University of Connecticut

RFP # TL121218 – Schedule 5, Statement of Work

Table of ContentsI. 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)..................................................................................................................................6

X. Disclaimer (if needed)................................................................................................................................................6

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. BackgroundThe 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 both the FileNet 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 DeliverablesGoals 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. Upgrade the existing FileNet Content Foundation version 5.2.1.0 to the current version (5.5.x.x) of Content

Platform Engine in 3 environments on AIX.2. Upgrade WebSphere from 8.5.5 to 9.0.x. This will require significant and demonstrable experience and

knowledge of WebSphere. 3. 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)4. Upgrade/install current version of Datacap in 3 environments (Development, Stage, and Production)5. Upgrade and implement Datacap Navigator in 3 environments (Development, Stage, and Production)6. 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. This applies to the Datacap upgrade as well. Additionally, it is desired for the vendor to provide tips and techniques advice for Datacap application development and deployment.

7. Test and report – All FileNet and Datacap functionality should be in place after the upgrades. UConn will work with the vendor to develop test plans and perform UAT. The vendor should test core functionality following the upgrades. The following need consideration.

o Custom FileNet applications that utilize the .Net and Java APIs with the upgraded FileNet CPE 5.5.x system. Due to potential deprecated APIs UConn will rely on the expert knowledge of the vendor to notify UConn of required changes post the upgrade if necessary.

o DataCap applications should work as designed following the upgrade. UConn will rely on the expert knowledge of the vendor to notify UConn of required changes post the upgrade if necessary.

o Documentation (will be crafted by UConn with information from the vendor) of the test results with details about required changes (resultant of the upgrade).

B. Optional Deliverables:The list of items below is prioritized in order of importance. Line item pricing and timelines is requested for each item.

1. Due to a desire 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.x in 3 environments on Linux. This deliverable needs to include an architecture design including HA for the FileNet backend (similar to the existing architecture).

2. Migration of the existing data and documents from the AIX environments to Linux is a requirement3. 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.

4. Reconfigure Datacap Development to use Oracle instead of Microsoft Access.5. Configure CPE in Configuration Manager to enable the Linear and Parallel workflows in FileNet

6. Based on test results (reference A. Mandatory Deliverables #7 above) a determination will be made regarding who will perform modifications to the applications.C. IBM Collocation Policy:

Note – below is an excerpt from IBM documentation on the collocation policy for IBM Content Navigator.

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 ServicesBelow 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 - optional3. Upgrade and reconfigure IBM Content Navigator (ICN) on WebSphere in the Development, Stage, and

Production environmentsa. 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 ICNiii. Maintain the integrity of ICN configuration (NOTE – unless changes according to established

best practices is agreed on)

1. Desktop configuration2. Viewer Maps3. Collaboration4. Teamspace5. 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

platform1. Create a new WebSphere server instance and configure a JVM2. Install ICN in that server instance3. Set configuration according to IBM documented requirements

f. Upgrade Datacap in the Development, Stage, and Production environments1. Upgrade Datacap version 9.0 to 9.1.3 in 3 environments2. Upgrade Rulerunner server and all Datacap dependencies:

a. Datacap Application Managerb. Datacap Server Managerc. Datacap Servicesd. Datacap Studioe. Other

3. If necessary upgrade existing Datacap applications a. CLASASCb. CLASBSCc. Graduate Schoold. Payrolle. SPSf. Thesis

4. If necessary upgrade custom rulesets – a. FairfaxCustom.rrxb. 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 proceduresii. 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 levelsb. Java will be installed at current (and compatible) levelsc. Oracle 12c will be installedd. 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 Skillsa. WebSphereb. AIX, Linux and Windows 2012 R2 Standard Edition, Windows 10 c. Oracle 12cd. ECM - FileNet 5.2.1, ICN 2.0.3, 3.0.3 & Datacap 9.0, 9.1.xe. 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 practicesh. FileNet Securityi. 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 TimelineA 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. TeamAIX and Linux System AdministratorFileNet AdministratorDatacap AdministratorDatabase AdministratorECM ManagerWindows 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 VersionsProduct Current VersionP8 Content Platform Engine

5.2.1 – Build version 521.234

AIX AIX 7.1 TL5 - SP1JVM java.vm.vendor - IBM Corporation

java.vm.name - IBM J9 VMjava.runtime.version - pap6460_26sr8fp26ifx-20160708_01 (SR8 FP26)java.runtime.name - Java(TM) SE Runtime Environmentjava.vm.version - 2.6java.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_298378java.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.eduAvailable Processors

8

Working Directory

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

J2EEUtil Com.filenet.apiimpl.util.J2EEUtilWSStartup 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_841.008Content 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 pch511.131P8 Domain UCONN-ECM-ProdJDBC Driver Oracle JDBC driver 11.2.0.2.0 loaded from file:/export/shared/cad/ojdbc6.jarConfig Values com.filenet.gcd.ProductVersion 5.2.1

com.filenet.gcd.ProductName IBM FileNet Content Platform Engine PVU Prodcom.filenet.gcd.ProductGuid 430d463aece24e77af666fbd12bec5d2com.filenet.gcd.DomainType 0com.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.xOracle 11.2.0.4Oracle Database Name

FNETP

IBM Content Navigator – build level

icn203.700.725 (201603280144)

Daeja ViewOne

4.1.5.0.2.3581

ConfigurationType

DATABASE

Database Schema Name

ICNFNP – productionICNFNS - 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 VersionIBM Datacap 9.0.0.3 – 9.0.0.72IBM FileNet Content Engine .NET API 5.2.12100

VMware 10.0.9.3917699Windows Windows Server 2012 R2 Standard

XII. Appendix C – ServersFileNet Servers

FileNet Environment Server Name IP Address NotesPRODUCTION Fnetprod01.uits.uconn.edu

Fnetprod02.uits.uconn.eduxxx.xx.xx.61xxx.xx.xx.62

STAGE Fnetstage.uits.uconn.edu xxx.xx.xx.76DEVELOPMENT Fnetdev.uits.uconn.edu xxx.xx.xx.75

Datacap Servers

Datacap Environment Server Name IP AddressPRODUCTION –Datacap Application ServerDatacap Rulerunner Server

DCapProd.grove.ad.uconn.eduDCapRunner.grove.ad.uconn.edu

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

STAGE DCapStage.grove.ad.uconn.edu xxx.xx.xx.155DEVELOPMENT DCapDev.grove.ad.uconn.edu xxx.xx.xx.154Datacap File Server DCapFS.grove.ad.uconn.edu (Application

Location)TMWeb Client – PRODUCTIONSTAGEDEVELOPMENT

DCapProd.grove.ad.uconn.edu/tmweb.netDCapStage.grove.ad.uconn.edu/tmweb.netDCapDev.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 ModelA. 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.pWrite Object.Store.FNet.write.pDelete Object.Store.FNet.delete.p

Stage Environment –

View Only Object.Store.FNet.view.sWrite Object.Store.FNet.write.sDelete Object.Store.FNet.delete.s

Development Environment –

View Only Object.Store.FNet.view.dWrite Object.Store.FNet.write.dDelete Object.Store.FNet.delete.d

XV. Appendix F - Architecture Diagrams – FileNet Environments -

Datacap 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 tasko 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 tasko 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.

ACCEo Admins can update the system user credentials in the domain properties panel in ACCEo Performance improvements

Storage Enhancementso IBM Cloud Object Storage is supported as a fixed content deviceo 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

Deprecated name Preferred name

Deprecated or removed as of release

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