UNIVERSITY OF CONNECTICUT

RFP # TL121218 – Schedule 5, Statement of Work

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

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

III. Goals and Deliverables ............................................................................................................................................. 3

A. Mandatory Deliverables: .......................................................................................................................................... 3

B. Optional Deliverables: .............................................................................................................................................. 3

C. IBM Collocation Policy: ............................................................................................................................................. 4

Collocating IBM Content Navigator with other applications ........................................................................................... 4

IV. Description of Services ............................................................................................................................................. 4

A. Scope of Services: ..................................................................................................................................................... 4

V. Pre-requisites (To be performed by UConn staff) ........................................................................................................ 5

VI. Required Technical Skills .......................................................................................................................................... 6

VII. Project Plan and Timeline......................................................................................................................................... 6

VIII. Team ......................................................................................................................................................................... 6

IX. Financial Section (if needed) ..................................................................................... Error! Bookmark not defined.

X. Disclaimer (if needed) ................................................................................................... Error! Bookmark not defined.

XI. Approval of Statement of Work ............................................................................................................................... 7

XII. Appendix A – FileNet Software Versions .................................................................................................................. 8

XIII. Appendix B – Datacap Software Versions ..............................................................................................................10

XIV. Appendix C – Servers ..............................................................................................................................................10

FileNet Servers ...............................................................................................................................................................10

Datacap Servers ..............................................................................................................................................................10

XV. Appendix D - Connection Strings ............................................................................................................................11

XVI. Appendix E - Data Model ........................................................................................................................................12

A. Security ...................................................................................................................................................................12

XVII. Appendix F - Architecture Diagrams – ...................................................................................................................13

FileNet Environments - ...................................................................................................................................................13

Datacap Environments – ................................................................................................................................................15

XVIII. Appendix G - FileNet CPE 5.5.1 ..........................................................................................................................18

Known issues: .................................................................................................................................................................18

I. Background The FileNet document management system is implemented in approximately 30 business units throughout the University of Connecticut that provide administrative and academic functions. The Oracle database platform is a standard of the university and is a component of the FileNet architecture. An initiative to upgrade Oracle has been on going and is key for FileNet users. An additional initiative is to migrate all desktops to Windows 10. In order to meet these university IT goals, an upgrade to the current versions of the FileNet backend, user interface (IBM Content Navigator) and the document capture component (Datacap) is necessary. Documentation of upgrade procedures and knowledge transfer is also important. ITS staff will need to be able to follow these procedures for future ECM software upgrades and fix pack installations. University ITS staff will rely on the expertise of the ECM consultant. It is expected that all pertinent (documented and undocumented) information about FileNet, ICN, WebSphere, and Datacap will be communicated to UConn staff. Additionally, university IT staff may request advice on architectural and other FileNet/Datacap issues.

II. Purpose This Statement of Work applies to the FileNet/Datacap software upgrade project. As described above, there are several key drivers for this engagement:

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

UConn needs to maintain required levels of security across the university. Java is a component of this objective and UConn systems support staff need to maintain current versions of Java on all systems.

A reconfiguration of the IBM Content Navigator UI on WebSphere needs to occur 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 Goals and deliverables are broken into 2 groups – Mandatory and Optional. In order for UConn to decide whether to have the optional tasks performed, it is desirable to have line item pricing for those tasks. It is the University’s intention to leverage the FileNet expertise and experience of the consultant to improve the FileNet configuration and implement best practices.

A. Mandatory Deliverables:

1. Due to a mandate for the replacement of the AIX Operating system with Linux an upgrade of the existing FileNet Content Foundation version 5.2.1.0 to Content Platform Engine version 5.5.1 in 3 environments on Linux is a requirement.

2. Migration of the existing data and documents from the AIX environments to Linux is a requirement 3. Upgrade WebSphere from 8.5.5 to 9.0.x. This will require significant and demonstrable experience and

knowledge of WebSphere. 4. Upgrade/install current version of IBM Content Navigator in its own WebSphere server instance (see IBM

documentation below under IBM Collocation Policy) in 3 environments (Development, Stage, and Production) 5. Upgrade/install current version of Datacap in 3 environments (Development, Stage, and Production) 6. Upgrade and implement Datacap Navigator in 3 environments (Development, Stage, and Production) 7. Knowledge Transfer and documentation (joint effort between UConn and ECM consultants) -

Upgrade/installation/configuration documentation which will include the steps (and explanations) that will enable future replication of tasks performed by UConn. The ECM consultant will review the documentation created by University staff and provide feedback for edits to ensure content is accurate and correct. Datacap application development and application deployment mentoring

8. Test and report – o Custom FileNet applications that utilize the .Net and Java APIs with the upgraded FileNet CPE 5.5.1

system. o DataCap applications with the upgraded 9.1.3 version. o Documentation of the test results with details about required changes (resultant of the upgrade).

B. Optional Deliverables:

1. Turn off SSO in ICN to enable implementation of NMO - the Navigator integration with Microsoft Office plug-in. Initially this should be done in the development environment. After testing NMO and a discussion between the ECM consultant and UConn, a determination will be made whether to disable SSO in all environments.

2. Reconfigure Datacap Development to use Oracle instead of Microsoft Access. 3. Configure CPE in Configuration Manager to enable the Linear and Parallel workflows in FileNet 4. Based on test results (reference A. Mandatory Deliverables #8 above) a determination will be made regarding

who will perform modifications to the applications.

C. IBM Collocation Policy:

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

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.

For example, you cannot deploy the following applications in the same application server instance as IBM Content Navigator:

IBM FileNet Workplace XT IBM Enterprise Records

If you want to install the full IBM Enterprise Records solution, you must deploy IBM Enterprise Records to a different application server instance from IBM Content Navigator. Alternatively, to use record declaration capabilities in the IBM Content Navigator web client, you can add the IBM Enterprise Records plug-in interface, which is provided as a plug-in JAR file, to your existing IBM Content Navigator installation. “

IV. Description of Services Below is a description of tasks that will need to be performed. However, there may be sub-tasks, procedures, and processes that are required and not documented below. University ITS staff will rely on the expertise of the IT consultant to perform all tasks required to meet the stated goals.

A. Scope of Services:

1. Perform FileNet CPE upgrade to 5.5.1 2. Migrate documents and data from AIX servers to Linux servers 3. Upgrade and reconfigure IBM Content Navigator (ICN) on WebSphere in the Development, Stage, and

Production environments a. IBM Content Navigator (ICN):

i. Uninstall ICN version 2.0.3 and install ICN 3.0.x on its own WebSphere instance in 3 environments

ii. Include installation and configuration of the Datacap Navigator plugin in ICN iii. Maintain the integrity of ICN configuration (NOTE – unless changes according to established

best practices is agreed on)

1. Desktop configuration 2. Viewer Maps 3. Collaboration 4. Teamspace 5. Etc.

b. Maintain the integrity of ICN security (Admin, Folders, documents, other) c. Maintain the integrity of existing ICN document entry and Search templates.

d. Maintain the integrity of existing folder structures.

e. Reconfiguration of WebSphere: i. Adjust configuration settings of ICN such that it is in compliance with IBM’s supported

platform 1. Create a new WebSphere server instance and configure a JVM 2. Install ICN in that server instance 3. Set configuration according to IBM documented requirements

f. Upgrade Datacap in the Development, Stage, and Production environments

1. Upgrade Datacap version 9.0 to 9.1.3 in 3 environments 2. Upgrade Rulerunner server and all Datacap dependencies:

a. Datacap Application Manager b. Datacap Server Manager c. Datacap Services d. Datacap Studio e. Other

3. If necessary upgrade existing Datacap applications (Ref Mandatory #9): a. CLASASC b. CLASBSC c. Graduate School d. Payroll e. SPS f. Thesis

4. If necessary upgrade custom rulesets – a. FairfaxCustom.rrx b. Other

5. Insure that all existing Datacap applications are configured with Oracle 12c and are working as they did prior to the upgrade.

g. Conduct Knowledge Transfer sessions:

i. UConn staff will shadow the technical resource and will observe and document upgrade tasks and procedures

ii. The technical consultant will observe UConn perform the upgrade of a single system other than production

h. Perform typical Project Management tasks – (NOTE: this will be performed by UConn staff) i. Maintain and provide effective communication and updates on status and issues

V. Pre-requisites (To be performed by UConn staff)

UConn system staff will provide required infrastructure and software. Examples are below:

a. Linux O/S will be installed at current levels b. Java will be installed at current (and compatible) levels c. Oracle 12c will be installed d. Additional servers will be configured with prerequisite software e. Required access will be established (Affiliate NetIDs, VPN, firewall rules, etc.) f. FileNet and Datacap (latest version) software package downloads from IBM Passport Advantage

VI. Required Technical Skills

a. WebSphere b. AIX, Linux and Windows 2012 R2 Standard Edition, Windows 10 c. Oracle 12c d. ECM - FileNet 5.2.1, ICN 2.0.3, 3.0.3 & 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. FileNet Security i. Navigator Integration with Microsoft Office (NIMO) j. The competing vendors must demonstrate demonstrable knowledge and experience with a SAML

implementation of SSO.

VII. Project Plan and Timeline

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

VIII. Team

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

IX. Approval of Statement of Work Providing sign-off of this document confirms that you agree with the business and functional requirements described here in. UConn Name _________________________________________________ Date _______________ Name _________________________________________________ Date _______________ Name _________________________________________________ Date _______________ Name _________________________________________________ Date _______________ Vendor Name _________________________________________________ Date _______________ Name _________________________________________________ Date _______________ Name _________________________________________________ Date _______________ Name _________________________________________________ Date _______________

X. 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)

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

XI. 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

XII. Appendix C – Servers

FileNet Servers

FileNet Environment Server Name IP Address Notes

PRODUCTION Fnetprod01.uits.uconn.edu Fnetprod02.uits.uconn.edu

xxx.xx.xx.61 xxx.xx.xx.62

STAGE Fnetstage.uits.uconn.edu xxx.xx.xx.76

DEVELOPMENT Fnetdev.uits.uconn.edu xxx.xx.xx.75

Datacap Servers

Datacap Environment Server Name IP Address

PRODUCTION – Datacap Application Server Datacap Rulerunner Server

DCapProd.grove.ad.uconn.edu DCapRunner.grove.ad.uconn.edu

xxx.xx.xx.156 xxx.xx.xx.157

STAGE DCapStage.grove.ad.uconn.edu xxx.xx.xx.155

DEVELOPMENT DCapDev.grove.ad.uconn.edu xxx.xx.xx.154

Datacap File Server DCapFS.grove.ad.uconn.edu (Application Location)

TMWeb Client – PRODUCTION STAGE DEVELOPMENT

DCapProd.grove.ad.uconn.edu/tmweb.net DCapStage.grove.ad.uconn.edu/tmweb.net DCapDev.grove.ad.uconn.edu/tmweb.net

XIII. Appendix D - Connection Strings

FileNet Environment

Server Name Connection String

PRODUCTION Name to be provided post award

Information to be provided post award

STAGE Name to be provided post award

Information to be provided post award

DEVELOPMENT Name to be provided post award

Information to be provided post award

XIV. Appendix E - Data Model

A. Security Currently, access to the production and stage environments by end users is supported. Authentication is managed by the university Active Directory. End user groups and memberships are created and managed in Active Directory for each environment. 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

XV. Appendix F - Architecture Diagrams –

FileNet Environments -

Datacap Environments –

XVI. 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.

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