for them. Students then learn how to use those data sources to create charts and dashboards for reporting.




05/17/2018

Tab 4 | Page 36

Intelligent Capture: Students learn how to leverage Intelligent Capture technology to capture structured and unstructured documents, OCR, automatic document classification, form and invoice recognition and data extraction.

Refer to Attachment 6, Training Courses and Descriptions, for more information on our training courses and descriptions including detailed syllabi. 2.5 DocFinity Documentation All DocFinity documentation is maintained in a knowledge base which can be accessed by licensed users. We maintain and publish thousands of pages of official documentation. A list of product reference manuals, user guides and administrator manuals is provided below. Only technical materials are listed:

• DocFinity 11.1 Form Designer User Guide • DocFinity 11.1 Office Integration User Guide • DocFinity 11.1 Process Designer User Guide • DocFinity 11.1 Desktop User Guide • DocFinity 11.1 Mobile User Guide • DocFinity 11 Features Guide • DocFinity 11.1 Workspaces User Guide • DocFinity 11.1 Dashboards Module User Guide – Covering Dashboards and Dashboards Designer • DocFinity 11.1.1 Administration User Guide • DocFinity 11.1.1 Enterprise Search Installation and Configuration Guide • DocFinity 11.1.1 Installation and Setup Guide • DocFinity 11.1 Desktop for Mac OS User Guide • DocFinity 11 User Group Synchronization Tool Guide • DocFinity 11.0 Administration Basic Tutorial • DocFinity 11.1 Checklist Search Tutorial • DocFinity 11.0 Dashboard Designer Tutorial • DocFinity 11.0 Export Tutorial • DocFinity 11.0 Form Designer Tutorial • DocFinity 11.0 Importer Tutorial • DocFinity 11.0 Process Designer Tutorial • DocFinity 11.0 User Quick Start Tutorial • DocFinity 11.0 Records Management Tutorial • DocFinity 11.1 REST Webservices API Guide • DocFinity 11.1 URL API Guide.

All product documentation is maintained online and kept up-to-date with the current version of DocFinity. A knowledge base is maintained for customers. Knowledge base is an online library of technical tips, tricks, articles and documents that helps customers resolve problems associated with application of the product and associated peripheral issues. 2.6 Warranty We warrant that the delivered product is an accurate version and will reasonably conform to the material specifications described in the product documentation. We warrant the provision of expedient maintenance and support when issues occur in a manner consistent with industry standards as defined




05/17/2018

Tab 4 | Page 37

in the SLA. We also warrant the product will be free of time locks, viruses, Trojans, worms, spyware, adware, malware and malicious code, copy protect mechanisms, back doors and any disclosed or undisclosed features designed to disable the product or render it incapable of operation. 2.7 Business Process Services There is a growing trend for government entities to concentrate resources on their core business goals through outsourcing operational tasks to trusted partners who can adhere to accuracy, security, timeliness and quality standards, through defined and clearly articulated service contracts. This approach allows the government to take full advantage of their business partners’ infrastructure, expertise and economies of scale, making business sense relative to effectiveness, employee and client satisfaction and cost savings. We are able to securely perform routine, clerical tasks in an economical, secure and compliant way. Outsourcing these tasks to us would allow the customer to focus on their core business. These services need to be solutioned and priced separately as needs vary significantly. Business process services leverage our corporate capabilities, technical staff and infrastructure that support the technologies, facilities, processes and expertise required to perform high-volume transactional tasks. The operation centers are staffed by our corporate employees who handle high volumes of transactions including correspondence as well as outgoing printed documents. These services are performed in our secure premises in South Carolina. Employees undergo a background check per the requirements of contract, laws, regulations and corporate policies. A business partnership with CDS allows TCPN members access to our optional, separately priced business process services. 2.7.1 Paper Handling Mailroom operations: receiving, sorting, scanning, data entry, preprocessing of documents mailed to a post office box and submitted through the web Secure document storage: secure storage, retrieval, retention and destruction of physical documents after scanning Print room operations: printing, inserting, metering, presorting and mailing of processed, approved and finished documents

2.7.2 Workflow Processing Performing work on authorized business processes is triggered by the receipt of a document from a stakeholder through the mailroom, fax or web portal. This may vary from preprocessing tasks such as data entry or field edits to final approval. 2.7.3 Help Desk and Contact Center Outsourcing Providing experienced and trained customer service agents to interact with the customer’s external and internal stakeholders, over the telephone or web chat to provide information on the status of their requests or tasks. Regardless of whether we are processing the documents (see Section 2.7.1, Paper Handling) and workflows (see Section 2.7.2, Workflow Processing) on behalf of the customer or not, we




05/17/2018

Tab 4 | Page 38

can monitor the progress of the task and provide accurate information on the status to the caller. Typical functions performed in a help desk and call center are summarized in Figure 22.

Expected Caller Domain Description

End-users of the system (customer employees)

Application-level, end-user support in case the actual contract requires us to provide end-user support for the internal users of the system, customer employees. Please note, this service is provided to end-users. Our product support for technical questions from designated project officials is provided at no additional cost to:

• SaaS based customers included in subscription • On premise customers included as long as a DocFinity maintenance contract is in effect

External stakeholders of the customer such as litigants, filers, applicants, citizens, students, parents, suppliers and others

A help desk that operates on behalf of the customer to: • Provide support on the usage of a public-facing, web portal that is designed, developed,

operated, hosted and supported by CDS As if the external stakeholders are calling the customer’s offices A contact center that operates on behalf of the customer to:

• Provide support about the status of the actual business process such as their application, filing or claim by:

- Assisting in answering the questions - Performing escalations - Receiving and processing comments and possible complaints

As if the external stakeholders are calling the customer’s offices

Figure 22 - Help Desk and Call Center Functions




05/17/2018

Tab 5 | Page 1

3. ReferencesAppendix F

Reference One

Entity Name Federal Employee Program (FEP)

Contact Name and Title Rick Bell, Service Delivery Executive

City and State 1310 G Street, NW Washington DC 20005-3000

Phone Number 803-466-1468

Years Serviced 6 years. Commenced 9/10/2012. Current, still servicing and supporting.

Description of Services Administrative services in support of business continuity and disaster recovery to maintain a state of readiness for data center hosting services. The program is independently audited annually with actual recovery exercises.

Annual Volume $16.9 million

Reference Two

Entity Name Centers for Medicare & Medicaid Services (CMS)

Contact Name and Title Benjamin Simcock, Contracting Officer

City and State Baltimore, MD


Years Serviced 4.5 years. Commenced 4/19/2013. Current, still servicing and supporting

Description of Services Hosting and managed services for processing Medicare Fee-for-Service Claims

Annual Volume $38.4 million to $39.6 million

Reference Three

Entity Name Avalon Health Services, LLC

Contact Name and Title Shantha Diaz, Chief Operating Officer

City and State Tampa, FL


Years Serviced 3 years. Commenced 3/4/2015. Current, still servicing and supporting today

Description of Services Application Service Provider (ASP) and Business Process Outsourcing (BPO) services

Annual Volume $408,825 to $460,403

Reference Four

Entity Name State College Area School District (K-12)

Contact Name and Title Nick Zepp, Senior IT Manager

City and State 240 Villa Drive, State College, Pennsylvania 16801


Years Serviced 7.5 years. Commenced 8/5/2010. Current, still servicing and supporting today.

Description of Services DocFinity document and records management software solution based installation, consulting and support services





05/17/2018

Tab 5 | Page 2

Reference Five

Entity Name Boyertown Area School District (K-12)

Contact Name and Title Scott D. Major, Director of Information Technology

City and State 120 North Monroe Street, Boyertown, Pennsylvania 19512


Years Serviced 7.25 years. Commenced 12/22/2010. Current, still servicing and supporting.


Annual Volume $6,000 to $12,000 Reference Six

Entity Name Phillips Exeter Academy (Nonprofit Tax Designation 501 (c) (3))

Contact Name and Title Diane Fanderich, Director Information Technology

City and State 20 Main Street, Exeter New Hampshire 03833



Description of Services DocFinity document, records and business process automation and management software solution based installation, consulting and support services

Annual Volume $23,400 to $240,936 Reference Seven

Entity Name The Pennsylvania State University (higher education)

Contact Name and Title Shelley Butler, Document Management Specialist, Administrative Information Systems

City and State 300 N. Science Park Road, State College, PA 16803




Annual Volume $110,000 to $600,000 Reference Eight

Entity Name Loyola University of Chicago (higher education)

Contact Name and Title Jim Sibenaller, Director Business and Enterprise Services, information Technology Services

City and State 6439 N. Sheridan Road, Suite 233, Chicago, IL 60626


Years Serviced 9.5 years. Commenced 7/28/2008. Current, still servicing and supporting.






05/17/2018

Tab 5 | Page 3

Reference Nine

Entity Name Wayne County Prosecutors Office (county government/legal)

Contact Name and Title Mark Hindelang, Director of IT

City and State 1441 St. Antoine Street, Room #1227, Detroit, Michigan 48226




Annual Volume $5,800 to $35,000 Reference Ten

Entity Name Commonwealth of Virginia, Department of Aging and rehabilitative Services (state government)

Contact Name and Title Meir Amar, DSA IT Infrastructure Director

City and State 8004 Franklin Farms drive, Henrico, VA 23229








05/17/2018

Tab 6 | Page 1

4. PricingAppendix C

Introduction CDS is offering three distinct pricing options to meet the diverse needs of the participating entities:

• Software as a Service (SaaS) – Private Cloud• Software as a Service (SaaS) – Public Cloud• On-Premise Licensing

Our proposed pricing is simple yet comprehensive in nature. List pricing is provided, but CDS recommends that participating entities work directly with our team of experts to define requirements to structure the most effective program possible. 4.1 Implementation Regardless of the licensing option selected, CDS offers comprehensive implementation services that will be further defined upon discussions with the participating entity.

Implementation typically includes these types of activities. For details see Section 2.3, Professional Services:

• Kickoff meeting and continuous CDS project management• Standup and configuration of the SaaS DocFinity system or installation and configuration of

DocFinity on customer servers for an on-premise implementation• Training of entity personnel concerning how to administer and use DocFinity• Migration of the entity’s existing data from its legacy system to DocFinity• Business analysis, process modeling and workflow design at least for the first few workflows in

DocFinity where applicable• User acceptance testing and go live

4.2 Licensing Options 4.2.1 Software as a Service This is the recommended option for member entities which prefer zero capital expenditure, zero maintenance costs and lower personnel expenses with sophisticated needs to use the DocFinity full suite. All server-level hardware and software as well as maintenance and system security are provided by CDS and included in our simple SaaS subscription pricing. For details of our SaaS offering see Section 2.2.2, Software as a Service (SaaS).

4.2.2 SaaS Subscription CDS proposes tiered pricing for its SaaS offering. Pricing tiers reflect significant volume discounts based on increased numbers of licensed users. These rates are proposed as Firm Fixed Price for five years. Additional user subscriptions can be purchased at rates included in the tiered-pricing structure in the price list below.




05/17/2018

Tab 6 | Page 2

4.2.3 SaaS Pricing Assumption and Methodologies Our full DocFinity functionality is priced on a monthly price per concurrent user basis. Individual entities may have the flexibility of adjusting the number of licenses during the course of the year and paying only for the contracted licenses each month. This option is negotiated on a case-by-case basis. The number of concurrent users can easily scale up over time as you further deploy and use our DocFinity system. You are also provided the flexibility to decrease the number of licenses during seasonal periods where less usage is expected. SaaS user pricing is calculated as described in the below sample: Sample calculation (based on 30 concurrent users per month in the public cloud): Number of concurrent users: 30 Tier 1 monthly rate per concurrent user per month: $267.33 Extended price for 30 concurrent user licenses for one year: $96,238.80 We license DocFinity on a per concurrent user basis, instead of an individual named basis. While DocFinity allows for individual user names, security and authentication, not all users may need access to the system at the same time. In essence, we provide an unlimited number of named users at the concurrency level procured. Each customer’s usage will be different based on how the system is used. Historically, we have found that a ratio of about one concurrent user to four named users is often preferred. Depending on the access required and the extent of their individual duties, some staff may require full-time access to the system and others may require less frequent use. For those cases, customers can reserve a license pool which guarantees access to certain users or group of users with critical roles. Our offering provides significant price reductions for an increased number of licensed users. As seen on our proposed pricing tables, the price per concurrent user decreases by close to 60 percent as you increase the number of licenses to 500. The reduction percentage gets significantly greater as the number of concurrent users further increases. Monthly billings are based on the number of licensed concurrent users per month for the desired period.

Pricing is comprehensive and includes the following:

• All hardware and software infrastructure to support the comprehensive, out-of-the-box functionality of DocFinity

• Full system and application support and maintenance at no additional cost see Section 1, Vendor Profile, for details on customer support

• Help desk support • One terabyte (TB) of storage; additional TB of storage can be purchased for the monthly price

listed in the price list • Two instances as follows:

- Production system running against one instance of the production database tables




05/17/2018

Tab 6 | Page 3

- Test and Quality Assurance system running against one instance of the development/test database tables

Additional environments like development, training, pre-production and others can be provided separately at an additional cost.

Figure 23 below is an overview of the solution components provided by CDS and devices and connectivity provided by TCPN members.

Companion Data Services Provides

Members Provide Solution Components Services for all Solution Components

Application Software • Provisioning • Hosting • Installation • Maintenance • Support • Upgrades • Updates • Warranty • Repairs • Operations • Monitoring • Physical security • Data security including anti-virus protection • Data backup • Disaster recovery • Performance tuning

• Personal computers

• Mobile devices • Scanners • Printers • Compatible web

browser • Internet

connection

Server Hardware

Server Operating System

Server Data Base

Server Data Storage (starting at 1TB) at unlimited Input / Output requests (I/O)

Server Application Software Storage as needed

Figure 23 – SaaS Deployment Summary

4.2.4 SaaS Licensing Option Product Descriptions SaaS subscription fees entitle the member to use the full functionality of DocFinity. Other items described below, such as Optical Character Recognition and Electronic Signature capabilities, are offered as options. 4.2.5 DocFinity Maintenance for SaaS Deployment SaaS subscription fees entitle the member to receive continuous support on all solution components including updates and upgrades at no additional cost. 4.2.6 DocFinity SaaS Deployment Models We offer two options for DocFinity SaaS deployment: Public Cloud and Private Cloud. 4.2.6.1 SaaS Subscription Option – Public Cloud Customer’s data is hosted in an Amazon Web Services facility in the United States. Amazon Web Services (AWS) I/O fees are directly reflected to DocFinity users as a pass-through. The table below shows the SaaS Pubic Cloud per user per month subscription rates.




05/17/2018

Tab 6 | Page 4

4.2.6.1.1 Public Cloud Storage CDS SaaS pricing is comprehensive and includes 1TB of storage; additional TB of storage can be purchased for the monthly price indicated below.

4.2.6.1.2 DocFinity Intelligent Capture for Public Cloud Deployment DocFinity Intelligent Capture feature is priced based on pages processed per year, with no roll-over to the following year. The software component is installed on AWS servers which are managed and secured by CDS. For details see Section 2.1.5.1.4, Intelligent Capture. 4.2.6.1.3 DocFinity Enterprise (Full-Text) Search for Public Cloud Deployment DocFinity Enterprise (Full-text) Search feature is based on the number of servers dedicated per year, giving unlimited searches. The software component is installed on AWS servers which are managed and secured by CDS. For details see Section 2.1.5.4, Full-Text Searching. 4.2.6.1.4 DocFinity OCR Barcode Recognition for Public Cloud Deployment DocFinity Optical Character Recognition (OCR) Barcode feature is based on the number of pages processed per year, with no roll-over to the following year. The software component is installed on AWS servers which are managed and secured by CDS. The annual public cloud intelligent capture subscription rates are shown below.




05/17/2018

Tab 6 | Page 5

4.2.6.2 SaaS Subscription Option – Private Cloud Customer’s data is hosted in the Health Insurance Portability and Accountability Act compliant CDS data center in Columbia, South Carolina. The SaaS subscription fees include unlimited I/O requests. The minimum number of concurrent users per month required for an entity to use the Private Cloud option is 50. The table below shows the private cloud per user per month subscription rates.

4.2.6.2.1 Private Cloud Storage CDS SaaS pricing is comprehensive and includes 1TB of storage; additional TB of storage can be purchased for the monthly price indicated below.

4.2.6.2.2 DocFinity Intelligent Capture for Private Cloud Deployment DocFinity Intelligent Capture feature is priced based on pages processed per year, with no roll-over to the following year. The software component is installed on servers owned, operated, managed and secured by CDS in our secure data center in Columbia, South Carolina. For details on Intelligent Capture see Section 2.1.5.1.4, Intelligent Capture.




05/17/2018

Tab 6 | Page 6

4.2.6.2.3 DocFinity Enterprise (Full-Text) Search for Private Cloud Deployment DocFinity Enterprise (Full-Text) Search feature is based on the number of servers dedicated per year, allowing unlimited searches. The software component is installed on servers owned, operated, managed and secured by CDS, located in our secure data center in Columbia, South Carolina. For details see Section 2.1.5.4, Full-Text Searching. 4.2.6.2.4 DocFinity OCR Barcode Recognition for Private Cloud Deployment DocFinity OCR Barcode Recognition feature is based on the number of pages processed per year, with no roll-over to the following year. The software component is installed on servers owned, operated, managed and secured by CDS in our secure data center in Columbia, South Carolina. The table below shows the SaaS Private Cloud OCR Module subscription rates.

4.3 On Premise In addition to SaaS, we offer the option to select DocFinity software licenses and maintenance contracts for on-site installation, using the customer’s server and network infrastructure. For details see Section 2.2.1, Traditional On Premise.

4.3.1 On Premise User Licenses CDS proposes tiered pricing for its on premise offering. Pricing tiers reflect significant volume discounts based on increased numbers of licensed users. These rates are proposed as Firm Fixed Price for five years. Additional user subscriptions can be purchased at rates included in the price list for each tier

4.3.2 On Premise Pricing Assumptions and Methodologies We license DocFinity on a per concurrent user basis, versus an individual named basis. While DocFinity allows for individual user names, security and authentication, not all users may need access to the system at the same time. In essence, we provide unlimited number of named users at the concurrency level procured. Each customer’s usage will be different based on how the system is used. Historically, we have found that a ratio of about one concurrent user to four named users is preferred by our customers. Depending on the access required and the extent of their individual duties, some staff may require full-




05/17/2018

Tab 6 | Page 7

time access to the system and others may require less frequent use. For those cases, customers can reserve a license pool which guarantees access to certain users or group of users with critical roles.

Pricing is comprehensive and includes the following:

• The following software modules, licensed separately: - DocFinity Enterprise Core Engine - DocFinity BPM/Workflow - DocFinity Records Management - DocFinity Enterprise Search - DocFinity Intelligent Capture - DocFinity eForms - DocFinity Dashboards

• Three instances as follows: - Production system running against one instance of production database tables - Development/test system running against one instance of development/test database

tables - Back-up system running against one instance of back-up database tables

Additional environments like training, preproduction and others can be provided separately at an additional cost.

• Licenses are perpetual once paid in full and accessible through a multi-user Access Key; additional Access Keys can be requested for additional user licenses purchased

• Annual Maintenance Contract sold separately

• Full system and application support and maintenance

• Help desk support

Services Not Included:

• Since the on premise deployment uses the member’s own hardware, systems software and infrastructure, related maintenance are neither included nor provided.

4.3.3 On-Premise Licensing Option Product Descriptions Following is the brief description of individual DocFinity modules. For details see Sections 2.1.1 and 2.1.2. Other items described below, such as Optical Character Recognition and Electronic Signature capabilities, are offered as options. 4.3.3.1 DocFinity Software Modules DocFinity Core Module The DocFinity Core Module is the foundation of the product suite. This module categorizes information so documents can be retrieved quickly and easily; makes virtual copies of current documents, adding




05/17/2018

Tab 6 | Page 8

them to batches for indexing; uses blind entry fields for secure information; and checks data for validity against preconfigured criteria. This module also converts paper documents to digital files to ease handling, speed processing and save space and provides instantaneous, on-screen visibility for single documents or complete files. Word searches can provide intuitive inquiry of active databases and archives. The Core Module gives complete control over access, task assignment and monitoring, load balancing and security from a single, intuitive interface and includes object, index and email importers to automate the import of virtually any file type directly into the system or a workflow process, even from other document management systems. Users can print multiple stored documents without having to open them, reducing network traffic and increasing productivity. Changes to documents, files, metadata and markup can be tracked, preserving the history and evolution of a document and allowing revision to previous versions. DocFinity can integrate with Microsoft Office to allow Word documents to be directly imported to DocFinity and to open documents stored in DocFinity in Word. DocFinity Exporter DocFinity Exporter takes user‐defined collections of documents and extracts the files and associated database records that identify those documents. The extracted content –– written to the network folder or to the CCD/DVD drive of choice –– then can be used to transfer document collections reliably to third parties and other systems. DocFinity Connect DocFinity Connect calls documents from the database with a single keystroke and integrates DocFinity into current line-of-business applications without programming. Fax Integration Fax Integration connects with electronic fax servers and applications. Print to DocFinity Print To DocFinity indexes documents into the DocFinity repository from their native applications by selecting DocFinity PDF Printer as the printer. The PDF copy opens so you can provide indexing metadata according to a preselected indexing scheme. BPM Workflow BPM Workflow standardizes and expedites processes by pushing and pulling data and files from email, voice mail, faxes and administrative systems to people and systems. Allow you to easily design and modify robust workflows through intuitive drag-and-drop, point-and-click designer. Enterprise Search Queries the repository for text matches in non‐text file formats such as PDF, TIFF, HTML and JPEG. Locates structured and unstructured data contained in files and other documents and combines keyword and full‐text searching. eForms eForms lets users design simple and complex electronic forms. It also enables forms to automatically trigger new workflow processes on submission and to be integrated into existing websites, portals or any other system and software.




05/17/2018

Tab 6 | Page 9

Records Management This module creates clear, auditable trails of evidence for every process performed on every record in the system. Groups related documents into Record Series and provides mechanisms to automate management in basic retention policies including rules to map records to retention policies, approval process or record disposal, and rendering records in noneditable formats. It provides advanced retention policies including legal hold. Dashboards The purpose of DocFinity’s dashboard module is to provide a clear picture of how the system is working and specifically how a business is functioning as it relates to DocFinity through comprehensive metrics of performance. The table below shows the on-premise software module license rates.

4.3.3.2 DocFinity User Pricing Concurrent users are licensed to access the instance of DocFinity database tables through the DocFinity Web Client capabilities. Any Web Client item active is considered a logged-in concurrent user. The number of concurrent users licensed represents the total number of system users that can log into and use the system at any given time. System access is restricted to the total number of concurrent users licensed. A concurrent user license is required for anyone to access, use and/or execute system functionality. The table below shows the on-premise user license rates.

4.3.4 DocFinity Maintenance Services for On Premise Deployment: DocFinity software maintenance services consist of the annual maintenance program or one-off support request. 4.3.4.1 DocFinity Annual Maintenance Program The DocFinity Annual Maintenance Program provides the following services for the software modules and user licenses listed below: updated versions of the licensed product, patched/fixed versions of the licensed product, industry practiced help desk support for troubleshooting, access to help desk support through the web submission process, email and phone, access to DocFinity the FTP site, web-based/remote access help desk and troubleshooting support, options to participate in BETA-User/Testing, access to DocFinity Knowledge Base and customer discussion forums.




05/17/2018

Tab 6 | Page 10

Annual Maintenance for DocFinity Software Modules (DAM-112-1 through DAM 112-11) Rates

Annual Maintenance for DocFinity User Licenses DAM-112-U (1-1000+) Rates

4.3.4.2 DocFinity Maintenance Services Hourly and Daily Rates The rates below apply to members with no annual software maintenance contract in effect but who want to procure one-off support services from CDS for their DocFinity software installed on their servers, procured through an on premise license. Maintenance services are contracted as work-for-hire engagements that require agreed and signed Statements of Work. This service does not entitle the member to receive the updated or upgraded (new) version of DocFinity.

4.3.5 DocFinity Intelligent Capture for On Premise Deployment DocFinity Intelligent Capture feature is priced based on pages processed per year, with no roll-over to the following year. The software component is installed on the member’s servers. For details see Section 2.1.5.1, Intelligent Capture. The table below shows the on premise intelligent capture annual subscription rates.




05/17/2018

Tab 6 | Page 11

DocFinity Electronic Signature Powered by AssureSign, DocFinity Electronic Signature provides fast and secure digital signing of both documents and eForms. The digital signing process is seamlessly integrated with BPM/Workflow. Signatures can be performed by those internal to the DocFinity system or by external users. The entire signature process is audited and the report is imported with the fully executed document. The cost is by signature event, which is considered one document requiring one signature or an envelope of documents that require more than one signature. Because this is a web-based service, the TCPN price provided below is the same for both the SaaS and On Premise deployment options.

DocFinity Training The daily rate for instructor-led DocFinity training is provided below. For a short description of training programs see Section 2.4, DocFinity Training. Additional details are provided in Attachment 6, Training Courses and Descriptions. For training programs that take place outside our corporate offices in Columbia, South Carolina, or State College, Pennsylvania, the instructor’s travel expenses, technological equipment (personal computers) and services (internet connection) as well as any venue-related expenses (rent, catering and so on) will be provided or paid by the TCPN member. The table below details training module pricing.




05/17/2018

Tab 6 | Page 12

DocFinity Professional Services The rates below apply to members receiving Professional Services such as project planning, system design, creation and application consulting based on DocFinity software application and use, DocFinity software installation, DocFinity software custom programming, DocFinity software interfacing and integrating with third party or customer-owned software applications, business process analysis and consulting, risk assessment consulting, change management consulting, backup and disaster recovery consulting. Professional Services are contracted as work-for-hire engagements that require agreed and signed Statements of Work, hourly and daily rate information is provided below.




05/17/2018

Tab 7 | Page 1

5. Value AddAppendix G

Detailed information on our additional value-add customer services to support DocFinity users is provided in Tab 4. Additional information about our services is also accessible through the links provided below.

Secure Hosting and Outsourcing CDS helps customers to achieve an operational hosting environment that meets all business, schedule, budgetary and quality requirements. Through our hosting and outsourcing services, we offer unmatched knowledge and experience to improve, maximize and maintain outstanding system performance and availability.

See https://www.companiondataservices.com/whatwedo/hostingoutsourcing.aspx for additional details.

Cloud Companion® Managing technology costs you time, money, resources and focus. Our cloud-based solution allows you to meet your strategic goals while giving you freedom to concentrate on your business. Cloud Companion delivers a robust, scalable cloud-based solution that:

• Focuses on your applications• Integrates your systems• Manages your technology

See https://www.companiondataservices.com/whatwedo/cloudcompanion.aspx for additional details.

Companion Data Services Healthcare Payer SuiteSM CDS Health Care Payer Suite is an enterprise claims processing system that provides a 360 degree view that facilitates customized interactions increasing satisfaction and retention.

See https://www.companiondataservices.com/whatwedo/cdshealthcarepayersuite.aspx for additional details.

https://www.companiondataservices.com/whatwedo/hostingoutsourcing.aspx

https://www.companiondataservices.com/whatwedo/cloudcompanion.aspx

https://www.companiondataservices.com/whatwedo/cdshealthcarepayersuite.aspx