SWG Reusable Client Proposal for ERM (Enterprise Record Management), Financial Services, Banking...

The enclosed sanitized document highlights IBM’s capabilities to address the **CUSTOMER**’s requirement for Enterprise Records Management.

The document covers various questions pertaining to the **CUSTOMER**’s requirement on Enterprise Record Management Solution. Please sequence them as per project requirement.

**CUSTOMER** stands for the client who is procuring IBM supplied product/and services.

This proposal format is befitted for US use only.

Check all the text in red, which highlights where you need to customize this text. Please read the notes and subsequently delete all text in red before submitting to the customer.

Comply with local law requirements and QA.

Please ensure that the statements made are true, verifiable and obtained from a reputable source. Any exaggerations must be removed.

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<Month name> <date>, <year>

*CUSTOMER PERSONNEL*

**CUSTOMER**

Address

Dear *CUSTOMER PERSONNEL*:

IBM is pleased to provide a response to your request for proposal for an Enterprise Records Management solution for **CUSTOMER** dated <DD-MM-YY>.

This proposal reflects our understanding of the requirements, and the strategic importance of this system to **CUSTOMER**. On behalf of the IBM team, we would like to thank you and your team for the time and effort invested in ensuring IBM’s understanding of your requirements. We believe that IBM is uniquely qualified to partner with you on this strategic initiative, based on our industry leading portfolio, experience in the financial services industry, strong records management expertise, and the long history of successful projects with **CUSTOMER**.

The IBM Proposal includes:

IBM Records Management solution provides the most complete, agile, cost effective, lowest risk, scalable, extensible, and feature-rich solution, based on our understanding of **CUSTOMER**’s requirements

The holistic comprehensive capabilities to operationalize and sustain a information governance program, including systems for control of legal holds and ediscovery, information retention schedule management, data collection and classification, value-based archiving, and data governance and disposal

Industry leading Information Lifecycle Management (ILM) solution that includes a DOD 5015.02 V3 certified records management product

IBM ILM provides a content federation layer that connects and integrates with existing and future **CUSTOMER** repositories. This allows **CUSTOMER** to either manage records “in place” or to migrate them to a strategic repository once certain criteria are met. It is an efficient infrastructure that can grow organically, based on **CUSTOMER**’s needs and readiness for proactive compliance maturity. This includes a DOD 5015.02 V3 certified records management product

Proven robust commercial off-the-shelf (COTS) records management application that can meet **CUSTOMER** requirements in a single, scalable, high performance enterprise records management architecture

IBM ILM leverages the Content Management platform already licensed by **CUSTOMER**, and offers a significant depth of functionality, as its services can be deployed rapidly and in a modular fashion over the time period defined by **CUSTOMER**.

Implementation services to ensure a successful deployment of the solution

The IBM solution will deliver the following benefits to **CUSTOMER**:

Ensure all business records are captured at the point and time of authentication

Ensure all business records are defensibly dispositioned when longer required to be retained

Control the growth of computer storage by defensibly disposing of records which are no longer required to be retained

Provide unified stakeholder processes and substantial automation for reliable disposal while also satisfying goals for more efficient and rigorous legal compliance. The solution supports:

Systematically link legal, records, information creation and IT processes with structural collaboration and consistent transparency

Street Address 1Street Address 2City, State Zip

Enable **CUSTOMER** to modernize the records and retention program to provide reliable, executable retention schedules across disparate data and sources

Upgrade legal hold discovery practices to increase precision, ensure enterprise compliance and enable disposition

Immediately compress the information footprint and substantially change the information growth curve

In summary, our response for **CUSTOMER** offers a full, integrated solution, on a single technology platform, based on open standards. This one set of tools and one single integration platform means a lower cost of ownership and will result in an improved return on investment for **CUSTOMER**. The use of open standards means a greater flexibility when business processes change, a higher availability of skills, and a lower cost of integration.

Attached you will find a detailed overview of the components of the IBM proposal in this formal RFX response document. To more fully acquaint you with our total solution, we look forward to the opportunity to present to you at your convenience.

Thank you again, for the opportunity to propose an IBM solution. Should you have any questions please do not hesitate to call at <contact number>.

Sincerely,

Signature

*IBM SELLER*

Designation

IBM Proposal to **CUSTOMER**

For Enterprise Records Management

Prepared for **CUSTOMER**

By (Sales Representative)

Address

Telephone

Email

Date of Proposal

Insert Client Logo (if needed, obtain permission to use

client logo)

Executive Summary.................................................................................................3

Section 4: Requirements........................................................................................14

Section 5: Supplier Profile.....................................................................................49

Section 6: Distinction – Business..........................................................................52

Section 7: Distinction – Technical.........................................................................59

Section 8: Pricing...................................................................................................75

Appendix A: P8 5.0 Hardware and Software Requirements.................................76

**CUSTOMER** ERM RFX | DATE

Use or disclosure of data contained on this page is subject to the restriction on the last page of this document. 1

Contents

IBM is the only vendor that offers a full solution, on a single technology platform, based on open standards.

One set of tools and one integration platform means a lower cost of ownership and will result in an improved return on investment for **CUSTOMER**.

The use of open standards means a greater flexibility when business processes change, a higher availability of skills, and a lower cost of integration.

FiguresFigure 1: The Information Explosion and Need towards Defensible Disposition................................4

Figure 2: Information Governance Reference Model.........................................................................6

Figure 3: IBM ILG Solution.................................................................................................................7

Figure 4: Components of the Proposed IBM Solution........................................................................8

Figure 5: Deployment Methodology Overview..................................................................................12

Figure 6: Declared Record Lock Icon Screenshot............................................................................14

Figure 7: Retention Schedule – Editing a Rule.................................................................................20

Figure 8: On-Screen Audit – Detail History Input.............................................................................36

Figure 9: On-Screen Audit – Detail History Results List...................................................................36

Figure 10: Owner Identification – System Properties Results List....................................................38

Figure 11: Logical Architecture of a Virtualized Environment...........................................................42

Figure 12: Combination of Vertical and Horizontal Scaling for J2EE Applications...........................44

<Note: Please add/modify/delete the content of the Executive Summary as per project requirement>

Our Understanding of Your Goals<Note: Please customize the description below as per project requirement>

**CUSTOMER** is looking for ways to take control of the vital information that is currently distributed around the globe, and to impose a uniform, centralized records management process that can be executed in a structured and efficient manner without having to rely on great numbers of resources.

We understand that the first step you are planning to accomplish with this RFX is the development of a records management system that will serve as your information management platform. Moreover, **CUSTOMER** requires a scalable, distributed, and flexible solution, so you can grow and evolve to meet requirements ranging from growth in records under management to new legal requirements.

The key business issues that **CUSTOMER** are trying to address with this request for proposal, as IBM understands them, is to help with the following corporate initiatives:

Support **CUSTOMER**’s initiative to defensibly reduce storage costs across the enterprise

Support **CUSTOMER**’s initiative to significantly reduce their risk of exposure during litigation and audit by ensuring the timely and accurate capture and retention records and later defensible disposal when no longer required to retained

**CUSTOMER**, like any other large corporations, is appropriately concerned with the uncontrolled



Executive Summary

growth of their computer storage costs, as well as their potential risk of exposure to expensive litigation and audit costs and potential court ordered sanctions. A defensible, well-documented and auditable records management program is their best defense to address these very real concerns.

Legal information governance is a pressing problem for companies, largely driven by the explosion of both information and legal obligations for information. Companies are striving for rigorous discovery, more effective information retention, and legally-defensible disposal because of rising ediscovery pressures and exponential information growth. The September CGOC Information Governance Benchmark Report revealed that 98% of companies believe defensible disposal is a requisite outcome of governance but 78% are not able to dispose of information today because they lack rigorous legal hold practices or effective record retention programs. eDiscovery costs average over $3 million per case yet an estimated 70% of the information collected was needlessly retained; as with escalating IT costs, the root cause of escalating ediscovery cost is the inability to dispose of information when it is no longer needed (Gartner). Information Week reporting in December 2009 that the typical IT budget for storage has grown to 17%.

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Figure 1: The Information Explosion and Need towards Defensible Disposition

IBM strongly encourages **CUSTOMER** to pursue their intended implementation of an Enterprise-wide Records Management Program now, as they have Executive Management visibility and support regarding defensible storage reduction and risk mitigation regarding the retention and defensible disposal of business records.

Our Approach to Meeting Your Goals<Note: Please customize the description below as per project requirement>

Getting “from here to there” requires thoughtful consideration of the issues and challenges facing **CUSTOMER** from a policy, technology, practice, and funding standpoint. The investment decision you make will impact your company for years to come. To that end, the IBM team has



presented a tried and true, sustainable approach for this effort.

Our approach solves the business and technical challenges outlined in your RFX and provides a stable, usable and flexible platform for global and regional records management. This approach will permit the company to align business and technology resources to effectively adapt to changes in practice, regulations, legislative mandates, and future advances in technology. Our solution has worked seamlessly with the IBM enterprise content repositories and our competitors’ content repositories at customers of similar size and scope as **CUSTOMER**.

IBM’s approach to meeting **CUSTOMER**’s enterprise records management business challenges encompasses an industry proven holistic approach that effectively manages e-records both in a central repository, as well as “in place” in various **CUSTOMER** databases. The tool ensures the enforcement of **CUSTOMER**’s various Records Retention Schedules, and provides for the suspension of Retention Schedules should Legal Hold situations arise. The tool has the flexibility to manage both structured and unstructured data.

IBM’s solution meets or exceeds **CUSTOMER**’s requirements for records retention and disposition, classification and file plan, legal hold management, preservation, and administration, federated legal hold, auditing, and reporting. In addition, the solution is in line with **CUSTOMER**’s architecture and provides seamless integration with current systems.

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Key Business Issues Challenged by not knowing and able to

prove that all records are being captured, declared and classified today

Key Business Benefits Ensure all business records are captured

at the point and time of authentication

Challenged by not knowing and able to prove that all records are being retained today and dispositioned when no longer required

Ensure all business records are defensibly dispositioned when longer required to be retained

Uncontrolled computer storage growth today because the organization cannot defensibly dispose of records retained beyond their required retention period

Control the growth of computer storage by defensibly disposing of records which are no longer required to be retained

IBM is very confident that **CUSTOMER**’s storage reduction goals will be met if not exceeded with the comprehensive solution detailed in this proposal based upon our experience with other clients.

Solution Overview<Note: Please customize the description below as per project requirement>

The IBM solution proposed supports the Information Governance Reference Model, as a phased focused risk and value prioritized model towards providing comprehensive abilities to operationalize and sustain an information governance program, including systems for control of legal holds and ediscovery, information retention schedule management, data collection and classification, value-based archiving, and data governance and disposal. IBM’s solution enables customers to conduct efficient, but rigorous ediscovery, manage information based on value while consistently and defensibly disposing of information at the end of its life. The solution can address both the existing volumes of information in the enterprise, which reside in various systems or repositories, as well as information that is created on a go forward basis and should encompass both structured and unstructured data.



The Information Governance Reference Model is shown here.

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Figure 2: Information Governance Reference Model

The solution provides unified stakeholder processes and provides substantial automation for reliable disposal while also satisfying goals for more efficient and rigorous legal compliance. The solution supports:

Systematically link legal, records, information creation and IT processes with structural collaboration and consistent transparency

Enable you to modernize the records and retention program to provide reliable, executable retention schedules across disparate data and sources

Upgrade legal hold discovery practices to increase precision, ensure enterprise compliance and enable disposition

Immediately compress the information footprint and substantially change the information growth curve

The solution is flexible and tailorable to leverage current processes, practices and systems for legal holds, ediscovery, records and retention, and storing and managing information.

The capabilities of the proposed solution enable:

Business users to easily access information with business value and enables other stakeholders to easily determine what is used by and of value to the business

Legal users to manage legal holds and the discovery process and to provide transparency on these legal duties to records, IT and business users in context

Records management to define retention and archiving obligations for the enterprise, easily capture and catalog departmental information practices and ensures program vitality, and to monitor adherence compliance in concert with internal audit

IT to efficiently store and secure information, which by definition means storing only information that has business value or is subject to a specific legal requirement and disposing of that which has no value or duty



Our solution approach uniquely provides the technology, experience, and capabilities to meet your needs in our IBM Information Lifecycle Governance (ILG) Solution. The cornerstone of the solution, IBM Enterprise Records (IER) is certified against the US Department of Defense (DoD) 5015.02 V3 standard—the principal standard for records management applications, as well as against the Australia, Victoria Electronic Records Strategy (VERS), and is designed to “records enable” other content repositories. This solution gives you the option of either managing records in place or moving them to an enterprise repository for records management, and provides you with a proven robust commercial off-the-shelf (COTS) records management application that can meet your requirements in single, scalable, high performance enterprise records management architecture.

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SAPSAP

Figure 3: IBM ILG Solution

The IBM ILG solution is a comprehensive compliance platform with flexible, integrated ways to help organizations gain control and manage the lifespan of their information and makes full use of the inherent capabilities of an IBM Enterprise Content Management (ECM) platform. This solution will use, complement, and extend your already existing ECM investment.

The proposed IBM solution components are shown in the following diagram:




Figure 4: Components of the Proposed IBM Solution

The main architectural layers include:

Business Management Layer IBM Atlas (optional) – Global Retention Policy & Schedule Management

IBM Enterprise Records – supporting all aspects of executing electronic and physical records including the components for Records Managers to work with File Plans, Retention Schedules, and Reports

IBM eDiscovery – case-centric eDiscovery across ECM content supporting rapid early-case-assessment and insights, supporting the most coverage of the EDRM model

IBM Atlas eDiscovery Process Management – provides rigorous, defensible eDiscovery management for Legal, and discovery directors

IBM Atlas IT eDiscovery Process Management – provides IT with ability to understand and manage their legal hold, collection, and retention responsibilities

Services Layers IBM Content Manager – The content repository for the storage and maintenance of the long

term retention of the documents

IBM Classification Module – automated sustainable highly accurate auto-classification

IBM Enterprise Records – supporting all aspects of electronic and physical records including tracking and managing File Plans, Retention Schedules, and Events

Integration Layers IBM Federation Support (the support for manage-in-place of multiple content repositories

including FileNet, Documentum, SharePoint, and custom connectors to homegrown or custom repositories) is fully productized, fully supported, and native IBM technology – not a resell or alternate vendor code. Our federated records management capability is based upon “true”



Service Oriented Architecture (SOA) and Enterprise Service Bus (ESB) technology to easily play with most company’s infrastructures.

IBM Content Collector – automated collection and archiving of relevant information

This architecture supports you in gaining operational efficiency across the organization by delivering a common platform for building and deploying records management, content and process applications.

Summary<Note: Please customize the description below as per project requirement>

Our software and services will assist **CUSTOMER** with your plans to launch a new globally integrated electronic records management infrastructure for use by all your divisions. Our approach is sensitive to the regional variances required to process the records to local exceptions while at the same time providing a single global management infrastructure. Our solution is designed to provide you with as much “out-of-the-box” functionality as possible to provide **CUSTOMER** a leading and credible records management solution. We look forward to working towards your Enterprise Records Management initiative success.

How We Will Deliver<Note: Please customize the description below as per project requirement>

IBM Services<Note: Please customize the description below as per project requirement>

IBM can work with **CUSTOMER** to deploy a team of services professionals to ensure the successful deployment of the Enterprise Records Management solution. We have a dedicated team with extensive experience deploying similar systems to other customers within the financial services industry. This team is devoted to designing, architecting and implementing records management solutions. Our highly trained, staff of specialists and consultants can assist **CUSTOMER** in planning your strategy for deploying this application. Our services include process reengineering based on best practices, in-depth product knowledge for application configuration and installation and migration services to help you build a roadmap to replace identified applications. We strongly believe that we are the only vendor that can provide a single point of contact and accountability for delivering the entire solution which includes best of breed product offerings and world class consultants to ensure the successful deployment of your Records Management solution.

The IBM ECM Product Implementation will be performed by highly skilled resources from IBM ECM Lab Services. Our team specializes in the planning, installation, configuration, customization and deployment of IBM’s ECM suite of products. They will work under the leadership of an ECM Project Manager (PM) who has successfully delivered projects such as yours. Our PM will work with your team to ensure the appropriate skilled resources are available according to the project schedule and technical requirements. The PM is also responsible for communicating project status, escalating any issues in a timely manner, conducting governance calls with your executive sponsor and reflecting any change in tasks within a Project Change Request.

It is our experience that using proven project methodology processes results in higher quality delivery, increased customer satisfaction, and superior client/customer interaction. Our well-established project management and technical delivery practices are effective and flexible in addressing project implementations. These methods provide the framework for managing project teams and keeping projects on track leading to our long history of successful IT solution implementations.



Our Team for **CUSTOMER** and Services Approach<Note: Please customize the description below as per project requirement>

IBM has a structure in place to ensure that the **CUSTOMER** is effectively supported across multiple projects phases and that the transition between pre-sales, delivery and maintenance is seamless. There are three key organizations involved:

The Client Team is responsible for managing IBM’s overall relationship with **CUSTOMER** and is not associated with any specific solution. The Client Team is aligned with key **CUSTOMER** executives who sponsor specific projects and initiatives. The Client Team is the ultimate client advocate within IBM and is a key point of escalation for the resolution of project or support issues.

The ECM Project ManagerThe IBM ECM Project Manager (PM) is responsible for the performance of the service delivery, client satisfaction and primary account support.

Manages customer expectations

Handles problem/crisis management and communication

Tracks issues/outages, real-time reporting to customer/IBM management

Manages customer communications

Provides overall leadership and direction to IBM Service Delivery

The PM is the customer’s advocate and first point of contact, having primary responsibility for maintaining a high level of customer satisfaction. The PM is also the customer focal point for issues. The PM confirms issues are dealt with properly and in a timely manner. If problems occur, it is the PM’s job to oversee problem resolution. The PM focuses on reducing a problem’s negative impact and takes the necessary steps to prevent reoccurrence, including the initiation of trend analysis for chronic problems. The PM has full authority to escalate problems to IBM senior management in order to speed resolution.

The Project Delivery Team is responsible for the delivery of a specific technical solution and is aligned with your project team. The Project Team informs you and the Client Team of project status and escalates project issues to the Client Team for assistance in resolution if necessary.

The Support Team is responsible for providing help desk support for **CUSTOMER** when issues arise relating to the IBM products under maintenance. The Support Team is aligned with your application support and project teams.

When a project is initiated the Client Team shares all related technical information with the Project Delivery Team so that all assumptions and research leading up to the project are carried forward. In addition, the Client Team actively keeps up with project status to ensure that the project is executed as originally envisioned.

During the project the Project Delivery Team will communicate status with **CUSTOMER** and the Client Team on a weekly basis. Significant accomplishments, milestones, and problems will be identified so they can be mutually addressed. IBM will provide a weekly status report identifying the progress and status of IBM activities worked on during that period.

Upon completion of the project the Project Delivery Team transitions administration and development ownership of the solution (and related products) to the client. Any questions or problems would be communicated to the IBM Technical Support Team for review and resolution, with the process being driven by the IBM Software Support Managers and Analysts. The Project Delivery Team will be available to provide background information and clarification on implementation to the Support team to resolve issues in a timely manner.

Project Delivery Team Skill Set<Note: Please customize the description below as per project requirement>



The Project Delivery Team will be made up of practitioners having the technical skills described for their roles below. Actual team members will be determined once the start date for the project is established.

Project ManagerA Project Manager possesses the skills necessary to manage projects. A Project Manager is trained in IBM’s Management methodologies and procedures and has the ability to lead project teams. A Project Manager is experienced in project staffing, problem solving, financial management, risk containment and decision making. A Project Manager typically has several years of project management experience with additional years of specialized technical experience.

Project ArchitectAn Architect will possess significant expert knowledge in one or more fields of specialization with a very broad scope of technical knowledge. An Architect develops high-level and complex designs for systems, applications, or processes. This individual serves as the focal point for technical design decisions and usually possesses several years of specialized technical experience with integration with commerce implementations.

Project Developer/Project System Administrator (optional)A Developer or Administrator is a skilled IT Professional whose skills will be in one or more broad areas. These areas include programming, systems administration, systems analysis, data analysis, planning and design of solutions, testing, and consulting.

Staffing Approach<Note: Please customize the description below as per project requirement>

IBM uses the following criteria to choose highly qualified personnel to staff projects:

1. Availability of the required mix and depth of resources

2. Level of education, skills, and experience

3. Relevant functional and implementation experience

High Level Implementation Plan It is common practice for all ECM projects to consist of the following high level tasks in order to be successful. Tasks in this roadmap form a baseline for your project. They are intended to be refined during the initial project planning activity and during the project as project designs and procedures are solidified and approved. IBM anticipates that design tasks will be able to be performed in parallel with installation of the software environments. Testing tasks are also typically incrementally performed in parallel with development tasks.

IBM has a methodology for deploying the IBM ECM software with clients, which has been used many times in our implementations with existing clients. The approach combines business “buy-in” to the project and subprojects with the development and deployment of the technical solution, plus skills transfer to **CUSTOMER** staff.




Deployment Methodology Overview

Testing / TuningIterations

Preliminary Requirements Requirements/Design Development Acceptance Testing Production Integration

SOWSolutions Document

SignoffBootstrapDelivery

AcceptanceSignoff

Deployment CompleteTransition to Support

Preliminary Requirements •Information Exchange •Requirements Gathering •Statement of Work

Requirements/Design •Business Objectives •Content Sources •Presentation •Acceptance Criteria •Reporting •Technical Architecture •Front-End Design

Development •Content Acquisition •Initial Bootstrap And Build •Front-end Dev •Data Integration

Acceptance Testing •Acceptance Testing •System Testing •Integration Testing

Production Integration •Roll to Production •Setup Admin •Train Customer •Move to Support

Testing / Tuning Iterations •Iterative Approach •Understanding •Usability •Precision

Figure 5: Deployment Methodology Overview

The approach is a phased method often used in Enterprise Deployment Methodology:

1. Preliminary requirements – In this phase, the IBM Software Services team works with the **CUSTOMER** project team to determine the high level requirements and scope of the engagement. The output of this phase is a Statement of Work.

2. Requirements and Design – The IBM Software Services team works with the **CUSTOMER** project team to define the requirements and develop a detailed project plan. The services team engages with the **CUSTOMER** project team to educate the broader **CUSTOMER** audience on the capabilities of the IBM Records Manager Edition product, further define requirements, and develop a detailed project plan package for the engagement. The output of this phase is a detailed requirements specification and project plan package.

3. Development – The IBM Software Services team works to build the initial configuration of the software with the customer index. The team also supports the **CUSTOMER** project team to integrate the user interface and feature and functionality requirements. The output of this phase is an initial configuration of the system.

4. Testing and Tuning – In this phase we jointly conduct testing and tuning of the system. This phase is often in conjunction with your User Acceptance Testing (UAT) process, and typically you will take the lead in testing and the IBM Services team will take the lead in tuning in response to the testing results. The output of this phase is a tuned system ready for deployment.

5. Deployment – In this phase, the IBM Software services team works with the **CUSTOMER** project team to install the configured software in your production environment, set up administrative and reporting processes, support the go live process, and conduct knowledge transfer sessions. The output of this phase is a live production system.

Why IBM?<Note: Please customize the description below as per project requirement>

IBM Enterprise Records Management Solutions are the most widely used on <name of location>. The many reasons for this dominance are as follows:

An SOA (Services Orientated Architecture), ESB (Enterprise Services Bus) scalable, standards-based approach to Federation (search, records management, etc.) via Content Federation Services

Capability to perform dynamic collection, declaration and classification of Records, as well as the application of Hold Orders via IBM Enterprise Records

The most extensive list of options for declaration/classification of Records (automated through to user-assisted) via IBM Enterprise Records and IBM Classification Technology

Proactive Enterprise capable file-share management via Content Assessment



Proven and tested scalability up to 10 million record declarations/classifications per day and 10 million records dispositioned per day

Consistently top-quartile ratings by industry analysts (Forrester and Gartner)

Proven ability in connecting the dots of software solution components with IBM Lab Services, IBM Global Business Services and IBM Business Partners

Full out-of-the box integration of **CUSTOMER** core components and optional components via IBM Content Federation Services, IBM Connectors and Collectors

IBM has extensive knowledge on **CUSTOMER** and a strong business acumen regarding the Financial Services Sector as demonstrated by IBM Global Business Services (GBS).

The proof points as to why IBM is the right choice for **CUSTOMER** are the same as the “Benefits of an IBM Decision” delineated above.

IBM strongly encourages **CUSTOMER** to pursue their intended implementation of an Enterprise-wide Records Management Program now, as they have Executive Management visibility and support regarding defensible storage reduction and risk mitigation regarding the retention and defensible disposal of business records.

Business Requirements

Records Retention and Disposition1. Record Declaration: How will the solution differentiate between records and non records? Can

the end users make this distinction?

<Note: Please customize the response below as per project requirement>

Once an electronic document has been declared a record, the IBM solution will place a “lock” icon to distinguish between a record and non-record, as shown in the screen shot below.

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Section 4: Requirements

Figure 6: Declared Record Lock Icon Screenshot

2. Record Owners: How will the solution define record owners (i.e. will the “owner” be the creator, a department etc)?


The records solution defines record owners by individual owners or group ownership. A key feature of the IBM solution system is the protection of the records that are being managed. When content is declared as a record, it is no longer under the control of the author or originator. After declaration, it is under the control of the records solution based on its location in the file plan and how you choose to configure access.

By setting security on the file plan, the records manager or records administrator decides who can access the content or the metadata associated with the content. In addition, field masking can be configured to limit users to modifying only specific properties while disabling updates of other properties.

After content is declared as a record, IBM assures that it cannot be deleted unless it is being destroyed as part of an established disposition process. Access controls are configured to prevent users from deleting either the record or content at any time, following the general best practice that records are only destroyed as part of a well-defined disposition process. Under special circumstances, certain authorized users, such as records administrators or records managers, can delete records. However, the deletion of all records is fully auditable.

3. Time/Event-Driven Retention: Does the solution support both time (e.g. straight X years) event-driven (e.g. “Active plus X years) retention periods? Explain in detail how the solution handle event-driven retention periods.


Yes, both are supported. The IBM records solution uses disposition schedules in order to control the retention and disposal of records. Disposition schedules encapsulate the retention rules for records and instructions for the disposal of records at the end of the retention period.



The primary components of the IBM records disposition schedule are:

Disposal trigger that specifies a trigger condition and aggregation level

Cutoff as defined by an offset value and a cutoff base

One or more disposition phases, each of which defines a retention period

Actions associated with each disposition phase

A disposal trigger signals that record disposition can begin. Often, the trigger condition itself is a date value that is also used for calculating cutoff and retention. However, the trigger condition is fundamentally a signal that a specific condition has occurred that will allow the remaining disposition parameters to be calculated. For example, a contract document might be triggered for disposition by the contract expiration date being set. While a contract is still active and not yet expired, the date value remains null. As soon as the contract expiration date is set, this action is the trigger for disposition.

In addition to a trigger condition, a disposal trigger determines the aggregation level for purposes of disposition. The aggregation level indicates which entity type is being disposed (an individual record, a volume, a record folder, or an entire record category).

A disposal trigger can be defined as one of four types:

Internal event trigger: These triggers are the most commonly used triggers. The triggers are tied to the metadata of the entities being disposed. After the trigger condition is satisfied, Disposition Sweep can calculate the remaining disposition parameters that determine cutoff and the retention period. Internal event triggers are often based on a date property on the entity being disposed. The scenarios for the case study used in this book rely on internal event triggers.

Examples: Contract expiration date, date closed, and date superseded

External event trigger: External events are one-time events that occur outside the system but that can directly impact the cutoff and disposition of entities. The time of the event is not known at the time that the disposition schedule is created, but it is entered later by an authorized user when the event occurs. As soon as the external event occurrence date is set, Disposition Sweep can calculate the remaining disposition parameters that determine cutoff and the retention period.

Examples: Life of company and life of a plan

Recurring event trigger: Recurring events are events that recur automatically after a predefined time interval. They are typically associated with vital records and are used to trigger periodic reviews of these records.

Example: Annual reviews

Predefined: Predefined events are similar to external events, except in this case, the date is known ahead of time.

Example: <DD-MM-YY>

4. Automate Destruction: Does it automatically calculate destruction dates for all records in the repository?


Yes. Disposition Sweep is a tool that works in conjunction with the disposition schedules that you have defined for your file plan to compute essential disposition parameters and to enable disposition processing. It is a stand-alone application that is run periodically to analyze a file plan and determines which entities are ready to move through the disposition process.

Disposition Sweep performs the following functions:



Determine entities eligible for disposition

Calculate cutoff

Perform phase transition

Perform phase updates

Initiate the cutoff action

Housekeeping (manage records)

Process vital records

Invoke automatic destruction

Disposition Sweep uses the File Plan specified in the disposition schedule configuration to determine which entities are eligible for disposition processing.

Disposition Sweep performs calculations on the appropriate entities and updates the internal disposition parameters for these entities that affect their readiness for disposition processing.

5. Disposition Changes: Can it globally change the disposition for groups of records or individual records?


Yes, as mentioned above, Disposition Schedules are assigned to all of the File Plan or specific parts of the File Plan. Disposition Schedules, when assigned can be inherited below the category of folder it was assigned to. If a change is made to the schedule, you have the option to aggregate to all parts below where it was assigned.

6. Disposition Workflows: Does the tool provide user workflows to allow data owner signoff of records to be disposed?


Yes. The IBM solution is tightly integrated with the underlying Records Business Process Management (BPM) capabilities of the IBM solution Platform.

The following action types are used for disposition actions that are associated with the phases of disposition and the out of the box workflows:

Review – indicates the need for a general disposition review of records by records management staff or by an appropriate designated reviewer who is associated with the records.

Export – indicates that records must be exported or copied to another system or repository.

Interim Transfer – indicates that records are to be transferred to another location while maintaining the record information (metadata only) in the current system.

Transfer – indicates that records must be transferred to an external system or repository.

Destroy – indicates that the records must be destroyed from the system according to a defined destruction process. The destroy process includes a review step as part of the destruction process to allow a reviewer to approve or reject the records before the records are actually destroyed.

Auto Destroy – indicates that the records must be destroyed from the system immediately without relying on a destruction process or user intervention.

7. Disposition Audit Trail: Is there a full audit trail for records and non-records for the disposition process? If so, state whether the solution tracks the following information regarding destruction of records and provides a detailed destruction log with reporting ability (preprogrammed and ad hoc reports). This information should be a metadata element for each destroyed record.




Yes, there is a full audit trail for all electronic and physical records only for the disposition process.

a. Identity of individual(s) authorizing destruction


Yes, all information is captured during the Destruction Workflow, including authorized individuals.

b. Reason destruction was authorized (e.g., retention requirement met, hold released)


Comments are captured in the Destruction Workflow and are part of the workflow audit log. Hold releases are also tracked with comments, notes, and approval process which can be viewed or reported.

c. Dual control authorization as required by policy


The Destruction workflow can be configured to have multiple authorizations. All information is captured in the workflow audit logs and IBM Enterprise Records (IER) audit logs.

d. Media and method of destruction


This information is captured in the retention policy and can be related to the specific laws that may govern them and also can be configured in the audit logs.

e. Location where destruction completed


By location, if you mean the level within the File Plan, then yes. Also for physical records, location is recorded.

f. Date destruction completed


Yes date is recorded in the audit logs.



g. Certificate of destruction


At the end of the destruction workflow, an XML transcript is generated and can be declared a record for safe keeping.

h. Description of destroyed records


Yes.

i. Free-form comments


Free form comments can be configured as part of the workflow and captured in the audit logs.

8. Review Disposition: Does it automatically assign records ready for deletion to the appropriate review process for approval of final deletion? If so, does the solution support the automation of destruction decisions using one of the following methods:


The out-of-the-box workflow can be modified to add as many reviewers as needed and who those reviewers may be.

a. Allow for record owner to pre-approve purge of expired records


Yes.

b. Allow system assisted electronic approval of destruction for eligible records, configurable for single or dual control.


Yes, with IBM Records Business Process Management (BPM), you can use web services to make calls to another system or modify the workflow to include a system approval step process.

9. Records Purge: Does it ensure that deleted records, including metadata, are irretrievable and cannot be reconstructed?


IBM is certified with the new Version 3 of the DOD 5015.02 Records Manager standard.

Expunge is a term that implies irrevocably deleting the records so that even document forensics (using, for example, low-level file undelete) cannot recover any aspect of the records. Department of Defense (DoD) 5015.02 tests perform this type of low-level validation. You expunge records when you execute destroy as records disposition option.

10. Validation of Destruction: Does the solution produce an alert if a file slated for destruction is referenced elsewhere (e.g. Electronic file is tagged with more than one record type/record code that may have a different retention period)?


IBM allows for records to be filed in multiple categories (parts) of the File Plan. Records are pointers to the content of the electronic document that is in the content repository. If one category has a disposition schedule assigned and the record (pointer) is ready for destruction, but other categories have the same record, these records will not be destroyed, only the one scheduled.



11. Suspension of Automatic Destruction: Is the solution able to suspend automatic destruction programs as appropriate and provide automated global placement of holds?


From a legal hold and preservation workflow perspective, our solution can allow legal to issue these instructions directly to systems that are “holds aware” or to the steward of the system. We maintain a full audit trail of either option to defend your processes in court or to regulatory agencies. In the case of providing instruction to the steward, we provide a work-ticketing concept that IT can delegate, distribute, and manage. Then they log their events as they occur at a system or custodian level.

From an end user perspective, they are presented with multiple options, which can be configured to suspend the Destroy workflow.

Summarily, ANY content/documents that have one or more holds-in-place cannot be disposed of, even if they are records and expire according to their retention schedule.

12. Email Notification: Does it provide email notification of disposition results (e.g. number of records disposed, duration of disposition, exception alerting of records not purged, etc)?


At the end of the destruction workflow, a transcript XML file is generated that shows the destruction success or failure for each entity and other details. The workflow can be modified to send an email notification with a link to the transcript file step process or the transcript can be attached to the email.

13. Manage In-Place: Can content in external repositories be managed as records?


Yes, IER has federation capabilities that allow for external repositories to be managed as records in place. Some of the external repositories that can be federated (Managed in place) using federation connectors are IBM CM8, IBM CMOD, Opentext LiveLink and EMC Documentum, to mention a few. There are other connectors IBM has developed and connectors can be developed with the IBM toolkit.

14. Search: Are search capabilities provided? If so, does the solution provide search functionality to interrogate and return results from record and document content and metadata?


IBM does provide both content and metadata searches. You can also design and save search templates. This allows for additional and more complex searches if needed other than the out of the box searches.

15. Federated Search: Are federated search capabilities supported?


Yes, on all repositories that are supported.

16. Configurable Management Workflow: Does the tool provide the ability to modify workflows without programming / scripting?


Yes as stated in question 6, the solution works with the IBM Business Process Manager for Records Management. The Records BPM includes a design tool that allows for drag and drop workflow design.

17. Non-records Management: Does the tool allow retention management and disposition of non-records?




Yes. IBM’s solution allows you to manage all types of information and physical assets in a central solution. The retention policy can be propagated to any retention aware system or to stewards of the information where the system may not have retention capabilities.

In terms of automation of retention management and disposition, the objects will need to be federated or collected into the records repository.

18. Retention Schedule Limit: How many retention schedules can the RM application support?


There is no known limit of Disposition Schedules, which includes the retention policies.

19. Retention Schedule Length: Is there any limitation on the length of the schedules?


The disposition schedule creation is a Wizard whereby you fill out different sections of a form. Therefore, length is not a limitation. See screenshot below:


Figure 7: Retention Schedule – Editing a Rule

20. Vital Records: Does the solution support the designation of vital records, as well as the reversal of this designation?


Yes.

21. Creation / Deletion Activities: Is the solution able to create and delete:

a. Entire databases?


Yes, if there is one Disposition Schedule for the entire File Plan then all records will be deleted. Also, you can create an entire File Plan with unlimited number of categories and folders.

b. Single records with all components including the records metadata? The metadata must include the following at a minimum:


Yes.



i. Date (creation and modification)


This is a system metadata item.

ii. Author


Creator is a system metadata item. Author, if not creator, can be added to the record as an additional metadata item.

iii. Time sent and electronic signature for or e-communications recipients.


Time sent and electronic signature can be captured as metadata providing the source has them identified or tools such as IBM Classification Module and IBM Content Collector can capture the information.

c. Entire record series?


Yes.

d. Folders?


Yes.

e. Files?


Yes.

22. Unclassified Records: Does the solution allow “orphans” (unclassified records or record series) resulting from classification scheme updates?


When records are declared, IBM ensures these records will be classified, even when classification schemes are updated.

23. Retention Schedule and Taxonomy: Does the solution ensure that every class, folder and file of the classification scheme or taxonomy is associated with a retention schedule?


Best practice is to set a disposition schedule at the highest level of the File Plan or taxonomy. Disposition Schedules are then inherited throughout. In addition, a report may be generated to list all records without a schedule. This report is titled “Records Folders without an Associated Disposition Schedule.”

24. Record Classification Codes: Does the solution ensure that every record is assigned to a record classification code? Is the record classification code a metadata element of every record?


Record codes can be added as a metadata element. Using IBM’s zero click technology with event subscription or business process management, a record can be declared and update the record classification code automatically. Additionally, the retention rule (disposition schedule) can have a classification code (e.g., FIN100 Financial records, keep for X years post CY Audit which would be stapled to the record series). At a policy level, you define ALL Record series,



types, schedule so that every record type/series/classification has a code, event, duration, disposition type defined.

For electronic records tracked in an electronic records system, you ideally declare all records into file plan locations that have retention rules, but in some cases, you can have records without retention. Where this exists, immediate on-line searches or reports can highlight exceptions for standard/exception processing and resolution.

25. Regulated Users: For regulated users (broker/dealer/investment advisor), does the solution recognize as records all of the electronic communication for these users — regardless of the content of the communication?


Category or folder to have all electronic documents declared as records and filed within the category or folder regardless of content can be configured in IER.

Classification and File Plan1. File Plan: Can it create a hierarchical file plan structure of category, sub-category, folder and

subfolder?


With the IBM solution, you can define a retention hierarchy in the way in which your company uses information or you can define a traditional File Plan or both.

The File Plan is a hierarchical structure, which includes record categories, records folders, volumes, and records. Categories, folders, and volumes serve as containers for records.

A record category is a container that classifies a set of related records within a file plan. Record categories are used as the primary organizing elements to construct the tree of the file plan. You typically use record categories to classify records based on functional categories. A record category can contain subcategories or records folders, but not both. By default, child entities of a record category inherit the security and disposition schedule of the record category.

A records folder is a container that is used to manage and organize a group of related records that are typically disposed of together or that might need to be retained and placed on hold together as a group. For example, if you have records related to a mortgage loan, it might be helpful to group all records related to the same mortgage loan in the same folder. In this case, you might have thousands of records folders in the same category, one folder for each separate mortgage loan.

You can create electronic, physical, box, and hybrid records folders under a record category to manage electronic and physical records.

A volume serves as a logical subdivision of a record folder into smaller and more easily managed units. A record folder (with the exception of a box) always contains at least one volume, which is automatically created by the system when a record folder is created. Thereafter, you can create additional volumes within a record folder. Note, however, that at any given time, only one volume within each folder remains open by default, although a closed volume can manually be opened if needed. By default, the most recently created volume is open. The currently open volume is closed automatically when you add a new volume. If an automated approach is required for volume management based on a specified criteria being fulfilled, for example, a volume containing records of a specific calendar year gets closed automatically at the end of that calendar year, then custom programming is required.

A volume is the same type as its parent record folder (electronic, physical, or hybrid) and can contain the same type of records as its parent. However, a volume cannot contain a subfolder or another volume. A volume always inherits the disposition schedule of the record folder under which it is created. You cannot define a disposition schedule that is independent of the



parent record folder.

2. File Plan Levels: Is there any limit to the number of levels in the hierarchy?


There are no known limits to the number of categories or folders (levels) in the IER file plan.

3. File Plan Visibility: Is the hierarchy within the file plan visible to users?


The visibility of the file plan is configured and mandated by the security defined.

4. File Plan Retention: Are retention periods applied at the highest level of the hierarchy within the file plan?


Disposition Schedules can be applied at all levels of the file plan, including the highest level.

5. Retention Inheritance: Do all other levels of structure within this hierarchy inherit the same retention or can different retention periods be applied?


If a Disposition Schedule is applied at the top level, all levels under the top can inherit the same schedule or a different schedule can be applied at different levels as stated in the above question.

6. Multiple Retention Periods: Can the solution apply multiple and different retention periods within the same record class (e.g. Exceptions for Regional Schedules)?


IBM enterprise retention solution allows you to centrally define and manage retention schedules that reflect both legal obligations and business value across your global enterprise. We allow you to publish corporate and country master schedules. We also allow you to publish group and departmental schedules that link to the master taxonomy or pre-approved country specific exceptions where there is a valid deviation from the master. We also have the concept of alternate retention within a single Disposition Schedule.

Alternate retention is a feature that allows you to add flexibility to your disposition schedules in situations where certain entities that are being disposed have similar disposition requirements, but their retention periods differ based on specific conditions associated with each entity. For example, a national insurance company might have to follow federal regulations and laws concerning the disposition of insurance claims that apply to all states. However, specific states might have statutes that supersede federal law. Rather than having a single disposition schedule that applies to most states and separate disposition schedules for each state that has different regulations, a single disposition schedule can be created that takes advantage of the alternate retention option within IBM.

Every disposition phase has a default retention period, which is used to calculate retention based on cutoff. Unless otherwise configured with alternate retention, the disposition schedule always uses this default retention parameter.

Alternate retention provides a means to apply conditional retention to entities that are governed by the same disposition schedule, overriding the default retention specified for a phase when certain conditions are met. Alternate retention provides two benefits:

Multiple conditions specifying alternate retention periods based on conditions related to the metadata of the entities being disposed.

The ability to select the cutoff base for the retention period being applied to the disposition phase instead of relying on the cutoff date for computing the default retention.



7. Record Class Flexibility: Can a new record class be added at any level in the hierarchy?


The IBM solution allows you to add records at any level in the hierarchy. You can declare a record manually, or by a process or by an event. Also, categories and folders can be added at any level in the hierarchy.

8. Retention Schedule Changes: How are changes to retention schedules handled?

a. Deletion of record classes?

b. Addition of new record classes?

c. Changes in retention periods for existing records classes?

d. Exception Approvals?


For the above, additions, edits and change management is enhanced through a complete version history incorporated into approval workflows for managing the review and approval process. You can also define alerts and notification to communicate changes across the appropriate stakeholders. These workflows can be triggered based on field level changes. For instance, you can configure not to trigger an approval for description but do so for retention period changes.

9. File Plan – Legal: Can the solution create file plan structure of client, matter, folder, and subfolder (used for legal)?


Yes, please refer to question 1 in this section, where IER’s File Plan structure is explained.

10. Records Declaration: What are the methods records can be declared: drag and drop, menu-driven, on-send or on-close (for email), batch, automatically through workflow, etc?


There are multiple ways do declare a record in IBM solution. In order to design a robust records system, one of the fundamental considerations is determining how new records are ingested and declared. Because the IBM system can leverage the full capabilities of the IBM FileNet P8 Platform, there are many options available for ingesting content and declaring that content as records. The choice of ingestion and declaration mechanisms is primarily driven by customer requirements surrounding the desired user interface, the nature of the incoming records, the simplicity or sophistication of the ingestion process, and the need for a controlled business process. Because there are so many possible options for combining ingestion with declaration, we focus on several of the more common configurations and use cases.

Here are several examples:

Customers might only need a simple document entry mechanism (such as Workplace) for users to add new electronic documents. If the documents are of specific types, customers want the system to automatically declare them as records.

Customers might want users themselves to decide when an electronic document is declared as a record. Users have enough business knowledge to properly classify the records in the file plan when they add the documents to the system.

Certain customers might require a simple approval process before electronic documents are declared as records. These customers might choose to use Business Process Manager (BPM) to control record declarations.

Customers might require that the properties (metadata) from documents are validated against an external system before documents are declared as records.



Customers might want to integrate record declaration with a larger business process – waiting for the process to complete before declaring records.

These are just a few examples of the many ways someone might choose to ingest and declare records into the solutions Records file plan. Any of the various ingestion and declaration mechanisms can be mixed and matched to suit precise customer requirements.

11. Metadata Capture: Can it automatically capture metadata fields at declaration time?


Yes, a document template for declaration or from a Records BPM declaration workflow.

12. Classification (Manual): Can users manually classify records within the solution?


Yes, users can manually declare and classify records.

13. Classification (Automatic): Can records be automatically classified based on policy/rules engine?


Yes, records can be automatically be classified in the file plan based on policies, rules and metadata values.

14. Picklists: Does the solution enable the use of picklists?


Yes, the solution can be configured to use drop down lists or picklists.

15. Classification Tool: Does the solution provide a classification tool as part of the core functionality or as a separate module?


Yes, the solution can be configured to use drop down lists or picklists.

16. Classification Methodology: Does the tool provide inline (i.e. during collection) and post-process (i.e. data stored in the repository) classification?


Yes. IBM Classification Module (ICM) is integrated with IBM Content Collector (ICC), which can collect files from Fileshares, emails repositories and SharePoint repositories. While ingesting the documents into the repository, the classification module, based on rules, policies and content can classify the documents in the correct folder in the File Plan. ICM also can be used to classify documents that have already been ingested into the repository.

Legal Hold Management1. Legal Hold: Does the solution allow administrators and authorized users to create, apply, view

or remove legal holds for individual or multiple records?


Yes. IBM provides the capability to scope legal holds with precision and complete audit-ability which includes placing holds on records or information types. IBM provides an inventory of the various systems and the relationship of records or information categories used in the systems. These hold instructions may be passed to individuals or to systems that are “hold aware” for execution in individual record or information objects.



2. Set Legal Holds: Does the solution define types of holds and the length of time that holds are to be applied to records?


Yes. IBM’s legal hold management solution allows you to define types or categories of holds. We also allow you to define templates to easily execute the notification and notice processing rules associated with legal hold management such as auto-reminders, escalation, auto-notification for non-responses. Depending on your hold definition, you can set the effective dates or manage the hold timelines relevant to the case or regulatory lifecycle.

3. Multiple Legal Holds: Does it support multiple legal holds on a record or group of records and can the legal hold processes run concurrently?


Yes. We provide a complete inventory of all holds across record types. We also provide cross reference user interface options and reporting capabilities to view the many holds associated with information, systems, people, or organizations.

4. Disposition / Modification of Legal Hold: How does the solution ensure that records and metadata cannot be deleted or modified until the hold has been removed?


The IBM Solution provides the inventory and cross reference of all holds on information types. These instructions are passed to IBM ECM, which maintain the disposition and edit processes and capabilities, executing them against ECM managed content. We can provide review and approval process to meet specific business needs prior to actual execution of dispositions.

5. Legal Hold Audit Trail: Does it maintain a complete audit trail of who assigned and removed holds?


Yes. IBM provides a defensible audit trail beyond legal holds and across a comprehensive Information Governance program. Therefore, we allow customers to defend their retention management change processes at it relates to their eDiscovery processes. As laws change, we track how those changes affect retention schedules that may be part of a hold process. In fact, our solution has helped customers defend against spoliation claims where laws changed and those changes could be tracked back to deletion processes.

6. Legal Hold for Record Collections: Can the solution create collections of records and apply holds to the entire collection?


Yes. IBM provides a comprehensive collection management processes and execution of those instructions which can include records.

7. Policy Suspension: Can the records management policy be suspended in conjunction with Legal Hold orders?


Yes. There is a handoff to IBM to execute the suspension. Summarily any content with one or more active legal holds cannot be changed or deleted, even if it is a record that has expired according to its retention schedule rule.

a. At what level—repository? Class? Folder? Document?


Yes, all of the above. IBM allows for this capability by setting these up as Data Sources or metadata describing the data source.



b. Indicate how the records subject to the legal hold are flagged or otherwise identified in the system


When a hold is placed on an entity, the hold overrides normal disposition processing. The hold prevents an authorized user from initiating disposition on the entity until the hold is removed. In addition, all disposition actions are suspended until the hold is removed. Putting a hold on an entity does not prevent Disposition Sweep from calculating the Cutoff Date or the Current Phase Execution Date for that entity.

After the hold is removed, the entity is again eligible for disposition if the Current Phase Execution Date has been surpassed.

A hold created with no conditions is a manual hold. A manual hold is designed for dynamic use where the Records Administrator or Records Manager will search or browse for records to include in the hold. They then manually place these records on hold. Typically, manual holds are only used for placing a small number of specific entities on hold. For instance, if you have a folder associated with a specific loan, you can manually place the folder on hold.

Dynamic holds, which are also known as conditional holds, are used to address the situation where a Records Manager needs to put a large number of records on hold, and these records are potentially distributed throughout the file plan. In addition, a dynamic hold can be run on a regular basis to identify new documents that satisfy the hold conditions. With dynamic holds, you create search conditions to indicate which entities must be placed on hold. If there are no search conditions for a hold, that hold can only be added to an entity manually.

After the dynamic hold is created, it is applied by running the Hold Sweep application. This application searches the records repository and identifies each entity that needs to be placed on hold. It then applies the hold to each of those entities. Over time, new records can be declared that meet the hold criteria. In this case, Hold Sweep can be run on a regular basis, and it automatically places holds on the new records that meet the hold conditions.

8. Legal Hold Removal: Describe the process for Legal Hold removal.


Notice authors use the same interface to issue releases as they do for holds. This is as simple as selecting the notice type (i.e. hold or release) and then selecting the appropriate template or typing the release notice contents. IBM also allows you to release a custodian directly from the custodian list within the Notice. IBM then prompts you for 2 options on how you would like to release them. Release without notice or generate a release notice. Our customers have shared with us that prior to using our solution, release processing was difficult because the organization and custodians didn’t have an inventory of all of the legal holds. Today those customers issue release notices with links to the custodian portal so that custodians can see their continuing obligations for existing matters. This has allowed our customers to have a more precise hold-and-release process.

Other capabilities and benefits:

Release one or more custodians over the matter course

Release holds on data sources for routine disposal

Close out matters including disposition of collected data to avoid legacy data build up

Determine where collected data has been provided to service providers or outside counsel to ensure its destruction



Easily cross reference custodians in a closing matter to determine other matters with active holds and collections; reference their open matters in release notices or selectively release custodians

Secure, authorized disposition workflow prevents errors

Track all holds, all custodians and all data sources for a definitive view of legal obligations and to enable routine, defensible disposal of data not on hold

9. Legal Hold Visibility: Can users determine if records are placed on Legal Hold?


All users who are authorized can determine if records are placed on hold.

10. Legal Hold for Non-Records: Does the solution require a separate module for managing legal holds for non-records?


If you mean non-records that have not been declared, but are in the repository, yes. eDiscovery Manager can search IBM repositories and place a hold on non-records, as well as declared records.

11. Case Management: Does the solution support the efficient and timely issuance and tracking of hold and discovery communications, including:

a. Development of communication form templates


Yes. IBM provides template capabilities for the content, as well as the communication rules.

b. Initial distribution of hold notice


Yes. The IBM solution provides multiple advantage points to track and alert for those that did not reply, receive, or understand their obligations and instructions.

c. Issuance of periodic reminder notices


Yes. IBM provides automated reminders with advanced multi-tier definition.

d. Tracking of communication and distribution responses


Yes, as above. Also, the IBM solution provides electronic interview or survey capabilities that can be related to communication to help gather additional facts about the case or data habits of the recipient of the communication. IBM provides search and filtering capabilities to improve efficiencies with reviewing the responses. We also provide alert capabilities based on how recipients respond to better handle exceptions. In addition, we provide the ability to pass the gathered information directly to individuals that may be executing instructions on behalf of legal or the compliance group.

e. Acknowledgement from recipients of the hold notice


Yes. IBM tracks all acknowledgement and non-responses. We take this one step further to allow you to better manage by exceptions through alerts and notifications from recipients that have not responded in the timelines you specify.



12. Legal Hold and Discovery Scope: Does the solution support hold and discovery scope definition and management by offering:

a. A method for separation of the broader set of records and information being held as relevant for legal hold purposes from the set of records and information considered discoverable?


Yes, the solution supports broad and specific tailorable definitions, tagging/flagging and application of hold and discovery scope definitions. Any records on one or more legal holds can be viewed at any time, by hold or discovery case. All managed information, records and non-records, are available and considered discoverable.

b. A means of further segregating any records or information from discovery production on the basis of attorney client or other privilege or other basis for non-production?


Yes, the IBM solution provides tailorable ranges or flagging of information within a hold or discovery case, such as privileged, hot, responsive, and non-responsive. A common set of flags is provided out of the box and may be tailored in the solution to meet your specific needs. Actions can then be taken on a subset of these flags, such as to only export or produce information that is relevant/for-production.

c. Links to “free text” fields for description of reason for exclusion of certain records and information, such as privileged or irrelevant documents?


Yes, the solution provides tailorable fields to hold descriptions or notes to further clarify specific application of flags.

13. Legal Hold Preservation: As relevant information is identified, it must be collected and preserved as subject to a legal hold and held through any production in discovery and until the legal hold is released. Does the solution support the following system functionality:

a. Segregate relevant records (provide a separate record repository for review and production of relevant records collected through the hold process)


Yes, the IBM solution provides for the lock down and segregation of information places on legal hold and into a discovery case. Once held the information cannot be changed or deleted until all holds are removed.

b. Preserve electronic records in native format, without deletion or alteration


Yes, the solution preserves electronic records in native format and preserves the original content and metadata. Once records are declared these are preserved and prevent alteration or deletion, until such records reach the end of their life following the applied retention schedule rule. Any records also on legal hold can never expire or be deleted until they both expire against their schedule and all relevant holds are removed.

c. Capture, maintain and preserve electronic record metadata


Yes, the IBM solution supports the capture, maintenance and preservation of electronic record metadata. A common set of 25 metadata fields is provided for use during record capture/declaration. These can be used on whole or part depending on your record process needs. Metadata can further be tailored and extended to meet your needs.



d. Collection and extraction of data from all file types


Yes, using ECM repository storage provides for the collection and preservation of any file format or data type.

e. Eliminate duplicates prior to production


Yes, the IBM solution is able to identify and highlight duplicates of candidate information for filtering before production or export.

f. Allow search in the segregated records repository


Yes, the IBM solution provides for ad hoc, on the fly, or saved/pre-defined searches to be used against all records in the repository. Users will see search results filtered by any relevant security applied, i.e. they can only search and see records they have security rights to view.

g. Allow further segregation of records and information produced or responsive to discovery requests.


The solution further provides any number of case options to help further review, filter and segregate subsets of information relevant to a case, to expedite discovery requests. These also include comprehensive search and filter capabilities, where one can filter and segregate across one or more of any of the available metadata fields in the collected content, and across any indexable content data types.

14. Legal Hold Display: Describe how multiple legal holds are displayed to administrators and end users.


A complete list of Holds and their relationships to systems, people and information classification are tracked within the system. The IBM solution provides visibility to these holds for the many stakeholders that may need to see them such as IT, Legal, Records Management, and the Business.

15. Federated Legal Hold: Explain the solution’s approach to federating legal holds?


Federating legal holds is the same methodology as stated in question 12, a-c . Metadata from the federated repositories will be copied to the solutions file plan and record series. During the hold process, these records will not be processed for disposition, since there is a hold order on them. Once the hold order is removed, then disposition will continue.

Certification and Compliance1. U.S. Department of Defense 5015.2-STD: Is the solution certified to this standard? US DOD

5015.02 V3


Current active certifications for the IBM solution are Base and Classified Records subsection of the standard.

a. Baseline Records Management: Is it compliant?




Yes.

b. Classified Records Management: Is it compliant?


Yes.

2. MoReq2: Is it compliant?


No. IBM is an active participant in the current MoReq Standards Community who have recently put on hold the current MoReq2 standard and are working to simplify and publish a v3 in the future. Refer to the updated Consultation Phase status at: <Note: Please validate the web link below before reuse>

http://www.dlmforum.eu/index.php?option=com_content&view=category&layout=blog&id=903&Itemid=59&lang=en

3. VERS: Is it compliant?

IBM, along with a business partner offering from <name of company>, achieved and holds a current VERS certification.

4. Information and Documentation on Records Management Guidelines (ISO 15489): Is it compliant?


IBM recommends customers consult authoritative Records Management Standards such as the ISO 15489 Standard for Records Management when developing their Records Management policies. As an example, the ISO Standard 15489 encourages regular auditing and monitoring to ensure that the records systems procedures and processes are, being implemented according to the organizational policies and requirements and meet the anticipated outcomes. IBM RM provides a configurable auditing capability.

Administration and Reporting Tools1. Administrative Client: Does the solution have a web-based client for administration?


Most administration can be achieved through a web-based client, although administration/configuration requires IBM FileNet Enterprise Manager, a Microsoft Windows application.

2. Retention Schedule Management:

a. Can an administrator create and maintain schedules?


Yes. Retention rules, as documented within a corporate retention schedule, are typically implemented within IBM’s Records solution as disposition schedules. They determine how long a record is to be retained and how it is to be disposed at the end of its lifecycle. Disposition schedules are typically associated to a node in the file plan, resulting in records declared into, or below that node, to automatically inherit this disposition schedule.

The solution also provides enterprise/global retention schedule policy management functionality. One can define, draft, manage, review, approve and publish schedules covering all information holdings across all jurisdictions and sources. Electronic records managed within ECM can have relevant schedules exported and ingested to execute.





b. Can the schedules be uploaded to the solution?


Yes.

3. File Plan Management: Can an administrator create and maintain file plans?


Yes. File Plans can either be manually created or an XML schema to then be imported into the IBM solution.

4. User Information Management: Can an administrator add, modify, or delete user account information?


Yes. The IBM solution depends on an established directory service for establishing identities. The directory entries need to model various individuals, groups, and roles for the organization. The associations with groups of identities and the hierarchical interrelationships among various identities must be well understood, and conventions for these associations and interrelationships must be established.

5. Access Privileges: Does your security model support configurable roles-based access? Please describe in detail.


Yes. Role-based access security is access to data based not on individual identity, but based on the role that is assigned to a principal. Multiple roles can be assigned to an individual as appropriate, as well as multiple individuals can be assigned the same role. This creates a set of relationships between identities and roles in some set of n:n, 1:n, n:1 or 1:1 relationships. All security is then based on the assigned roles to verified identities as opposed to the identities themselves. This method allows an abstraction of security roles away from the concrete identity of a specific individual. This model allows a great flexibility in the assignment of principal identities in a dynamic manner while retaining a relatively static assignment of roles from the application perspective. This is a powerful model to decouple the direct dependence of a certain application on the underlying authentication mechanism.

6. Multiple Access Roles: Does the solution allow users to be assigned to more than one role or group? Is editing of user profiles and permissions limited to the administrator role?


Role-based access security is access to data based not on individual identity, but based on the role that is assigned to a principal. Multiple roles can be assigned to an individual as appropriate, as well as multiple individuals can be assigned the same role. This creates a set of relationships between identities and roles in some set of n:n, 1:n, n:1 or 1:1 relationships. All security is then based on the assigned roles to verified identities as opposed to the identities themselves.

7. Reporting: What reporting tools are included for reporting activity? By repository? Class? Folder?


We provide the following reports out of the box:

Actions Performed by a User: lists the actions performed by a user on a specific record category or record folder

Categories and Folders by Disposition Actions: lists the electronic categories and folders according to the associated disposition actions



Disposition Schedule Defined in a File Plan: lists the disposition schedules created in a file plan

Disposition Schedules Allocated to Record Types : lists the disposition schedules allocated to specific record types

Electronic Categories and Folders Associated with a Disposition Schedule: Lists all the record categories and folders associated with a disposition schedule

Electronic Folders and Records by Supplemental Markings: lists all the electronic folders and records associated with a specific type of supplemental marking

Electronic Folders Created Within a Specific Period: Lists the electronic folders that are created within a given period

Electronic Records Created by a User/Group Within a Specific Period: lists the electronic records that are created by a user /group within a given time period

Electronic Records Viewed by a User/Group Within a Specific Period: Lists the electronic records viewed by a user/group within a specific period

Electronic Volumes Opened and Closed Within a Specific Period: lists the volumes that were opened/closed within a specific period

Folders and Records by Disposition Actions: lists electronic folders and records according to the associated disposition action

Folders and Records on Hold: lists the electronic folders and records that are placed on hold

Location of Electronic Records by Application Type: lists the location of electronic records according to the application type

Records Folders without an Associated Disposition Schedule: lists the electronic record folders that are not associated with any disposition schedule

Review Decisions Taken Within a Specific Period: lists the electronic entities and the review decisions taken within a specific period

Structured File Plan View: lists the records, folders, and record categories that exist in a given file plan

Vital Records Due for Disposal: lists the electronic vital records due for disposition within a specific period

8. Ad-Hoc Reports: Are ad-hoc reporting capabilities available without the need to do scripting?


All audit information is stored in the database and any required reports can be created using audit information contained in database.

9. Disposition Reports: Is a disposition report available of the records and non-records?


Records can have ad-hoc or pre-defined disposition reports produced. All other information such as non-records disposition actions can be audited and reported on.

10. Legal Hold Reports: Is a legal hold report available for records and non-records?


Yes.



11. Audit Reports Does the solution keep an unalterable audit trail, from both access control and activities for administrators and end-users’ perspectives? Information contained in the audit trail to include:


Class Subscription, Instance Subscription, Document Lifecycle Action, Document Lifecycle Policy, Event Action, Document Classification Action, and Link classes

Create new object instance

Delete object instance

Modify security including changes to owner and permissions with the appropriate properties modified, applies to all classes with a Permission collection

Queries of auditable objects, except Version Series

Retrieve object (includes properties and/or security settings)

Update (modify) properties

For Documents, the following events are auditable in addition to those listed

Change lifecycle state

Check in

Checkout above for all auditable types

Cancel checkout

Additional auditing is available with IBM. It enables you to track user activities and actions performed on entities such as record categories, folders, volumes and records.

The Records Manager audit log stores information such as:

The action that has been performed

The record entity on which the action is performed

The user performing the action

The date and time of the action;

are just a few of the audits that are captured.

In addition to the above ECM audits, the Records Management solution records the following actions are performed on an entity:

Delete

Relocate

Destroy

Transfer

Interim Transfer

Export, and

Review when in a Disposition phase

a. Record declaration: date, time, user declaring record


Yes.



b. Change of records series: date, time, user creating, old record series name, old record series number


Yes.

c. Deletion of record: date, time, user deleting


Yes.

d. Application of records hold: date, time, user applying the hold, record hold data


Yes.

12. Logging:

a. Is all record usage logged?


Yes.

b. Record classification changes?


Yes.

c. Is there a trace function (e.g. ability to enumerate and track changes)?


Yes.

d. Detail any exceptions to the logging process: capture, re-classification, change of retention schedule, change of metadata, changes to access rights, export, transfer, rendition, detection/destruction)


None.

e. Is the logging process configurable?


Logging can be configured to be as verbose as needed.

f. Are searches that a user makes for records that s/he is not authorized to see flagged in the log?


No, but documents will not appear in the search results if user is not authorized to view documents.

13. Reporting UI: What reporting user interface is provided for the logs?


There are different methods to access the audit logs for records. One is the out of the box reports displayed within the user interface for the IBM Records solution. There are 17 reports and they are described in the answer for question 7 above. These reports are generated by using Crystal Reports, which can also be used to create custom reports beyond the 17 out of the box reports.



Another method to access audit logs for a record is to use the user interface module for the IBM Records solution called “Workplace.” A records manager would browse or search for a specific record, then click on the information icon and click on History. The log will be displayed for the record. Below is a screen shot of the Search History page and the next screen shot is the results page.

<Note: Please update the screenshots below before reuse>

Figure 8: On-Screen Audit – Detail History Input

Figure 9: On-Screen Audit – Detail History Results List



14. Chain of Custody: Does the solution track record chain of custody?


Yes, the solution supports end to end chain of custody, where auditing is configured. Once auditing on some or all record types is configured, then the whole provenance of the record, from when created/sourced, through all interim records lifecycle actions, through to records disposition is audited, tracked and reportable.

15. Authentication of Records: Does solution have the capability to authenticate records (i.e. system user should be able to confidently demonstrate that any record presented is what it claims to be and has not been changed since declaration of the current version).


The solution supports and has independent validation, via the US DOD 5015.02 V3 certifications and others, that record content once declared is and remains immutable, unchanged and in original form, for both the content and metadata that together make up the record, through to disposition. Once declared/made a record, no record content can be edited or changed and even read-access/view attempts can even be audited.

16. Access Permissions: Can permissions be set up at individual user and department (group) level? Please Describe.


The IBM solution provides fine-grained access control for all resources. For example, content is secured by assigning users and/or groups with access control levels for viewing content, updating content, updating metadata, updating access rights, and publishing. Default access rights can be defined for each class of object, and security policies can be used to make it easy to predefine access rights across many documents. You can set security levels on workflow rosters, work queues, user queues, and component queues. The security levels you set affect the user's access to the work items contained in the roster or queue.

17. Search Response Handling: How does the system respond in cases of a full-text search result when the user does not have authorization to view the record from which the search result is an excerpt? If there are multiple, configurable responses, please explain.


Documents will not appear in the search results if user is not authorized to view documents.

18. Administrator Functionality:

a. What levels of administrator security are available?


The IBM solution provides fine-grained access control for all resources. For example, content is secured by assigning users and/or groups with access control levels for viewing content, updating content, updating metadata, updating access rights, and publishing. Default access rights can be defined for each class of object, and security policies can be used to make it easy to predefine access rights across many documents. You can set security levels on workflow rosters, work queues, user queues, and component queues. The security levels you set affect the user's access to the work items contained in the roster or queue.

b. How granular is administrator security (e.g. at the System level, the Repository level, Class level, Document level)?


IBM provides fine-grained access control for all resources. For example, content is secured by assigning users and/or groups with access control levels for viewing content,



updating content, updating metadata, updating access rights, and publishing. Default access rights can be defined for each class of object, and security policies can be used to make it easy to predefine access rights across many documents. You can set security levels on workflow rosters, work queues, user queues, and component queues. The security levels you set affect the user's access to the work items contained in the roster or queue.

19. Owner Identification: Can the solution easily identify the owner of a record, file, object?


IBM’s solution allows for the records manager or any authorized user to view the custom and system properties of the record. One of the system properties is called “Creator.” Below is a screenshot of some of the system properties:


Figure 10: Owner Identification – System Properties Results List

20. Record Encryption: How does the solution deal with records that have been encrypted or password protected (e.g. is there exception handling to flag content that is not readable)?


As records are generally kept for the long-term, a general records practice is not to declare capture and store record content in encrypted form. Rather to acquire the original source in both encrypted and decrypted form and store them as the linked record through their life. This practice then avoids the common risk in the future of expired or inaccessible unusable encryption keys or other content-access technology limits. The solution can be tailored to tag or flag and identify content of certain types, such as encrypted-state.

21. Record Duplication: Is the solution able to identify duplicates of the same record? If so, then following should apply:


Yes.

a. The solution should provide de-duplication of incoming documents (store once).


Yes, documents are de-duped and only one copy is kept.



b. The solution should provide links or pointers to a single copy of a document, e.g., e-mail attachments.


Yes, documents are de-duped and only one copy is kept.

Technical Requirements

Architecture1. Support for Multiple Repositories: Does the solution provide options for managing multiple

repositories?


Yes, the IBM solution supports multiple IBM repositories, as well as non-IBM repositories through a federated repository model. In many non IBM repositories we enable you to manage and leverage existing content that might exist in your enterprise while taking advantage of the full set of capabilities offer by the IBM solution.

2. Separate Data Store: Does the solution provide for the option to create a separate data store to manage records?


Yes, IBM keeps a records object store separate from the non-records object store. This is done to provide a complete set of compliance functionality on the content you do declare as records.

3. Security: Can access security be applied to the category, sub-category, folders, and documents?


Yes, access security can be applied to the items listed above and additionally can be applied more granular to the actual metadata filed level.

4. Compression: Does the solution provide for compression of the records?


No, the IBM solution does not provide compression for records.

5. Directory Services: Does the solution integrate with Active Directory, LDAP, SunOne Directory, RACF LDAP?


Here is a list of all the directory servers supported by the IBM solution.

CA Directory

IBM Tivoli Directory Server

Novell eDirectory

Sun Java Directory Server

Oracle Directory Server Enterprise Edition

Microsoft Windows Server 2008 SPx Active Directory

Microsoft Windows Server 2008 SPx Active Directory Lightweight Directory Services



Microsoft Windows Server 2008 R2 SPx Active Directory

Microsoft Windows Server 2008 R2 SPx Active Directory Lightweight Directory Services

Oracle Internet Directory

6. Bit Level Code: Is the solution and its related modules 64-bit applications?


The IBM solution core system components and most of the ECM suite of components are 64-bit applications.

7. Enterprise Search Engine: Does the solution integrate with any enterprise search engines?


Yes, IBM solution comes bundled with an IBM search engine based on IBM Lucene technology. An additional IBM Enterprise search engine called OmniFind Enterprise Edition can also be used to search enterprise content and the records repository.

8. High Availability: Does the application offer any native HA capability?


The IBM solution supports many different HA configurations based on your business continuity requirements. The solution supports clustering out of the box for HA, however you would need a load balancer in front of the cluster. Depending on your RPO and RTO requirements (Recovery Point Objective and Recovery Time Object respectively), the HA configuration can be simple or complex. IBM recommends a services engage with our HA experts to completely understand and plan for your HA needs.

9. Platform Support: Please list the hardware and OS platforms supported by the solution.


IBM AIX® 5.3 TLx

Minimum version: TL4

IBM POWER–based processors

Bit: 64 bit deployments only

IBM AIX 6.1 TLx

Minimum version: Base



IBM AIX 7.x TLx




Microsoft Windows Server 2008 SPx

Editions: Standard

Enterprise

Datacenter




Bit: x86, 32 bit and 64 bit deployments

Microsoft Windows Server 2008 R2 SPx

Editions: Standard

Enterprise

Datacenter


Bit: x86, 64 bit deployments only

Sun Solaris 10


SPARC


HP-UX 11i v2


PA-RISC and Itanium®


Red Hat Enterprise Linux 5.x

Editions: Advanced Platform, Server

Minimum version: 5.1


Red Hat Enterprise Linux 5.x

Editions: Advanced Platform, Server

Minimum version: 5.1

System z v1.09


Novell SUSE Linux Enterprise Server 10 SPx

Edition: SLES



Novell SUSE Linux Enterprise Server for System z version10 SPx

Edition: SLES


System z 64 bit v1.09


Novell SUSE Linux Enterprise Server 11SPx

Edition: SLES





10. Solution Scalability: What advantages does the solution have for scalability in large enterprise environments?


Virtualization

Virtualization describes the concept of partitioning a physical server into multiple logical units that share the hardware resources that the physical host machine provides. Depending on the implementation, the virtual servers either run a completely separate instance of the guest operating system, or they run at least in separated process and memory spaces so that there is no impact on each other.

Virtualization is frequently used to address one of the following challenges:

Allow applications that are not supported to run on one server to be co-located on the same physical machine by separating them on individual virtual servers

Implement a sort of vertical scaling for applications that do not natively support vertical scaling and that cannot be installed in parallel into the same instance of the operating system

Improve the flexibility in provisioning hardware resources to applications. Components that run in a virtualized environment can very easily be shifted to other hardware for example.

Provide a shared platform build on top of only a few, but very powerful physical servers. Use virtualization to partition the servers into logical units into which the individual applications are installed, thus providing data segregation comparable to a scenario where dedicated physical servers would be used.

Vendors came up with different approaches to provide virtualization. The common aspect is that they introduce an abstraction layer between the device drivers of the operating system and the physical devices themselves, as shown below:


Figure 11: Logical Architecture of a Virtualized Environment

Horizontal Scaling

Horizontal scaling, also referred to as scaling out, indicates that the performance and throughput of the total system can be increased by adding physical servers.



Depending on the internal architecture of the application, it might be possible to implement horizontal scaling just by installing the appropriate software components on the additional machine and configuring the application to use them. Commonly this concept is used when the application consists of several components and these components can either be run on a single machine or distributed over several servers.

A different approach to horizontal scaling is the concept of a server farm, sometimes referred to as a cluster of nodes, especially in the context of J2EE application servers. The farm consists of multiple instances of a designated server component (such as the Content Engine) that are all identically configured. Although it is possible to configure an application to use one particular server of the farm to get requests processed, in most cases, horizontal scaling introduces a load balancing mechanism, which is used to distribute incoming requests across the servers in the farm for processing. The advantage of this approach is that it can also deliver high availability, if the load balancing device recognizes failed nodes in the farm and excludes them from the load distribution.

Farming is therefore the preferred approach for scaling layers within the IBM FileNet P8 architecture, which support it because it provides both scalability and high availability.

Vertical Scaling

The concept of vertical scaling, which is also often referred to as scaling up, relies on the idea that adding hardware resources, such as memory or CPU power, to a given server results in the ability to handle an increased load. Depending on the nature of the application that is running on this server, it might be possible that the additional resources are effectively used automatically or just by changing some configuration parameters (for example, the number of threads that are used internally).

In the case of a J2EE application, server infrastructure scaling vertically requires, in most cases, to run multiple instances of the application server on the physical machine to make use of increased hardware resources because each instance of a J2EE server runs in a single Java Virtual Machine (JVM), and the concurrency limitations of a JVM process prevent it from fully using the processing power of a machine. Also, the amount of time that is required for a garbage collection limits the amount of memory that can be used efficiently by a single JVM.

The figure below illustrates how horizontal and vertical scaling can be used in combination to optimize the usage of resources on a physical server. In this example, on each machine, four instances of the J2EE application server are started and into each application server instance one instance of the application is deployed. As a result, twelve entities of the application are available to handle incoming requests.




Figure 12: Combination of Vertical and Horizontal Scaling for J2EE Applications

Load Balancing

A load balancing device distributes incoming requests across a number of entities that can service this request. Moreover, the load balancer keeps track of failing entities and prevents sending further requests to them.

Hardware Load Balancer

A hardware load balancer is an appliance specifically designed to distribute a huge number of incoming requests across individual servers (physical or virtual). Typically, the method of distribution can be configured (such as round robin or weighted round robin), and sophisticated units can monitor the back end server load and change the distribution rules accordingly to ensure approximately even loads on the balanced servers. Some hardware load balancers can be extended with additional network ports and provide a huge variety of configuration options, such as considering server processor utilization or the number of connections to an individual server. When building a highly available system, use at least X load balancers to avoid a potential single source of failure because when the hardware load balancer goes out of service, no requests are forwarded to the IBM FileNet P8 servers, and the complete application can no longer be used. At least the load balancer must be hardened by ensuring that critical components, such as network card and power supply, are redundant.

When choosing a hardware load balancer for an IBM FileNet P8 system, it must be guaranteed that it meets at least the following criteria:

Support for TCP and UDP

Support multiple virtual IP addresses with different rules

Support session affinity (sticky sessions)

Software Load Balancer

A software load balancer is an application that runs on a normal server and acts as a proxy that takes incoming requests and routes them to other servers. Similar to a hardware load balancer, the rules for these routes can be configured, which determines the flow of



information.

Similar to the hardware load balancer, use at least X installations of a software load balancer to avoid a single point-of-failure in the architecture.

Geographic Distribution

The content caching features of IBM FileNet Content Manager can be used to cache a document after the first authorized request at a remote location.

System Integration and APIs1. Manage In-Place: Can the solution control records in external third-party repositories according

to the retention rules and policies? Please identify the repositories supported below and the level of in-place management for the following:

a. IBM Content Manager 8


Yes, the IBM Solution can provide complete records management of any content stored in Content Manager Version 8.

b. IBM Content Manager on Demand


Yes, the IBM Solution can provide complete records management of any content stored in Content Manager OnDemand Version 8.4 or above.

c. IBM Content Collector for File Archiving


IBM Content Collector is not a Repository. The IBM Solution supports seamless integration with IBM Content Collector providing automatic collection, classification, de-duplication, metadata extraction, and transformation of content. The content will then be managed in an IBM supported repository.

d. IBM Content Collector for SharePoint Archiving


Content Collector is not a Repository. The IBM Solution supports seamless integration with IBM Content Collector providing automatic collection, classification, de-duplication, metadata extraction, and transformation of content. The content will then be managed in an IBM supported repository.

e. IBM Optim Database Archiving


The IBM solution can work natively with archived data sets using Optim Data Archiving. These are two options, either the archived data sets can be ingested into the IBM repository or the data sets can be left under the control of Optim, with the IBM solution tracking and managing them in place. These components work out of the box together.

f. Informatica Data Archive


Federated Records Services leverages native IBM technologies to manage and provide easier access to records stored in other business repositories. These repositories need to have an Open API which provides the capability to support the building of a custom connector.



g. Microsoft SharePoint 2007 / 2010


Seamless integration with Content Collector providing automatic collection, classification, de-duplication, metadata extraction, and transformation of content. The content needs to be archived into an IBM supported repository to be records managed with the IBM Solution.

h. Symantec Enterprise Vault 9.0


Federated Records Services leverages native IBM technologies to manage and provide easier access to records stored in other business repositories. These repositories need to have an Open API which provides the capability to support the building of a custom connector.

2. Integration with Email: Does the solution integrate with Lotus Notes and Exchange?


The IBM Solution integrates with both Lotus Notes and Microsoft Exchange by utilizing the IBM Content Collector for Email. The IBM Solution will dynamically declare collected content as a record using Enterprise Records.

3. Integration with Microsoft: Does the solution integrate with MS Office? If so, please describe the integration.


The IBM Solution also includes a tight integration with the Microsoft Office suite of products, including Word, Excel, PowerPoint and Outlook. The Microsoft Office integration provides access to most relevant ECM features without compromising usability. Hierarchical folder navigation within the task pane of each Office application provides quick access to ECM folders, stored searches or favorites within the IBM Solution.

4. Import / Export Functionality: Does the solution support import, export and edit of information (data/records, classification schemes, retention schedules).

a. Import/Edit functionality should match edits controlling manual entry, using an open, standard format such as XML or ASCII.

See below.

b. Import/Export should include support for XML Standard. XML is designed to support both structured data and unstructured data.


The File Plan Import Export Tool is a stand-alone application that allows an administrator to move a File Plan and its associated objects (such as schedules, holds, events, and locations) to another object store. You can use the File Plan Import Export Tool to move a production file plan to a test environment or to another server. When exporting a file plan, the tool creates an output file with the file plan information in XML format. This file can then used to import the file plan into another File Plan Object Store for another system.

5. Tier Storage Migration: Does the solution support migration of stored information from online to near-line to off-line storage as records move from active to inactive status?


The IBM solution will utilize inherent storage management capabilities of the repositories it is managing.



6. Multiple Component Records: If the record is comprised of multiple components, how does the system manage each component?


Yes. For example, an email with an attachment can be managed individually. The email can be declared a record in one part of the file plan and the attachment in another part. But they also can be declared in multiple parts of the file plan.

Examples:

a. Loan files with multiple documents, potentially from multiple sources


Yes, see above.

b. E-mail records with their attachments


Yes, see above.

7. Bulk Importing: Does the solution allow the bulk import of electronic records from other systems, including metadata and audit trail, and with the same edits that apply to on-line entry?


Bulk Declaration Service (BDS) API

The BDS API is available for the high performance, large volume ingestion of records into the IBM Solution. A primary use case for BDS is a large-scale migration and the conversion of records and content from existing records and content management systems into the IBM FileNet Content Manager repository.

BDS provides the following functions:

Bulk declaration of new physical records

Bulk declaration of new electronic records for existing documents in the IBM FileNet P8 content repository

Bulk creation of new documents in the IBM FileNet P8 content repository and optionally declaring them as records

8. Open Application Protocols: Does the tool support an open API?


Yes, the application supports open API as it was developed in a J2EE environment.

9. API Support: Please list all the APIs available for the solution.


All API information is available in the IBM Information center under “Developing IBM FileNet P8 Applications.” Please follow the link below: <Note: Please validate the web link below before reuse>

http://publib.boulder.ibm.com/infocenter/p8docs/v5r0m0/index.jsp?topic=/com.ibm.p8toc.doc/ic-homepage.html

10. SDK Toolkits: Does the solution have an SDK toolkit to create custom connectors to manage external repositories and process external data feeds.






Yes, IBM Content Integrator has a toolkit to create custom connectors. Please follow the link below: <Note: Please validate the web link below before reuse>

http://publib.boulder.ibm.com/infocenter/ce/v8r5/index.jsp

11. Enterprise Content Integration: Can the solution’s API provide the following services below programmatically?

<Note: Please customize the responses below as per project requirement>

a. Allow the creation of file plans?

Yes.

b. Enroll files in a file plan?

Yes.

c. List file plans?

Yes.

d. List the content enrolled in a file plan?

Yes.

e. Get file plan details?

Yes.

f. Can the solution send programmatic notification prior to content expiration?

Yes.

g. Can the solution send programmatic notification once content expires?

Yes.

12. Additional Functionality: Are there any other functions/considerations not covered above that you would like to highlight?


The IBM solution is very comprehensive and modular allowing the **CUSTOMER** to add other features as the business requirements arise. Other complimentary features include the Optim Data Archiving tools, Optim Test Data Management with data privacy and masking, and InfoSphere Discovery to understand data elements and create the complete business object.

In other complimentary areas, IBM has made significant investments in analytics, both in the unstructured and structured area. This allows for the creation of true business intelligence solutions by being able to analyze information (e.g., documents, emails, social media, and structured data) and make business decisions based on the value of the data. This plays very well with our Records Management systems to only capture and retain those business records that have true business purposes.

1. Affirm that your company can meet **CUSTOMER**’s insurance requirements for suppliers as defined in the insurance attachment to this RFX.


In response to this **CUSTOMER** Request For Proposal, dated <DD-MM-YY>, IBM's program licenses are proposed under the terms of the IBM International Program License Agreement, which is the base agreement for all one-time charge program licenses and is the current foundation of the commercial IBM International Passport Advantage Agreement (“IPLA”) (dated <DD-MM-YY>) and the Enterprise Software and Services Option (“PA”) (effective <DD-MM-YY>); IBM’s program maintenance is proposed under the IBM Agreement for the Acquisition of Software Maintenance (“IAAS”) which is also currently utilized by IBM and



Section 5: Supplier Profile

http://publib.boulder.ibm.com/infocenter/ce/v8r5/index.jsp

**CUSTOMER**; and IBM’s products and services are proposed under the terms of the IBM Customer Agreement (“ICA”) between IBM and **CUSTOMER** dated <DD-MM-YY>. For services, IBM is open to negotiate terms or conditions additional to or different from the terms in the ICA and this proposal in the event **CUSTOMER** believes the nature of this project requires adjusting the ICA's terms.

IBM does not agree to certain terms and conditions proposed in the RFX, and our failure to respond specifically to any term or condition should not necessarily be construed as acceptance of same. IBM does not agree that the RFX, this response, or any non-negotiated terms in any Purchase Order should be a part of the final contract between the parties.

Any exchange of confidential information between us shall be governed by the terms and conditions of the existing Agreement for Exchange of Confidential Information (AECI) between **CUSTOMER** and IBM, which was fully executed as of <DD-MM-YY>.

The information in this proposal shall not be disclosed outside the **CUSTOMER** and shall not be duplicated, used or disclosed in whole or in part for any purpose other than to evaluate the proposal, provided that if a contract is awarded to IBM as a result of or in connection with the submission of this proposal, **CUSTOMER** shall have the right to duplicate, use or disclose the information to the extent provided in the contract.

2. Submit verification of SAS 70 certification. If your company is not SAS 70 certified, explain reason in detail.


IBM has an extensive history of leadership in creating and leveraging IT standards and continues to be a significant sponsor and contributor to virtually all of them. IBM is also a founder of and participant in many strategic industry standards and forums. In addition to holding more than 160 business integration technology patents, IBM selectively contributes intellectual property to key standards organizations. We participate throughout the industry via our products and services as well as research and development. IBM also actively promotes and partners with others who support cross-industry standards. IBM responds to the following international IT standards and frameworks: ITIL, ISO 9001, ISO 14001, ISO 27001 (17799), ISO 20000, ISO 27001, COBIT, Six Sigma, Sarbanes-Oxley, SAS 70, and many others.

SAS 70 audits are performed on IBM's service delivery centers by our external SAS 70 auditors (PricewaterhouseCoopers). Where required, SAS 70s are done annually or are aligned to fiscal years for customers where we are the service provider.

3. Submit a profile of the individual who will be the major account executive responsible for the **CUSTOMER** relationship.

<Note: Please provide appropriate details as per project requirement>

4. Describe how the **CUSTOMER** relationship would be managed if your firm were selected as the successful supplier.


There is already a solid relationship between IBM and **CUSTOMER**. In particular, there are three aspects of this relationship that should be considered.

a. The overall relationship. IBM is a strategic partner to **CUSTOMER** across many aspects of information technology as well as the business. There is a senior executive aligned with **CUSTOMER** senior executives because of the strategic relationship.

b. The IBM dedicated account team. IBM provides X dedicated resources who act as **CUSTOMER**’s advocate within IBM.

<Note: Please provide appropriate details on IBM team members providing support to **CUSTOMER**>



c. Global Business Services (GBS). IBM's business and IT consultants. **CUSTOMER** has for many years partnered with the IBM GBS team for a variety of strategic projects. Such projects are in the Finance, Risk, Mergers and acquisitions the FMTS line of business.

In addition to the current support, an executive from the Information Life Cycle Governance Group will be assigned as an Executive Sponsor for **CUSTOMER**. This individual will have a stake in the success of your project and provide an escalation path (if it is ever needed) for the **CUSTOMER** executive team.

From the start of the implementation project for at least the first year, we recommend that **CUSTOMER** utilize IBM’s Accelerated Value Program. IBM Software Accelerated Value Program is a technical advisory service that assists clients to more efficiently accelerate from software purchase to software ROI. The Accelerated Value Program complements and enhances IBM's standard Subscription and Support by providing value through proactive services, preventative advice, risk management, knowledge sharing to manage gaps and real-time enterprise level problem management. The program has been designed to allow flexibility in the level of service needed to align with Client's critical business needs. For more information, go to: <Note: Please validate the web link before reuse>

http://www.ibm.com/software/support/acceleratedvalue/ .

The IBM Information Life Cycle Governance Group will also assign a Lab Advocate to help **CUSTOMER** to keep in touch with the technical direction of the IBM ERM product set. The Lab Advocate can meet regularly with key **CUSTOMER** technical staff to help provide product roadmap information, best practice guidance, as well as access to product management and development resources, if necessary.

IBM provides a variety of training options. We will work with **CUSTOMER** to help structure the most appropriate training program, and certifications for your internal developers, users and support team.

The IBM GBS team is also available to assist with the implementation of this solution. The team will be supplemented by ERM Lab Services specialists. Your IBM account team will of course be involved with this project on an almost daily basis to ensure the project is being smoothly and professionally executed.

5. In the event you are the successful supplier, each person involved in providing services to **CUSTOMER**, including employees, temporary staff, and subcontractors may be individually required to sign a confidentiality agreement. Indicate your acceptance of this requirement.


Please see our response in question 1 of this section.

6. In the event you are the successful supplier, you may be required to sign an agreement stating that you will refrain from hiring **CUSTOMER** personnel within a mutually agreeable timeframe. Indicate your acceptance of this requirement.


Please see our response in question 1 of this section. .

7. Provide a list of clients to whom you provide the products and/or services that are the same as or substantially similar to the products and/or services you are proposing to **CUSTOMER**. Include contact names and telephone numbers for each client.


8. Identify the largest client to whom you provide the products and or services that you propose to provide to **CUSTOMER**. Describe the magnitude of the relationship with such client and include a contact name and phone number for this client.




http://www.ibm.com/software/support/acceleratedvalue/

9. Identify several operational clients that are perceived to be most similar to **CUSTOMER** in terms of business requirements, geographic scope and volume. Include contact names and telephone numbers for each such client.


10. Indicate if your proposal was prepared in conjunction with any other company or individual. If so, please explain.


1. Name and describe the product(s) and/or services you are proposing and explain how they will meet the business requirements outlined in this RFX.


Overall, the IBM solution meets the business requirements via:

Providing global enterprise capable retention and hold policy management across all information (Atlas)

Providing execution of all aspects of records management policies/schedules against ECM content (IER, CFS, ICI)

Ability to identify and put disparate unstructured content under managed control into ECM (ICC, ICM)

<Note: Please modify the table below as per project requirement. Please validate the web links below before reuse>

IBM Enterprise Records (IER) – manages, executes and enforces the retention and disposition of records.

http://www-01.ibm.com/software/data/content- management/enterprise-records/

https://www-304.ibm.com/support/docview.wss? uid=swg27010387

http://publib.boulder.ibm.com/infocenter/p8docs/ v4r5m1/index.jsp?topic=%2Fcom.ibm.p8.doc%2Frm_help%2FIntroduction.htm

Content Federation Services (CFS) – provides the necessary integration between the Master Catalog/Index used by IER and the integration layer ICI.

http://www-01.ibm.com/software/data/content-management/filenet-content-manager/federation.html

IBM Content Integrator (ICI) – provides the SOA, ESB (Services Oriented Architecture, Enterprise Services Bus) integration layer necessary to support federation.

http://www-01.ibm.com/software/data/content-management/content-integrator/

IBM Content Integrator Connectors – provide the necessary integration via standard / open APIs to all federated repositories via ICI.

http://publib.boulder.ibm.com/infocenter/ce/v8r5/index.jsp?topic=/com.ibm.discovery.ci.product.doc/cdnov012.htm

IBM Content Collectors (ICC) – provide for the collection and movement to an appropriate IBM ECM repository of information/potential records from applications and repositories (i.e. File Shares, MS SharePoint) which are not acceptable

http://www-01.ibm.com/software/data/content-management/content-collector/



Section 6: Distinction – Business










http://publib.boulder.ibm.com/infocenter/p8docs/v4r5m1/index.jsp?topic=%2Fcom.ibm.p8.doc%2Frm_help%2FIntroduction.htm



https://www-304.ibm.com/support/docview.wss?uid=swg27010387

https://www-304.ibm.com/support/docview.wss?uid=swg27010387

http://www-01.ibm.com/software/data/content-management/enterprise-records/

http://www-01.ibm.com/software/data/content-management/enterprise-records/

for federation for security, control and expungement purposes.

IBM Classification Module (ICM) (Optional) – provides for automated contextual classification based upon Natural Language Processing and a Rules Engine. ICM also employs a statistical analysis tool to self-evaluate the accuracy of its classification decisions.

http://www-01.ibm.com/software/data/content-management/classification/

IBM’s Discovery for Legal – automates the holds, collection, and audit processes across Legal, IT, RIM and lines of business.

http://pss-systems.com/solutions/atlas-discovery-for-legal-features.html

IBM’s Discovery for IT – automates communication of discovery requirements and facts between IT and legal staff with automatic action item assignments, notifications, alerts, work planning and easy look-up of holds and collections.

http://pss-systems.com/solutions/atlas-discovery-for-it-features.html

IBM’s Enterprise Retention Management – maintains centralized retention control with localized responsibility, and manages a corporate taxonomy and library of retention, privacy and discovery laws.

http://pss-systems.com/solutions/enterprise-retention-management-features.html

IBM Retention Policy Federation Framework – is the user interface and framework that controls the retention policy federating process and communication between federated systems.

http://www-01.ibm.com/software/ecm/enterprise-records/features.html?S_CMP=rnav

IBM Atlas eDiscovery Policy Federation Framework and SDK – is the user interface and framework that defines and controls the eDiscovery federation process and communication between federated systems.

http://www-01.ibm.com/software/ecm/atlas-ediscovery/legal/

2. What distinguishes your product(s) and/or services(s) from those of your competitors?


Once your enterprise solution is deployed, it will be backed up by IBM’s world class 24x7 software support organization. IBM customer service is equipped to support the world’s largest global corporations. IBM customer service has a rich set of customer support services and solutions that will help you successfully deploy and support your enterprise search solution.

IBM Enterprise Records Management Solutions are the most widely used on <name of location>. The many reasons for this dominance are as follows:

An SOA (Services Orientated Architecture), ESB (Enterprise Services Bus) scalable, standards-based approach to Federation (manage-in-place via search, records management, etc.) via Content Federation Services



http://www-01.ibm.com/software/ecm/atlas-ediscovery/legal/%20%20

http://www-01.ibm.com/software/ecm/atlas-ediscovery/legal/%20%20











Capability to perform dynamic collection, declaration and classification of Records, as well as the application of Hold Orders via IBM Enterprise Records

The most extensive list of options for declaration/classification of Records (automated through to user-assisted) via IBM Enterprise Records and IBM Classification Technology

Proactive Enterprise capable file-share management via Content Assessment

Proven and tested scalability up to 10 million record declarations/classifications per day and 10 million records dispositioned per day

Consistently top-quartile annual ratings by industry analysts (Forrester and Gartner)

Proven ability in connecting the dots of software solution components with IBM Lab Services, IBM Business Consulting Services and IBM Business Partners

Full out-of-the box integration of **CUSTOMER** core components and optional components via IBM Content Federation Services, IBM Connectors and Collectors.

3. Will third party subcontractors (including any temporary resources) be used to perform any portion of the services requested herein? If so, populate the below table with the requested details for each third party that will be used.


a. How will you ensure that the subcontractors assigned have the necessary qualifications to perform their tasks?


b. How will the subcontractors’ performance be evaluated/measured?


4. Will any portion of the services performed directly by the employees of your own company be performed offshore*? If so, populate the below table with the requested details.

<Note: Please customize the table below as per project requirement>

Description of services/tasks your employees will perform

Offshore geographic location where services will be performed

There will be no portion of services to be performed offshore.

* NOTE: **CUSTOMER** defines “offshore” as a location outside the borders of the country in which the **CUSTOMER** entity requesting the services is located.

5. Describe the amount, nature and location of training you propose to provide to **CUSTOMER** staff.


IBM ECM Education offers a variety of classes in several different delivery methods to meet the enablement needs of our customers. Training courses are role-based to provide System Administrators, Developers and Solution Builders, Business Analysts, Legal and Compliance Personnel and others working with IBM ECM technology the knowledge and skills they need to maximize the effectiveness of the system.

<Note: Please provide appropriate training plan as per project requirement>

To meet the varying needs of our customer base, IBM ECM Education offerings are delivered in as many as three different formats.

Instructor Led Classroom Training (ILT)



For students who prefer being in the same room as their instructor and other students, ILT is the best option. IBM expert instructors guide you through the class material and observe you as you perform the assigned hands-on lab exercises. ILT provides a rich learning environment as it allows you to interact with others in a face-to-face manner. Additionally, printed student manuals and classroom equipment are provided. Long the standard for IBM ECM training, we have hosted thousands of students in our classrooms. For customers with larger audiences, instructor-led training can also be conducted in private, on-site engagements.

Instructor Led Online (ILO)

For students who lack the funding or desire to travel to one of our training facilities, an ILO class may be the best option. Access to live instructors, other students, hands-on lab exercises and full course content is included. Students log into the virtual classroom and join their instructor and fellow students over the web. The instructor guides students through the course content and shadows individual students during their lab exercises. Students have the ability to interact with each other via chat. ILO provides you with the benefits of the classroom without the cost and hassle associated with travel.

ECM Self-Paced Virtual Training

For students who prefer self-paced learning or for those with schedules that do not permit multiple consecutive days away from one’s primary job responsibilities, ECM Self-Paced Virtual Training is your best option. ECM Self-Paced Virtual courses include the same course content and hands-on labs as ILT and ILO. However, classes are not scheduled and you do not need to travel to an authorized IBM training facility. The course materials, video demonstrations narrated by our classroom Instructors, and interactive exercises are all integrated into one easy-to-use interface. You perform hands-on lab exercises on the same fully functional system as our ILT and ILO courses with click-by-click instructions. With ECM Self-Paced Virtual Training, you decide when you want to study, for how long, and at your preferred pace.

6. Describe the training materials and documentation you would provide (e.g., user manuals, etc.), and submit current copies of each.


IBM ECM Education course materials consist of a Student Guide (lecture material, or textbook) and a laboratory manual which provides instructions for the hands-on lab exercise portion of the course at hand. Students in Instructor-Led sessions are licensed for and provided with one hard copy of each document at the time of course delivery. Students in ILO and SPVC courses are licensed for one copy of each document in soft copy format. Examples of course materials can be provided upon request.

7. Describe your support structure for the product(s) and/or service(s) after implementation.


The IBM software support organization is a global network of centers with expertise across our broad product portfolio. The organization is made up of teams of individuals that work together to provide you with the responsive software support that you require. Our worldwide centers are structured to provide you with local language access in most major countries and with the skills to help you identify the source of your problem amongst the products for which you have purchased support. For complex problems, we have specialized, skilled product teams with access to the experts in our Development Laboratories, as required. Therefore, you have access to the right level of IBM expertise when you need it – no matter where they are located.

The people of our software support organizations are highly skilled, motivated, energetic, and are eager to solve your software problems or answer your questions. Our goal is to ensure your satisfaction each time you need to call on us for support by:

Responding to your calls within targeted guidelines



Providing ongoing communication regarding your problem status through problem resolution

Taking ownership of your call for support

Providing a defined escalation process when management assistance is needed

Maintaining our commitment to continuous improvement of our service processes

All IBM software products include 7x24 support as long as they are kept under maintenance. A year's worth of maintenance is included with each newly licensed product. Standard support can be accessed via the web or a toll free 800 number. Callers may receive a live transfer to a product specialist or a call back within a few hours, depending on the severity assigned by the customer caller. Escalation of critical problems to a duty manager or to the IBM client support team is appropriate if customers believe that severe problems need more focus for resolution.

Accessing Software Support

When calling or submitting a problem to IBM Software Support about a particular service request, please have the following information ready:

IBM Customer Number

The machine type/model/serial number (for Software Maintenance calls)

Company name

Contact name

Preferred means of contact (voice or email)

Telephone number where you can be reached if request is voice

Related product and version information

Related operating system and database information

Detailed description of the issue

Severity of the issue in relationship to the impact of it on your business needs

Internet Access

Through the electronic problem submission Web site(s), you may post support questions electronically to the same support specialists who staff IBM telephone support lines. Prior to submitting a problem via the Internet you will need the same information as if you were placing a problem by telephone. This capability allows you to put all of the pertinent information about your problem into the problem record via the Internet without having to wait for someone to call you back. This should save you time and help with problem resolution time.

When you contact software support to report a problem or update/get status on a problem, your request will be routed to a software support specialist. IBM's goal is to return your call within X business hours during prime shift, and within X hours during off shift hours for critical problems.

Severity Levels

Severity 1 – Critical Situation/System Down: Business critical software component is inoperable or critical interface has failed. This indicates you are unable to use the program resulting in a critical impact on operations. This condition requires an immediate solution.

Severity 2 – Severe impact; A software component is severely restricted in its use, causing significant business impact. This indicates the program is usable but is severely limited.



Severity 3 – Moderate impact; A noncritical software component is malfunctioning, causing moderate business impact. This indicates the program is usable with less significant features.

Severity 4 – Minimal impact; A noncritical software component is malfunctioning, causing minimal impact or a nontechnical request is made.

Additional information can be found in the Software Support Handbook: <Note: Please validate the web link below before reuse>

http://www-304.ibm.com/webapp/set2/sas/f/handbook/home.html

8. Describe your company’s procedures for problem resolution including the escalation process for resolution of problems that are not resolved by the initial resolution attempt(s).


We believe IBM Support is "Best of Breed." If at any point in our service process, you feel we are not meeting our commitments to you, you may call our attention to this problem by doing one or all of the following:

a. Be certain to explain the business impact of your problem to the service representative

b. Raise the Severity Level of the problem

c. Ask to speak to the person's manager – Escalations to an IBM manager will receive prompt attention and management focus.

d. Ask for a "Duty Manager" – The Duty Manager or field manager will work with our technical staff to ensure your request is being handled appropriately.

e. Escalate by opening a Complaint or nominate as a Critical Situation or ("Crit Sit"), if warranted

Severity Levels

Severity 1 – Critical Situation/System Down: Business critical software component is inoperable or critical interface has failed. This indicates you are unable to use the program resulting in a critical impact on operations. This condition requires an immediate solution.

Severity 2 – Severe impact: A software component is severely restricted in its use, causing significant business impact. This indicates the program is usable but is severely limited.

Severity 3 – Moderate impact: A noncritical software component is malfunctioning, causing moderate business impact. This indicates the program is usable with less significant features.

Severity 4 – Minimal impact: A noncritical software component is malfunctioning, causing minimal impact or a nontechnical request is made.

9. Please describe any formal quality improvement process in place for your product(s) and/or service(s).


IBM has an overriding commitment to the quality of the products, solutions, and services we provide to our customers; quality is recognized as a fundamental component of the value that **CUSTOMER** will receive from IBM. IBM leaders are responsible for establishing objectives and using measurements to drive continual improvement in quality and in customer satisfaction, and our personnel are expected to contribute to continuous improvement as an integral part of our Quality Management System. The roots of this system can be found in well-recognized quality approaches, including Malcolm Baldridge National Quality Award, Six Sigma, and the SEI Capability Maturity Model. Each of the programs has dedicated resources with operating budgets and full management support.



http://www-304.ibm.com/webapp/set2/sas/f/handbook/home.html

IBM has a Global ISO 9001: 2000 registration, Certificate Number 82346, granted from a third party registrar, Bureau Veritas Quality International (BVQi). The certified Quality Management System is structured with a Global Quality Framework which applies to IBM worldwide for organizations that develop, market, and produce hardware, software, services, and solutions using IBM Corporate processes. This framework is designed with a tiered approach, with responsibility for setting Quality Policy and direction residing at IBM’s corporate level and responsibility for development and implementation of specific quality and environmental programs, and ISO certifications residing at the business unit (group) and location level.

IBM Global Services has multiple ISO 9001:2000 certificates that vary by geographical region. These certificates include strategic outsourcing, installation, maintenance and repair services of IBM and OEM hardware products and support for IBM help desk services. This Quality Management System provides a common approach to quality management.

The quality of our services is measured in several ways: through specific certifications of those in leadership roles, through our internal QA processes, and through our extensive customer satisfaction programs. The Customer Satisfaction programs facilitate data collection through specific transaction based customer surveys, customer relationship surveys, proactive customer interactions, user conferences and a complaint management system. All of these programs are designed to ensure that IBM delivers a consistent level of quality.

10. Provide any additional information or alternative solutions or suggestions that you believe further explain your proposal or better meet **CUSTOMER**’s business requirements.


IBM has answered the RFX with what we believe are the best of breed products designed to solve customer’s record management challenges.

1. What are the equipment requirements and specifications for your solution?


Please see Appendix A: P8 5.0 Hardware and Software Requirements.

2. What is the minimum recommended hardware requirement for the server platforms (e.g., RAM, disk storage capacity, processor speed, etc.)?


Please see Appendix A: P8 5.0 Hardware and Software Requirements.

3. How many releases of the software that your company is proposing to provide to **CUSTOMER** have been made available to customers since its initial development? What were the release dates and what was the nature of the releases?


The IBM Software Support Lifecycle policy specifies the length of time support will be available for IBM software from when the product is available for purchase to the time the product is no longer supported. IBM software customers can use this site to track how long their version and release of a particular IBM software product will be supported. Using the information on this site, customers will be able to effectively plan their software investment without any gaps in support.

For specific IBM software lifecycle information, please visit the following website: <Note: Please validate the web link below before reuse>

http://www-01.ibm.com/software/support/lifecycle/

<Note: Please modify the table below as per project requirement>



Section 7: Distinction – Technical

http://www-01.ibm.com/software/support/lifecycle/

Product Release

Announcement Date

Objective for Release

IBM Enterprise Records V4.5.1 <DD-MM-YY> Improved scalability Improved performance, especially

for record declarations Enhanced search Improved batch handling of record

actions Improved volume management Support for FIPS140-2

(IBM InfoSphere Enterprise Records)

V4.5.0 <DD-MM-YY> Support version 2 of DOD 5015 standard including new functionality such as Transfer

Capability to perform auto-destroy for improved disposition performance

Improved CBR support for dynamic holds

Support container managed authentication

(P8 Records Manager) V4.0 <DD-MM-YY> Support the new P8 4.0 platform Add Bulk Declaration Service for

improved performance Improved Disposition Sweep

functionality and performance Add capability to specify Export

scope in file plan import/export tool

V3.7 <DD-MM-YY> Add functionality to support re-certification of DOD 5015

Support and certify optional DOD 5015 requirements for handling classified records

V3.5.1 <DD-MM-YY> Add support for re-import option in the File Plan Import/Export Tool

Support for disabling records security proxy

Alternate Retention support Add dynamic holds and dynamic

hold sweep Improved integration with

Workplace client

V3.5.0 <DD-MM-YY> Support P8 3.5 platform File Plan Import/Export capability Added support for P8 logging Improved Disposition Transcript



Product Release

Announcement Date


Improved Globalization support Support for records management

of Image Services federated documents

V3.0 <DD-MM-YY> Initial records product release for P8 platform

Support DOD 5015 standard

IBM P8 Content Manager

V5.0 <DD-MM-YY> Content Management Interoperability Services (CMIS) support

IBM Content Search Services Content Federation Services

(CFS) "move content" New licensing options DB2 available as non-chargeable

component WebSphere Application Server

available as non-chargeable component

Improved consumability Platform support extended

V4.5.1 <DD-MM-YY> Improved consumability for installation and upgrades

Improved consumability for application deployment

Expanded platform support Additional general consumability

improvements

V4.5.0 <DD-MM-YY> Updated Workplace XT Web client for rapid deployment; integration with the Microsoft Office 2007 suite

Enhanced support for XML content and integration services for XML authoring tools that support advanced use cases such as technical documentation publishing (conforming to DITA standard)

Ability to actively manage content across the enterprise regardless of what repository it resides

Free limited use licenses for WebSphere Application Server V6.1 and DB2 Workgroup Server



Product Release

Announcement Date


Edition V9.5 database software Common metadata model that

provides a comprehensive and streamlined search, re-purposing and application development environment

Complete audit trails to meet regulatory mandates

V4.0 <DD-MM-YY> Content Engine Content Engine now runs on a

J2EE application server on Windows or UNIX using JDBC interfaces as its data provider.

Content Engine can be deployed across application servers via an enterprise archive file.

The Global Configuration Database (GCD) was moved from being locally stored to being stored in the Content Engine database.

The Content Engine content cache can now be shared among several Content Engine servers by using a networked file share.

Integrated Java Authentication and Authorization (JAAS) framework for authentication and single sign-on.

WebDAV provider in the CE is now Java-based and resides on the AE host.

Silent installations of FileNet P8 components now supported.

Version skipping, as well as rolling upgrades, are both supported.

All logins are done through Java Authentication and Authorization Service (JAAS), allowing leveraging of SSO solutions.

Support for compound documents Authorization in FileNet P8

Platform is provided by the following supported directory servers:

Microsoft Windows Active Directory – now supporting multi-forest authentication



Product Release

Announcement Date


Novell eDirectory

Sun Java System Directory Server

IBM Tivoli Directory Server Multiple instances of P8 can now

be administered from one instance of the FileNet Enterprise Manager.

Enhanced content cache areas including: shared cache, security settings, disk space management, and preloading of content when created.

Process Engine Process Engine authentication is

now provided by the Content Engine.

For performance reasons, PE has been re-architected using CORBA ORB for communications between the PE API and the PE server, and between the PE server and the CE server.

Process Engine servers can run with a load balancer in a farmed environment to increase processing capacity and achieve high availability performance.

V 3.5.2 <DD-MM-YY> Application Engine New action and new step in the

entry template process in support of Records Manager 3.5.1

Content Engine Introduces support for:

Records Manager 3.5.1

Content Federation Services for Content Services and non-FileNet Repositories 3.5.1

Introduces support for:

Oracle 9.2.0.7 database engine

Oracle 10g R2 database engine (as of fix pack P8CE-3.5.2-005)

IBM DB2 Universal Database 8.1 Fix Pack 12 (as of FileNet



Product Release

Announcement Date


Fix Pack P8CE-3.5.2-001) Introduces sub-folder performance

enhancements, primarily for Records Manager 3.5.1 and FileNet eMail Capture 4.1.0

Introduces a Windows Registry setting to specify a particular Object Store Service for use by COM clients

Enables multiple file stores to be associated with a single storage policy

Sets the Service Principal Name (SPN) to enable Kerberos .NET Web Services clients

Provides a Content Engine Setup flag to install to drives other than c:\

Process Engine

New support for: Oracle 10g R2 database engine

(as of service pack P8PE-3.5.3) IBM AIX 5.3 IBM DB2 (remote) on Solaris FileNet Image Services 4.0.40

V3.5.1 <DD-MM-YY> Content Engine

Added support for: Additional database Fixed store devices Customer-drive authentication

mechanisms Storage policy objects Setting minimum, maximum, and

default retention period values for SnapLock and Hitachi Data Systems fixed content devices

Improved the import and export of large object stores

Custom Object Class

Process Engine Rule sets with longer execution

times can now be executed asynchronously in the background

Updated/modified commands to the vwtool utility



Product Release

Announcement Date


V3.5.0 <DD-MM-YY> Cross-Component Improved high availability support

for co-location of Process Engine and Content Engine

Improved File Store shared folder security

Improved installation and upgrade process

Application Engine Process Task Manager

enhancements Platform support for:

Oracle Application Server support

Sun Java Application Server support

Linux/JBoss support

Content Engine Localization support Platform support for:

DB2

CE/PE shared Oracle database

NetApp SnapLock as Fixed file stores

FileNet P8 Content Federation Services for Image Services (CFS-IS)

Process Engine Use of private JRE Platform support for:

DB2

CE/PE shared Oracle database

V3.0 <DD-MM-YY> Cross Component Features Netegrity Integration to support

SOO Novell eDirectory Support LDAP multi-domain support Installation/Silent Installation

support Upgrade support JBoss support

Content Engine



Product Release

Announcement Date


CE Auditing Cross OS references CE Import/Export API CE EMC Centera Integration

Process Engine Workflow inheritance Process Designer palette

unification Workflow content association UTF8 Support API Enhancements Configuration import/export

V2.0.1 <DD-MM-YY> Platform support:

Oracle 9i support

WebSphere 4.x

WebSphere 5.x Expanded LDAP support for:

SUN ONE Directory Server

Microsoft Active Directory Windows Domain Controller no

longer installation pre-req Upgrade support from 2.0.0 to

2.0.1

V2.0 <DD-MM-YY> Full text search integration (Verity) Crawlable CE Search by object class Search for folders and custom

objects Entry templates Document approval workflows Custom object support Process component integrator EJB support BEA Portal Integration Explicit object locking Expanded platform support:

AE – Solaris, Windows, WebSphere, WebLogic

PE – Solaris, Windows

CE – Windows

DB – Oracle on Solaris; SQL



Product Release

Announcement Date


Server on Windows

Remove IIS dependency on CE

IBM P8 BPM V5.0 <DD-MM-YY> IBM FileNet Business Process Manager V5.0 enables improved case management outcomes and agile Enterprise Content Management by delivering comprehensive content and content-centric business process management capabilities to address the creation, management, and optimization of unstructured content, related business processes, and user interfaces. The IBM solution will use the underlying BPM for the processing of Records Management functions, such as records declaration and disposition. This solution integrates seamlessly with the IBM Lombardi BPM suite.

V4.5.1 <DD-MM-YY> IBM FileNet Business Process Manager V4.5.1 enables Agile Enterprise Content Management (ECM) by delivering comprehensive content and business process management capabilities to address the creation, management, and optimization of unstructured content, related business processes, and user interfaces.

V4.5.0 <DD-MM-YY> Comprehensive BPM suite with enhanced, integrated tools and capabilities to support full process improvement lifecycle, including process design, simulation, and analytics.

New process design and user interface layout tools to empower business users to participate in the modeling and design of process applications.

Intuitive, enhanced interface for business and IT users by simplifying access to BPM tools, adding new capabilities to Process Designer, enhancing usability and access to process configuration.

Web 2.0 components to accelerate building extensible and



Product Release

Announcement Date


configurable BPM solutions by providing standards-based mash-ups framework and widgets.

Integration with multiple repositories to manage and leverage unstructured content as part of process management, including IBM Content Manager V8 (CM8) and IBM FileNet Content Manager V4.5.

Better product consumability with improvements for installation, upgrade, and deployment.

Bundling of IBM DB2 DMBS and WebSphere Application Server; includes free licenses for use within P8 CM and BPM solutions.

V4.0 <DD-MM-YY> See Content Manager V4.0 above.

V 3.5.2 <DD-MM-YY> See Content Manager V3.5.2 above.

V3.5.1 <DD-MM-YY> See Content Manager V3.5.1 above.


V3.0 <DD-MM-YY> See Content Manager V3.0 above.


ICC for Files V2.2 <DD-MM-YY> Improved file and mail system connector capabilities

Improved monitoring Enhanced system resiliency and

management features

V2.1.1 <DD-MM-YY> Expanded connector support Improved de-duplication P8/CM8 repository support Integration with eDM/eDA Integration with IBM Enterprise

Records

V2.1 <DD-MM-YY> First integrated release: Enables content collection and

archiving solution Based on a modular, extensible

architecture

ICC for SharePoint V2.2 <DD-MM-YY> Improved SharePoint connectivity and capabilities

Improved monitoring



Product Release

Announcement Date


Enhanced system resiliency and management features

V2.1.1 <DD-MM-YY> Expanded connector support Improved de-duplication P8/CM8 repository support Integration with eDM/eDA Integration with IBM Enterprise

Records

V2.1 <DD-MM-YY> First integrated release: Enables content collection and

archiving solution Based on a modular, extensible

architecture

IBM eDiscovery Manager

V2.2 <DD-MM-YY> Case support Enhanced security and viewing

capabilities Improved administration Improved export capabilities

V2.1.1 <DD-MM-YY> Scheduling support for search Granular hold management Improved auditing XML export

V2.1 <DD-MM-YY> Search, cull, hold, and export case-relevant e-mail, with easy-to-use Web-based user interface

Manage e-mail litigation holds with out-of-the-box native hold capability and works with IBM market-leading records management offerings

Create new or work on existing cases and save searches so you share with authorized users to increase user productivity

Audit track and keep a chain of custody of the operations it performs from searching, culling, holding to export

Export case-relevant e-mail in Microsoft Exchange and Lotus Domino formats for further detailed review

IBM eDiscovery Analyzer

V2.2 <DD-MM-YY> Case support including search Enhanced security



Product Release

Announcement Date


Improved visualization options Expanded scalability

V2.1.1 <DD-MM-YY> Scheduling support for search Granular hold management Improved auditing XML export

V2.1 <DD-MM-YY> Open, unstructured information management architecture-based search and text analytics capabilities, including entity extraction, faceted navigation, conceptual search, time-series analysis, and more

Auto-categorization of case information by concepts such as phrases, senders and recipients, people and companies mentioned, intercompany and intra-company traffic, and other entities

Advanced search capabilities, including support for Boolean, proximity, fielded, fuzzy, stemmed, and wildcard searches

Flagging of individual e-mails, multiple e-mails, or an entire result, and removal of "false positives"

Audit trail and chain of custody, and a privilege model for case access, to enable clients to ensure security, auditability, and defensibility

Easy-to-use, Web 2.0-based user interface requiring minimal user training

Atlas Suite V6.0 <DD-MM-YY> Enhanced legal hold management capabilities

Enhanced end-user experience with one click hold notice creation

Enhanced capabilities to manage and monitor exception and process management

Enhanced recipient experience with global reminders

Optional Add-Ons include:

IBM Classification V8.7 <DD-MM-YY> Extension of the Classification



Product Release

Announcement Date


Module Center application to support the classification and review of content residing in IBM Content Manager (CM8) and on file systems

Full support of regular expression syntax for enhanced pattern matching and extraction

Support for improved integration with IBM Content Collector, unlocking the full power of the InfoSphere Classification Module analysis methods

Get started faster with sample projects and tutorials

Customized classification method with a new API callout for adding your own classification methods and external validations

V8.6 <DD-MM-YY> Improved handling of e-mail and e-mail attachments, including those formats required by an integration to IBM Content Collector for classification of e-mail during archiving

Improved rule-based classification capabilities to provide high levels of accuracy through automation

Direct integration to IBM FileNet Records Manager for automatic declaration of records using IBM Classification Module

Improved administration capabilities to better track and audit the use of real-time feedback for teaching the system

V8.5 <DD-MM-YY> Automate the process of classifying your content, lifting a burden from your employees and subject matter experts across the enterprise

Save your end users time by making your content easier to find and reuse

Reduce risk by accurately classifying records

Accelerate the rate at which content is brought under



Product Release

Announcement Date


management control Integrated with IBM FileNet P8

platform for easy deployment

IBM Content Analytics V2.2 <DD-MM-YY> Visualizations in Content Analytics Text Miner

Connections view links highly correlated terms to one another

Dashboard view to see one or more analytics views in a single window

Dynamic facet creation

Pluggable analytics UI for adding custom views

Easier integration with Cognos Business Intelligence reports and models

Rapid generation of Business Intelligence reports from the Text Miner interface

Tighter integration with Cognos data models

Cognos reports can link to and from Content Analytics Text Miner interface

Enhanced analytics tools for solution development

Tighter integration with LanguageWare Resource Workbench

Ability to auto-detect and add new language models

Programmatic Representational State Transfer (REST) API to facilitate solution integration into applications

Document analysis support

Easily import Comma Separated Values (CSV) files for quick document analysis

Ability to collect file metadata to automatically create facets based on file extension, file size, and last modified date

Can flag documents (such as latest or obsolete)



Product Release

Announcement Date


Has detection capabilities for near duplicates to eliminate redundancy

Ability to crawl and analyze content from IBM Case Manager for historical case analysis

Can support Linux on System z to analyze documents residing on file shares, in databases or on the Internet

V2.1 <DD-MM-YY> Discover: Automate discovery, enabling users to identify all relevant content from a wide range of sources by crawling key words or phrases.

Visualize: Explore relationships within unstructured content, surface anomalies, and navigation identified in 2D heat-maps of correlations.

Refine: Continuous refinement of content to provide business context, which leverages semantic and faceted search technologies.

Deliver: New insights on correlations between content sources are delivered to business users, applications, or business processes and convert that insight into active, focused decision making.

4. Please provide a roadmap for future enhancements including timing and a brief description of the enhancement.


A product roadmap discussion can be arranged with the appropriate NDA in place.

5. Describe how the software that your company is proposing to provide would interact with **CUSTOMER**’s existing system.


As mentioned in System Integration and APIs, by using Federated Records Services, the IBM Solution leverages IBM technologies to manage and provide access to records stored in other repositories.



6. Describe the database technology used throughout your product.


The IBM solution can be deployed using the following databases:

IBM DB2 version 9.5.or above

Oracle version 11g R1 or R2

Microsoft SQL Server 2008 base or 2008 R2

7. Describe any third-party reporting packages that can be used with your product.


The IBM solution supports the use of Crystal Reports Server 2008 for the creation of additional record management reports.

8. Describe the system documentation and technical reference materials that you would provide to **CUSTOMER** and submit current copies of each.


The material available from IBM is extensive and exhaustive. IBM provides all of the solution documentation with the product and on the web. <Note: Please validate the web link below before reuse>


9. In what language is your source code written?


It is not IBM's practice to provide source code of generally available IBM programs to its customers. IBM licensed programs are important intellectual property assets of IBM. Source code is considered by the IBM Corporation to be a valuable intellectual property and is therefore part of their assets which remain under the control of the company or, in the event of any possible liquidation, a receiver for the benefit of all shareholders or creditors.

10. Who is the escrow agent for your source code?


As a matter of its worldwide policy, IBM does not agree to escrow requests for the source code of any of its licensed Programs. IBM licensed Programs are important intellectual property assets of IBM.

11. Provide a copy of your standard software license agreement.

<Note: Please provide appropriate software license agreement as per project requirement>

12. Provide any additional information that you believe responds to or further explains your proposed solution to **CUSTOMER**’s requirements.


IBM is unique in the Enterprise Content Management (ECM) Marketplace as it is the only solution provide which is capable of address all of **CUSTOMER** content management, records management, archiving, supervision, enterprise search, federation (including structured data and competitor repositories in-place) and storage cost reduction initiatives with a fully integrated extensible OOTB suite of products, which have been proposed to **CUSTOMER** for these initiatives.





13. Provide any additional information not already discussed that distinguishes your technical capabilities from that of your competitors.


IBM Enterprise Records (IER) is an open system architected, tested, tried, proven, scalable solution. IER is platform independent and based upon multiple operating systems, databases, hardware platforms and supports over 600 different storage solutions.

IER supports dynamic Alternate Retention, simplifying for records and policy administrators. The number of retention rules required to meet complex differentiated retention requirements across the same or similar records across different jurisdictions.

IBM also provide Dynamic Hold capabilities, expediting records and legal efficiencies for ensuring relevant records in scope are placed on legal hold and cannot be disposed or altered. Dynamic Holds allow for the definition of the hold criteria once, and then to be automatically applied on a regular basis going forward, as new records are ingested/created and are relevant.

The IBM solution for all ECM content is unique in the enterprise federation capabilities provided, allowing the leverage, re-purpose and application of policies against content in a range of repositories. Manage-in-place is the most effective method to provide enterprise governance without having to significantly change existing systems, processes, and user experiences.

<Note: Please provide appropriate pricing details as per project requirement>

<Note: Please modify the file below as per project requirement>

See also: <Note: Please validate the web link below before reuse>

https://www-304.ibm.com/support/docview.wss?rs=3278&uid=swg27013654&S_CMP=rnav



Section 8: PricingAppendix A: P8 5.0 Hardware and Software Requirements

https://www-304.ibm.com/support/docview.wss?rs=3278&uid=swg27013654&S_CMP=rnav

Disclosure StatementThe information in this proposal shall not be disclosed outside **CUSTOMER** organization and shall not be duplicated, used or disclosed in whole or in part for any purpose other than to evaluate the proposal, provided that if a contract is awarded to IBM as a result of or in connection with the submission of this proposal, **CUSTOMER** shall have the right to duplicate, use or disclose the information to the extent provided in the contract. This restriction does not limit the right of **CUSTOMER** to use information contained in the proposal if it is obtained from another source without restriction.

IBM's products and services are proposed under the terms of the IBM Customer Agreement.

The IBM home page can be found at: http://www.ibm.com.



http://www.ibm.com/

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