UNIVERSITY OF CONNECTICUT

RFP TL040519 Schedule 5 Statement of Work

1

Table of Contents I. Background ............................................................................................................................................................................ 2

II. Purpose ................................................................................................................................................................................. 2

III. Goals and Deliverables ...................................................................................................................................................... 2

A. Deliverables: ...................................................................................................................................................................... 2

B. IBM Collocation Policy: ...................................................................................................................................................... 2

IV. Assumptions ...................................................................................................................................................................... 3

V. Description of Services .......................................................................................................................................................... 3

VI. Technical Skills ................................................................................................................................................................... 4

VII. Project Plan and Timeline .................................................................................................................................................. 4

VIII. UConn Team ...................................................................................................................................................................... 4

IX. Appendix A – FileNet Software Versions ........................................................................................................................... 5

X. Appendix B – Datacap Software Versions ............................................................................................................................. 7

XI. Appendix C – Servers ......................................................................................................................................................... 7

FileNet Servers .......................................................................................................................................................................... 7

Datacap Servers ......................................................................................................................................................................... 7

XII. Appendix D - Connection Strings ....................................................................................................................................... 8

XIII. Appendix E - Data Model ................................................................................................................................................... 9

A. Security .............................................................................................................................................................................. 9

XIV. Appendix F - Architecture Diagrams – Current Systems ................................................................................................. 10

FileNet Environments - ............................................................................................................................................................ 10

Datacap Environments – ......................................................................................................................................................... 12

XV. Appendix G - FileNet CPE 5.5.1 – Known Issues .............................................................................................................. 15

XVI. Appendix H. Single Sign On - flow diagram ..................................................................................................................... 17

XVII. Appendix I – Additional FileNet Information .................................................................................................................. 18

XVIII. Appendix J. – Datacap Applications ................................................................................................................................ 19

2

I. Background The FileNet Enterprise Content Management (ECM) implementation includes approximately 30 business units throughout the University of Connecticut that provide administrative and academic functions. There are several infrastructure initiatives scheduled that affect FileNet. Oracle database upgrades, a move from AIX to Linux, and end-of-life announcements are some of the key drivers for the FileNet, IBM Content Navigator, and Datacap upgrades. Currently there is a knowledge gap for the upgrade process. A component of this RFP is knowledge transfer. Through observation, documentation, and knowledge transfer it is the University’s desire to acquire the ability to perform future upgrades.

II. Purpose This Statement of Work applies to the FileNet/ICN/Datacap software upgrade project. There are several key drivers for this engagement:

UConn needs to move applications off AIX to Linux

UConn needs to complete the Oracle upgrade to 12c across all enterprise applications

IBM FileNet Content Platform Engine version 5.2.1 end-of-life announcement

A reconfiguration of the IBM Content Navigator UI on WebSphere in order to be compliant with the IBM ICN supported configuration

Datacap scan stations will need to be configured on Windows 10

III. Goals and Deliverables It is the University’s expectation to leverage the expertise and experience of the consultant to improve the FileNet configuration and implement best practices.

A. Deliverables:

1. Install / upgrade FileNet CPE v5.2.1 to 5.5.x in 3 environments (Development, Stage, and Production) on a Linux (Red Hat Enterprise v7.6) platform

2. Migrate existing data and documents from AIX to Linux in 3 environments (Development, Stage, and Production) 3. Install / upgrade and configure WebSphere from 8.5.5 to 9.0.x. in 3 environments (Development, Stage, and

Production) on a Linux platform and maintain current system functionality such as SSO and other configurations 4. Install / upgrade current version of IBM Content Navigator (3.0.x) in its own WebSphere server instance (see IBM

documentation below under IBM Collocation Policy) in 3 environments (Development, Stage, and Production) 5. Install / upgrade current version of Datacap (9.1.x) in 3 environments (Development, Stage, and Production) 6. Reconfigure the Datacap development environment to use Oracle instead of Microsoft Access 7. Install and implement current version of Datacap Navigator in 3 environments (Development, Stage, and

Production) 8. Knowledge Transfer of the upgrade, installation, and configuration including steps and explanations

B. IBM Collocation Policy:

https://www.ibm.com/support/knowledgecenter/en/SSEUEX_2.0.3/com.ibm.installingeuc.doc/eucpl006.htm

3

Collocating IBM Content Navigator with other applications

IBM Content Navigator must be deployed in its own application server instance (that is, deployed into a single JVM). For example, if you are running IBM WebSphere Application Server, you deploy IBM Content Navigator into the application server that is running within a profile. No other Java EE applications can be deployed within this application server instance. However, other Java EE applications can be deployed in their own application server instances within a profile if the server is sized appropriately.

IV. Assumptions It is the expectation of this engagement that all systems function as expected, and that configurations, security, and functionality remain intact.

UConn Responsibilities:

a. Linux O/S will be installed at current levels – Red Hat Enterprise v7.6 b. Java will be installed at current (and compatible) levels c. Oracle 12c will be installed d. Oracle databases reside on Exadata e. Additional servers will be configured with prerequisite software f. Required access will be established (Affiliate NetIDs, VPN, firewall rules, etc.) g. FileNet and Datacap (latest version) software package downloads from IBM Passport Advantage h. Create documentation based on vendor knowledge transfer information i. Install FileNet Deployment Manager 5.5.x and verify that it works as expected j. Perform regression testing on all applications in all environments k. Identify and discuss required custom application changes due to deprecated APIs and functions l. Discuss (with the vendor) implementation of the Navigator Integration with Microsoft Office plug-in

Vendor Responsibilities: It is our expectation that the vendor will complete all items in Section III. A – Goals and Deliverables.

a. Verify all systems function as expected b. Verify data model, security, and configurations are intact and function as expected c. Verify document entry templates and search templates function as expected d. Verify the Datacap applications’ compatibility with the upgraded version and function as expected (owing to

deprecated actions)

V. Description of Services The University of Connecticut IT staff will rely on the expertise of the vendor to perform all tasks required to meet the goals and deliverables of this engagement. We are requesting a description of the approach, work breakdown, and details for the Scope of Services. Note: All installations, configurations, and upgrades must be performed in 3 environments (Development, Stage, and Production)

4

VI. Technical Skills The University expects the ECM consultant to have the following skills.

a. WebSphere b. AIX, Linux (Red Hat 7.6) and Windows 2012 R2 Standard Edition, Windows 10 c. Oracle 12c (knowledge of connectivity and configuration) d. ECM - FileNet 5.2.1, 5.5.x, ICN 2.0.3, 3.0.x & Datacap 9.0, 9.1.x e. ECM FileNet suite Installation and upgrade/fix pack installation, Configuration and Administration of content

Engine, Process Engine, IBM Content Navigator ICN , Content Platform Engine CPE , Content Search Services CSS

f. Datacap - Installation, upgrade, and fix pack installation, configuration, application development, etc. g. FileNet Architecture – best practices h. Knowledge and experience with SSO and FileNet CPE

VII. Project Plan and Timeline

A detailed project plan will be created as a collaborative effort with UConn and the ECM Consultant. An agreement from both UConn and the vendor will need to occur.

VIII. UConn Team The University team will consist of the following:

AIX and Linux System Administrator FileNet Administrator Datacap Administrator Database Administrator ECM Manager Windows System Administrator

5

IX. Appendix A – FileNet Software Versions

Product Current Version

P8 Content Platform Engine

5.2.1 – Build version 521.234

AIX AIX 7.1 TL5 - SP1

JVM java.vm.vendor - IBM Corporation java.vm.name - IBM J9 VM java.runtime.version - pap6460_26sr8fp26ifx-20160708_01 (SR8 FP26) java.runtime.name - Java(TM) SE Runtime Environment java.vm.version - 2.6 java.vm.info - JRE 1.6.0 AIX ppc64-64 Compressed References 20160406_298378 (JIT enabled, AOT enabled) J9VM - R26_Java626_SR8_20160406_0830_B298378 JIT - tr.r11_20160328_114192 GC - R26_Java626_SR8_20160406_0830_B298378_CMPRSS J9CL - 20160406_298378 java.fullversion - JRE 1.6.0 IBM J9 2.6 AIX ppc64-64 Compressed References 20160406_298378 (JIT enabled, AOT enabled) J9VM - R26_Java626_SR8_20160406_0830_B298378 JIT - tr.r11_20160328_114192 GC - R26_Java626_SR8_20160406_0830_B298378_CMPRSS J9CL - 20160406_298378

Classpath /opt/IBM/WebSphere/AppServer/profiles/AppSrv01/properties: /opt/IBM/WebSphere/AppServer/properties: /opt/IBM/WebSphere/AppServer/lib/startup.jar: /opt/IBM/WebSphere/AppServer/lib/bootstrap.jar: /opt/IBM/WebSphere/AppServer/lib/lmproxy.jar:/opt/IBM/WebSphere/AppServer/lib/urlprotocols.jar: /opt/IBM/WebSphere/AppServer/deploytool/itp/batchboot.jar: /opt/IBM/WebSphere/AppServer/deploytool/itp/batch2.jar: opt/IBM/WebSphere/AppServer/java/lib/tools.jar

Log File Location

/opt/IBM/WebSphere/AppServer/profiles/AppSrv01/FileNet/server1

Local Host Fnetprod01.uits.uconn.edu

Available Processors

8

Working Directory

/opt/IBM/WebSphere/AppServer/profiles/AppSrv01

J2EEUtil Com.filenet.apiimpl.util.J2EEUtilWS

Startup Message

P8 Content Platform Engine Startup: 5.2.1 dap521.234 Copyright IBM Corp. 2003, 2014 All rights reserved on server1

INSO Version 8.4.1.p18530453_OIT521_841.008

Content Search Services Client Version

5.2.1.0-1.1-4694

Liquent VistaJ API Version

4.0.0.85 December 23 2013

Content Integrator API Version

8.6.0.200.0001 (201402190021)

6

TSM API Version

Not installed

Server Instance{s}

server1 {server1,server2,server4}

PCH Listener 5.0.0.131 pch511.131

P8 Domain UCONN-ECM-Prod

JDBC Driver Oracle JDBC driver 11.2.0.2.0 loaded from file:/export/shared/cad/ojdbc6.jar

Config Values com.filenet.gcd.ProductVersion 5.2.1 com.filenet.gcd.ProductName IBM FileNet Content Platform Engine PVU Prod com.filenet.gcd.ProductGuid 430d463aece24e77af666fbd12bec5d2 com.filenet.gcd.DomainType 0 com.filenet.gcd.ProductInstance /opt/IBM/FileNet/ContentEngine

Server Startup Context

System

Waltz Version

[IC5.0_CR_Infra] 20140709-1335

Sonata Version

[IC5.0_CR_Infra] 20140709-1335

WebSphere 8.5.5.x

Oracle 11.2.0.4

Oracle Database Name

FNETP

IBM Content Navigator – build level

icn203.700.725 (201603280144)

Daeja ViewOne

4.1.5.0.2.3581

Configuration Type

DATABASE

Database Schema Name

ICNFNP – production ICNFNS - Stage

Default Desktop

UConnECM

PE Client Build

5.2.1 dap521.234

CE Client Build

5.2.1 dap521.234

CM Client Build

8.5.0.400

7

X. Appendix B – Datacap Software Versions

Product Current Version

IBM Datacap 9.0.0.3 – 9.0.0.72

IBM FileNet Content Engine .NET API

5.2.12100

VMware 10.0.9.3917699

Windows Windows Server 2012 R2 Standard

XI. Appendix C – Servers

FileNet Servers

FileNet Environment Server Name IP Address Notes

PRODUCTION Provided post award Provided post award

STAGE Provided post award Provided post award

DEVELOPMENT Provided post award Provided post award

Datacap Servers

Datacap Environment Server Name IP Address

PRODUCTION – Datacap Application Server Datacap Rulerunner Server

Provided post award Provided post award

STAGE Provided post award Provided post award

DEVELOPMENT Provided post award Provided post award

Datacap File Server Provided post award Provided post award

TMWeb Client – PRODUCTION STAGE DEVELOPMENT

Provided post award Provided post award

8

XII. Appendix D - Connection Strings

FileNet Environment

Server Name Connection String

PRODUCTION Provided post award Provided post award

STAGE Provided post award Provided post award

DEVELOPMENT Provided post award Provided post award

9

XIII. Appendix E - Data Model

A. Security Currently, access to the production and stage environments by end users is supported. Authentication is managed by CAS and authentication is managed by groups in Active Directory. The FileNet Object Store system groups (#AUTHENTICATED USERS) are replace by the following groups in AD: Production Environment – View Only Object.Store.FNet.view.p Write Object.Store.FNet.write.p Delete Object.Store.FNet.delete.p Stage Environment – View Only Object.Store.FNet.view.s Write Object.Store.FNet.write.s Delete Object.Store.FNet.delete.s Development Environment – View Only Object.Store.FNet.view.d Write Object.Store.FNet.write.d Delete Object.Store.FNet.delete.d

10

XIV. Appendix F - Architecture Diagrams – Current Systems

FileNet Environments -

11

12

Datacap Environments –

4 GB RAM

8 GB RAM

13

4 GB RAM

14

4 GB RAM

15

XV. Appendix G - FileNet CPE 5.5.1 – Known Issues WorkplaceXT is no longer supported

Application Engine is no longer supported

Linux libraries required for FileNet Content Manager 5.5.1 installations - https://www-01.ibm.com/support/docview.wss?uid=ibm10713759

.NET client installation failure (known problem) - https://www-01.ibm.com/support/docview.wss?uid=ibm10715651

JBoss Application Server no longer supported

Containers are used for deployment – will support Docker

Credential maintenance and capture changes:

o Instead of a Bootstrap User, the System User provides credentials used in a subset of tasks

executed by the services provided with the FileNetEngine application. These credentials are no

longer stored inside of the application EAR file. Instead, they are stored in the Global Configuration

Database (GCD) and can be updated through the Administration Console for Content Platform

Engine.

Choose Licenses configuration task o The Choose Licenses task is now a required configuration task. You must edit and run the Choose

Licenses task before you can run the Deploy Application task. o The Choose Licenses task must be in the same profile as the Deploy Application task. You can

include both tasks in your initial complete configuration profile, or you can create a separate profile for deployment only that includes both tasks.

Deploy Application task o The Deploy Application task now requires you to enter the values for the GCD JDBC data source

and the GCD JDBC XA data source.

Upgrade process o Whatever version you start from, an upgrade to V5.5.1 migrates the system user credentials store

in the GCD database from the bootstrap user stored in the previous ear to the GCD database. This transfer is accomplished by running the Configure Bootstrap and Text Extraction configuration task one final time during the upgrade configuration. When you start the Content Platform Engine application, the transfer of credentials completes, and the Bootstrap task is no longer needed.

ACCE

o Admins can update the system user credentials in the domain properties panel in ACCE

o Performance improvements

Storage Enhancements

o IBM Cloud Object Storage is supported as a fixed content device

o EMC Elastic Cloud Storage is supported as an advanced S3 storage device

Port value is optional for the configuration URL

Deprecated operations in FDM:NOTE – we need to fully understand the ramifications of this

o The following table lists the deployment operations and options that are deprecated, and the release versions that the operations and options are associated with. Although a few operations are no longer supported, most deprecated operations and options remain available by using the old name as an alias value. Replace the operation or option with the preferred name as soon as possible.

16

Deprecated name Preferred name

Deprecated or removed as of

release

CEExport ExportDeployDataSet 5.2.1

CEImport ImportDeployDataSet 5.2.1

ConvertCEExportXML ConvertDeployDataSet 5.2.1

ConvertPEExportXML Not applicable, removed 5.2.1

RetrieveObjectStoreInfo RetrieveObjectStoreInfoFromDomain 5.2.1

RetrieveObjectStoreInfoFromCEDeployDataSet RetrieveObjectStoreInfoFromDeployDataSet 5.2.1

RetrievePrincipalInfoFromCEDeployDataSet RetrievePrincipalInfoFromDeployDataSet 5.2.1

RetrievePrincipalInfoFromLDAP RetrievePrincipalInfoFromDomain 5.2.1

RetrievePrincipalInfoFromPEConfigExportXML Not applicable, removed 5.2.1

RetrieveServiceInfoFromCEDeployDataSet RetrieveServiceInfoFromDeployDataSet 5.2.1

RetrieveServicesFromPEConfig Not applicable, removed 5.2.1

ValidateCEExportXML AnalyzeDeployDataSet 5.2.1

ValidatePEConfigData Not applicable, removed 5.2.1

AnalysisReportFileName ReportFileName 5.2.1

analysisFailuresLimit FailureLimit 5.2.1

importUpdateOption Not applicable, use import options file 5.2.1

importCreateOption Not applicable, use import options file 5.2.1

ValidationOutput Not applicable, use import options file 5.2.1

17

XVI. Appendix H. Single Sign On - flow diagram

The approach recommended (to avoid users being requested to select the right link to be redirected to WAS) is

the following:

1. User requests a WAS secured resource.

2. A SAML TAI is in place and, if the user is not already authenticated, it redirects the user to a specific URL. This

URL should be the IdP URL and it should include a keyword as URL parameter that IdP is able to use after

login is in place.

3. An additional cookie is generated on the browser to identify the URL of the resource that was originally

requested.

4. IdP authenticates the user and then sends the user back to WAS because of the parameter included in the

request. The redirect is to a SAML Application deployed on WAS called Assertion Consumer Service (ACS).

5. ACS is able to verify and manage the SAMLResponse message that IdP generates and includes in the

redirect. This application creates the authenticated session on WAS and the LTPA cookie for the user specified

in the message.

6. If the cookie is available, redirects the user to the original protected resource as authenticated user, otherwise

redirects the user to the URL configured in the TAI.

18

XVII. Appendix I – Additional FileNet Information

Object Stores: 3 - (1 per environment)

Document Classes: o Production – 50 o Stage – 51 o Development – 47

Documents:

o Production – Approximately 765,155 documents - 20,659.38 GB o Stage – Approximately 636,929 documents - 54,520 GB o Development – Approximately 453,753 documents - 878 GB

Users: 362

Workflows: 2 linear workflows (launched when adding documents)

Document Entry Templates: o Production – Approximately 96 o Stage – Approximately 96 o Development - Approximately 96

Document Search Templates: o Production – Approximately 150 o Stage – Approximately 150 o Development – Approximately 150

19

XVIII. Appendix J. – Datacap Applications We currently have 6 Datacap applications one of which is a Vscan application that is not currently used. These applications are primarily scanning applications that utilize bar codes and some OCR for indexing. There are fingerprints defined, however not all fingerprints are used due to registration problems and inconsistencies in the format of paper documents that are scanned. OCR has been disabled (in some of the applications) due to the poor quality of input documents and poor results, which created additional work during the verification step. There are no data lookups. All applications export scanned documents (converted to PDFs) to the FileNet repository. All field values captured in these applications are exported to FileNet as metadata (properties). Below is a summary of each application. It should be noted that detailed discussions will occur as needed during the engagement. Payroll – Employee payroll documents. There are 3 scanning applications: 1. File Room Scanning utilizes a bar coded cover sheet to capture key index fields. The document type is defined during verification (choice list selection). OCR has been disabled due to poor results, which increased indexing times.

2. Single Page Scanning – provides single page scanning with no need for separator sheets. Indexing is performed manually during verification

3. Payroll scanning – bar code sheets are used to determine the document type and separate batches PageID methods determine which scan application is being used (IsMatchingJobID), fingerprints are defined (SetPageFingerprintID), fields are created (CreateFields), bar codes are matched (MatchBarcodeBP), OCR zones are read (ReadZones) and other functions such as AnalyzeImage, SetPageType, SetPageStatus, rrSet are used. Graduate School – Student application forms such as transcripts, international student information such as passports, etc. and other student related documents are scanned and exported to FileNet CPE. There are over 60 document types in this application. It is very similar to the Payroll application in that it utilizes bar coded cover sheets for auto-indexing. There are 4 scanning applications: 1. Barcode Documents – Bar codes on the document determine the document type. Color drop out is used during scanning to clean up red boxes. Fingerprints and OCR is used.

2. Multi-Page No Barcode – Document separator sheets are used to separate documents in the batch.

3. Paper Backfile - Utilizes a bar coded cover sheet to capture key index fields. The document type is defined during verification (choice list selection).

4. Single Page No Barcode - Provides single page scanning with no need for separator sheets. Indexing is performed manually during verification

20

PageID methods include fingerprints definition (SetPageFingerprintID), bar code matching (MatchBarcodeBP), AnalyzeImage, SetPageType, SetPageStatus, rrSet, OCR zones are read (ReadZones) and image enhancement (ImageEnhance) SPS – This application was designed to capture grant proposals and awards for research projects. It is a simple scan application that uses bar code recognition to auto index key fields. The application utilizes bar coded cover sheets for auto-indexing. PageID functions include bar code matching (MatchBarcodeBP), GetAllBarcodesBP, SetDCOType, SetDCOStatus, and image enhancement (ImageEnhance). CLAS-ASC – The application was designed to capture student advising forms. Forms were re-designed for scanning accuracy by using red boxes (color drop out is done at scan time) and bar codes to determine the document type. PageID methods determine which scan application is being used (IsMatchingJobID), fingerprints are defined (SetPageFingerprintID and PatternMatch_Fingerprint), bar codes are matched (MatchBarcodeBP), SetPageType, SetPageStatus, rrSet are used. Note – this application is not currently being used to capture documents. CLAS – BSC – This application was designed to capture financial documents. OCR and fingerprinting is built into this application however the forms that are scanned are not conducive to good OCR results. PageID methods determine which scan application is being used (IsMatchingJobID), fingerprints are defined (SetPageFingerprintID), fields are created (CreateFields), bar codes are matched (MatchBarcodeBP), OCR zones are read (ReadZones and RecognizePageFieldsOCR_A) and other functions such as AnalyzeImage, SetPageType, SetPageStatus, rrSet are used. Note – this application is not currently being used. Thesis – this is a Vscan application that was created to capture historical student transcripts. PageID functions used include OCR (RecognizePageOCR_S), find text locator (RegExFind), SetPageType, SetDCOType, determine blank pages (BlankPagesIDBySize), set fingerprint parameters (SetFingerprintDir, SetFingerprintSearchArea, SetProblem.