STATE OF MICHIGAN. Request for Information E-Discovery and Data Management Solutions. Requesting Departments:

Transcription

1 STATE OF MICHIGAN Request for Information E-Discovery and Data Management Solutions Requesting Departments: Department of Attorney General and Department of Technology, Management, and Budget Buyer: Whitnie Zuker Phone: TIMELINE Issued: April 3, 2014 Deadline for vendors to submit questions about this RFI: 3:00 p.m. EST on April 17, 2014 State answers to vendor questions provided by: April 22, 2014 Deadline to submit RFI responses: 3:00 p.m. EST on May 1, 2014 Information in this document is subject to change. Check for current information. 1

2 STATE OF MICHIGAN Request for Information Instructions 1. Contact information for the State. The sole point of contact concerning this Request for Information (RFI) is Whitnie Zuker. Her contact information is on the cover page of the RFI. 2. Questions. Questions about the RFI must be ed to Ms. Zuker no later than the time and date specified on the cover page of the RFI. Only written questions are accepted. Answers to vendor questions will be posted on under the RFI number. 3. Delivery of response. Please electronically submit an informational response through by the due date listed on the cover page. Vendors should provide the documents in a modifiable form (e.g., Microsoft Word or Excel), but may also provide copies of documents in a non-modifiable form (e.g., PDF). The informational response and attachments must be fully uploaded prior to the due date. Please do not wait until the last minute to submit a response, as the bid4michigan system requires the creation of an account, in addition to uploading the materials. Questions on how to submit information or how to navigate in the buy4michigan system can be answered by calling or Oral presentations. The State reserves the right to invite some vendors for oral presentations. 5. General response conditions. The State will not be liable for costs incurred in preparation of vendor s response, delivery of the response, and any follow-up discussions with the State. This RFI is not an offer to enter into a contract. 6. Freedom of Information Act. Responses are subject to disclosure under Michigan s Freedom of Information Act, MCL , et seq. 7. Rights to information contained in responses. All informational responses will be considered the property of the State. 2

3 STATE OF MICHIGAN Request For Information No B E-Discovery and Data Management Solutions 1. Introduction and background This is a request for information (RFI) about e-discovery and data management products and services, particularly pricing, licensing, and business models. The State of Michigan (State) seeks a solution to identify, preserve, and collect electronically stored information (ESI) and paper documents created by agencies for use in responding to requests for data. As described in more detail below, the State receives data requests in two primary ways: in the context of litigation and under the Freedom of Information Act (FOIA). Currently, the State does not have an enterprise-wide solution to handle data requests. The State is exploring whether to solicit an end-to-end e-discovery solution or a mix of software and services. The State is also exploring whether the solution should be implemented enterprise-wide or geared towards the Department of Attorney General, the State s law department. A primary focus is reducing labor costs and managing data collection and production effectively and efficiently. The purpose of this request is to obtain: (1) information from vendors on pricing, licensing, and business models; (2) information on tools and functionality available from the vendor community; and (3) an estimate of costs for an e-discovery and data management solution for the State based on the information in this document. 2. Litigation The Michigan Attorney General is the lawyer for the State of Michigan. The Department of Attorney General (AG) provides legal representation in court actions and assists in the conduct of official hearings held by state agencies. It is a fullservice law firm. The AG has approximately 275 attorneys, 95 legal secretaries, 30 clerical and paraprofessionals, 45 professional analysts and managers, 45 investigators, and 8 paralegals (about 500 staff in total). The vast majority are stationed in the Lansing area. About 115 employees are stationed in the Detroit area. Generally, if a state agency is a party to litigation and served with discovery requests, the AG provides legal assistance in responding to the data request. The 3

4 state agency may request technical assistance from the Department of Technology, Management and Budget (DTMB) to gather the data. But state agencies also receive subpoenas in connection with lawsuits to which they are not a party. Due to the routine nature of those requests, agencies often process the data requests internally without requesting legal assistance from the AG or technical assistance from DTMB. 3. The Freedom of Information Act The State recognizes that most e-discovery products and services focus on litigation. However, the State is interested in leveraging an e-discovery solution to assist agencies in responding to Freedom of Information Act requests as well. The Freedom of Information Act, MCL , et seq., applies to nearly all public bodies in Michigan. FOIA sets requirements for the disclosure of records prepared, owned, used, in the possession of, or retained by a public body in the performance of an official function. Data collection under FOIA is similar to data collection in a litigation context. Each agency handles its own FOIA requests. Agencies generally require a good faith deposit of 50% of the estimated costs of production before processing a records request. Thus, early case analytics capable of computing estimated costs for data production would be valuable. State law provides that the cost of labor may not exceed the hourly wage of the lowest paid public body employee capable of retrieving the data. Because the hourly rate of the worker gathering the data differs between agencies, the ability to adjust those variables when computing estimated costs is desirable. It is also anticipated that the legal hold piece that often accompanies an e- discovery solution may be modified to assist FOIA coordinators in fulfilling their duties. FOIA coordinators are responsible for accepting and processing FOIA requests. FOIA coordinators send notices to the divisions and employees of the agency that may be in possession of the records requested. FOIA coordinators must follow-up with employees, send reminders, calendar due dates, and send correspondence to the requester. A legal hold tool that could be modified to meet the needs of FOIA coordinators is desirable. In addition, agencies usually review documents prior to production to separate exempt from nonexempt information and to redact that which is exempt. Thus, a review platform with redaction tools would also be useful for FOIA. 4

5 4. How data requests are currently processed In the context of litigation, client agency records are provided to the AG in hard copy or electronically via or portable storage device. When client agency records are provided in hard copy, the AG may process and produce them in paper format, or may scan the records into an electronic format and produce them electronically. Although the AG is able to handle relatively small scan jobs internally, it would be helpful if vendors offered scanning and OCR services for larger jobs. In the context of FOIA requests, each state agency identifies, collects, processes, and produces data requests directed to it. Most agencies produce in hard copy due to the lack of software products to aid in electronic production. 5. Department of Technology, Management & Budget The State s information technology (IT) services are administered centrally through the Department of Technology, Management and Budget (DTMB). DTMB serves as the architect for the State s IT programs, manages IT projects, hosts agency data, maintains websites, and provides customer support. DTMB s statewide technical policies, standards, and procedures are online at: 6. Records Management Services Records Management Services is a division within DTMB. The purpose of the records management program is to instruct executive branch state agencies about the management of their records, to provide for the administrative, fiscal, legal and historical needs of government, and to protect the rights and safety of Michigan s citizens. State records cannot be lawfully destroyed without the authorization of an approved retention and disposal schedule. Schedules define how long records must be retained to satisfy administrative, fiscal, legal and historical requirements, and they specify if and when records should be destroyed. The purpose of a general schedule is to ensure that all government agencies are following consistent retention practices, and to prevent individual agencies from needing to develop an agency specific schedule. Agency specific retention and disposal schedules only apply to the agency listed on the document. They are intended to cover records that are unique to that specific agency. A more specific retention and disposal schedule takes priority over a less specific general schedule. Additional information about records management, including links to retention and disposal schedules, is online at: 5

6 Some agencies utilize electronic document management systems. The primary electronic document management (EDM) systems utilized by the State are FileNet, HP TRIM, and Alchemy Software. Below is a chart showing the number of users and projects for each EDM system as of this writing. EDM system Projects completed Current users Projects in progress FileNet 5 5, ,885 HP TRIM IRMA Anticipated # of users based on projects in progress FileNet is an enterprise available solution that has been procured for state agency use. It is a robust document management solution that agencies can use to centrally manage electronic records, regardless of format. It is implemented and administered by DTMB-IT s Center for Shared Solutions, Enterprise Content Management (ECM) team. FileNet provides the ability to be used out of the box or integrated with agency applications. The ECM team provides services for building queries, basic workflow, and supporting the solutions operational requirements. HP TRIM is an enterprise available solution that has been procured for state agency use. It is a robust document management solution that state agencies can use to centrally manage electronic records, regardless of format. It is administered by Records Management Services. HP TRIM functions out of the box, with no custom coding or programming. Alchemy Software is utilized for IRMA (Image Repository for Michigan Agencies). It is a web-based digital image storage and retrieval service offered to state agencies by Records Management Services. It is hosted and supported by DTMB-IT. Data collection tools must be able to integrate into these 3 main data management systems of the State. It should also be noted that the AG s case management system is Legal Files, which currently runs off a Microsoft SQL 2005 server. Data collection tools should also be able to integrate into Legal Files. More information about Legal Files is online at: 7. General information about the State s IT systems The State maintains two data centers to host agency data and applications. The State primarily utilizes Microsoft Windows-based products through an enterprise-wide contract. Agencies are in the process of migrating from Windows 6

7 XP to Windows 7. Most agencies hope to complete this process by April Windows 7 is the current standard desktop offering. Microsoft Office 2010 and 2013 are the standard office tool sets. The State uses Microsoft based printing and software distribution tools. The State uses Microsoft Exchange server. Currently DTMB manages just over 60,000 mailboxes in the Exchange environment. Some agencies are using Office 365, but most have not made that transition yet. The standard server platforms are Microsoft Windows Server 2008 R2 and Office 365 solutions. As described in section 6 above, the State uses FileNet, HP Trim, and IRMA to manage some data sets. The AG uses Legal Files as its case management system. 8. Anticipated case volume and nature of work The State of Michigan has 18 principal departments, described online at: DTMB manages the data of approximately 48,000 State employees. It is anticipated that each state agency would require licenses for at least 3 power users to manage FOIA requests, for a total of 54. At any given time, the total number of concurrent licenses the agencies would require to review ESI is estimated to be 200, excluding the AG. The AG anticipates that its licensing needs will vary depending on the number and nature of the cases, but it would be ideal to have 50 concurrent licenses designated for the AG (so 250 total for the State). The ability to adjust the number of licenses quickly and easily depending on agency needs would be valuable, assuming there is a cost incentive to the State. In the context of litigation, the AG currently has approximately 500 gigabytes stored in databases in connection with 8 active cases, plus several large inactive cases. The data in these cases are a blend of data from client agencies in electronic and paper format. There is also a significant amount of data that comes into the AG from outside parties in the form of load files of images, native files, extracted text, metadata, fielded data, and OCR. In the past, however, when the AG utilized an on premise deployed e-discovery review platform, storage ran approximately 1 terabyte, although that included program and back-end files. It is also not uncommon for the AG to handle extremely large litigation and investigation files. Cases include civil and criminal litigation and investigations. It is not uncommon for attorneys to litigate cases requiring the review of more than 10,000 documents. Although most include Microsoft Word and Adobe pdf documents, they also may include video clips, audio files, and documents in foreign languages. There have also been a few investigations that included mobile phone 7

8 SMS data (text messaging). However, there are many files that would benefit from e-discovery products and services, simply to conduct document review and production in an efficient manner. The lifecycle of the average litigation file varies widely from practice area to practice area. Some cases last as little as a year while others can last more than 5 years for complex or multi-state actions. FOIA files, however, are generally on a much shorter lifecycle, usually a month or two. Although FOIA coordinators must keep a copy of all written requests for at least 1 year under MCL , the records produced need only be retained as otherwise provided under the applicable retention and disposal schedule unless superseded by a legal hold. In other words, the records produced under FOIA do not become a new category of records. The number of custodians subject to collection varies widely as well. It has been the experience of the AG that litigation files vary widely, from one custodian to more than 70 custodians. The typical number of custodians is in the range of 5 to 10. It is expected that a comprehensive e-discovery solution will increase staff attorneys usage of available e-discovery products and services, so the number of litigation files designated for e-discovery processing is expected to rise. THE STATE OF MICHIGAN SINCERELY APPRECIATES THE EFFORT PUT FORTH IN RESPONDING TO THIS RFI. Questions Please respond to the following topics and questions sequentially in a Question and Answer format, providing thorough information for each. Please fill in Tables 1, 2, and 3 below and submit them with your answers to the questions. 1. (a) Company full name; (b) company address; and (c) name, phone number, and address of the individual who will serve as your company s authorized contact. 2. Provide hyperlinks to or copies of industry reviews that describe qualifications for your e-discovery solution, e.g., Gartner, Sedona Conference, Socha, Forrester. 3. Which of the following sections of the Electronic Discovery Reference Model (EDRM) does your company provide products or services for? a. Information management 8

9 b. Identification c. Preservation d. Collection e. Processing f. Review g. Analysis h. Production i. Presentation 4. What is your company s pricing model for each of the products and services designed to address the EDRM segments above? 5. If your company s pricing model is per-project only, please use the following assumptions to generate an estimate for the State: Assume 10 custodians with 1 Microsoft Outlook box each, with an average size of 2 GB and 45,000 s each Assume 10 custodians with standard electronic Microsoft Office files with an average size of 1 GB and 15,800 files each Assume 10 custodians with approximately 2,000 pages of paper documents each Vendor hosting for 12 months 4 licenses for attorney review, 1 license for a super user Electronic files stored in user folders and shared network drives Image and native production with Bates numbering 2 production sets by CDs Include collection costs Include paper processing, scanning, and OCR Include costs to set up the database, customize fields and coding panels Include costs for consulting services for overall project management, specialized technical assistance with data analytics, client data preservation and collection consulting services Include licensing fees Include processing costs, such as data volume reduction (de-nist, de-dupe, near-dupe, date and keyword filtering), extracting metadata and full text from and native documents, and predictive coding Include data analytics such as identifying near-dupe or similar docs, threating, clustering, and predictive coding Include production costs Table 1 Cost Estimate 9

10 # Service Cost ($) per hour or other unit (specify) 1 Project management services 2 Legal hold 3 Data mapping services 4 Preservation services 5 Data collection 6 Hosting services 7 Paper scanning 8 OCR (paper and pdfs) 9 Database set-up, field customization, coding panels 10 Early data/case assessment 11 Other data analytics services 12 Client data preservation and collection consulting services 13 Licensing fees (reviewers and super user) 14 Processing costs 15 Predictive coding 16 Predictive coding consultation services 17 Predicting coding training services 18 Production cost 19 Other services recommended or required by vendor but not listed here 20 Government discount? Vendor notes 6. In providing those products or services stated in no. 3 above, do you utilize partnerships with other vendors or service providers? Please provide a description of those partnerships. 7. Provide a comprehensive description of your company s pricing models, including costs for: a. Transition b. Implementation c. Training (itemize for on-site, webinar, and telephone training) d. Professional consultation e. Hosting f. Licenses g. Maintenance h. Support 10

11 i. Enhancement j. Project management k. Other products and services offered but not identified here 8. Please identify other costs the State may incur to implement your e-discovery solution, e.g., hardware and peripherals. 9. Do you offer a choice between (1) hosting the e-discovery solution at the vendor site and (2) implementing the e-discovery solution on premise using the State s infrastructure? What are the costs associated with the available options? 10. Provide a comprehensive description of your company s licensing models. Explain how your solution is licensed and priced for in-house deployment versus hosted. 11. Please identify: (a) how e-discovery software services are accessed, i.e., through the network, Citrix, or other secure access software, or through the web; (b) any costs associated with access, such as web certificates or software; and (c) the level and type of security used to protect the data from intruders. 12. Is your company able to assist the State in developing protocol for workflow management? If so, what are the pricing models associated with those services? 13. Does your company offer a cost effective solution to streamline the review and production of smaller data sets, e.g., 1,000 documents or less? 14. Does your company offer a way to keep agency data separate from the data of other agencies, so as to comply with applicable privacy rules and regulations? 15. If your company offers a legal hold tool, is it possible to modify it so as to meet the needs of state agency Freedom of Information Act coordinators? 16. What is your company s approach to product development? 17. What is the process for product enhancements? Is there a cost for upgrades or enhancements? 18. If your company offers a collection tool as part of its solution, what is involved in terms of time and State resources in order to configure the product to reach the agency data? 19. What sort of State resources would you expect to be necessary to implement and manage an e-discovery solution? E.g., paralegal time, technical support 11

12 services, enterprise architecture services, contract and project management services. How many hours per week per person? 20. Based on the data provided in this document, please provide an estimate of the costs associated with your proposed e-discovery solution. If you need additional information from the State to provide such an estimate, please submit a question using the process described in the RFI instructions above. 21. What additional information from the State would assist your company in preparing a comprehensive response to a future request for proposals (RFP)? 22. What questions have not been asked in this RFI that you think should be asked of the vendor community in a future RFP for e-discovery software and services? (Please exclude company background and customer references; those areas will be covered.) Table 2 - Functionalities For each function listed, please state whether it is supported directly by the proposed solution. If more information or clarification is required, enter that information in the Vendor Response column. # Functionality Supported? (Y/N) Identification 1 Provides search and identification capabilities for Microsoft Exchange (version 2003 and higher) 2 Provides search and identification capabilities for Microsoft Exchange attachments 3 Provides search and identification capabilities for Office Provides search and identification capabilities for backup tapes or other archival storage media. Please elaborate. 5 Provides search and identification capabilities for network share locations 6 Provides search and identification capabilities for desktops shared drives 7 Provides search and identification capabilities for laptops 8 Provides search and identification Vendor Response 12

13 capabilities for tablets, e.g., ipad, Surface Pro. Please list tablets supported. 9 Provides search and identification capabilities for cell phones, e.g., iphone, Blackberry 10 Provides search and identification capabilities for FileNet 11 Provides search and identification capabilities for IRMA (Alchemy Software) 12 Provides search and identification capabilities for HP TRIM 13 Provides search and identification capabilities for Legal Files system 14 Provides search and identification capabilities for Microsoft SQL databases 15 Provides search and identification capabilities for Oracle databases 16 File type support for Adobe Acrobat PDF versions 6 and higher 17 Tools to decrypt Microsoft Office documents, PDF files, or other files that may be encrypted 18 Supports reporting on encrypted and protected files 19 File type support for ASCII Text 20 File type support for Microsoft Access 1997, 2000, 2003, 2007, 2010, File type support for Microsoft Excel 1997, 2000, 2003, 2007, 2010, File type support for Microsoft PowerPoint 1997, 2000, 2003, 2007, 2010, File type support for Microsoft Word for DOS all versions 24 File type support for Microsoft Word for Windows 1997, 2000, 2003, 2007, 2010, File type support for Microsoft RTF (Rich Text Format) 26 File type support for FileMaker Pro version 6.0 v4 27 File type support for HTML 28 File type support for audio files, such as WAV, MP3, WMA, etc. 29 File type support for video files, such as MPG, MP4, AVI, etc. 13

14 30 File type support for ZIPs and other container files 31 File type support for images files such as TIFF, JPEG, and GIFF 32 File type support for OCR of image files in TXT file format 33 File type support for OCR of image files in PDF 34 File type support for SMS or other text messaging types 35 Support for the inclusion or exclusion of system file types 36 Support reporting on encrypted and protected files 37 Provides capability to account for name changes, aliases, and different naming conventions that may relate to the custodians being searched 38 Support for searching on content containing international languages (Unicode). Please detail the languages that are supported. 39 Provides early case analytics to generate cost estimates based on keywords 40 Ability to adjust assumptions when using early case analytics, e.g., ability to adjust variables such as hourly rate of individual reviewing data for production 41 Ability to cull or filter out unnecessary data, such as NIST files, junk , mass mailing lists, or other non-business related data 42 Ability to map agency data 43 Support for social media such as YouTube, Facebook, Twitter, etc. 44 Ability to identify data without disrupting employee s work 45 What is your company s pricing model for the goods and services listed under the Identification category? Legal Hold Management 46 Provides legal hold notice templates 47 Ability to legal hold notices to key personnel using Microsoft Outlook 48 Ability to include in legal hold notices 14

15 interview questions to custodians and ability to generate reports from there 49 Ability to customize legal hold schedules and reminders as needed or a portal for custodians and litigation support staff to view multiple legal holds across cases/agencies. In the alternative, legal hold reminders that can be consolidated for multiple cases. 50 recipients able to transmit receipt and acknowledgment of legal hold notices with simple click or other simple means 51 Legal holds can be responded to through mobile devices 52 Tracking of legal hold notice issuance, receipt, reminders, and releases 53 Legal hold tool modifiable to meet needs of Freedom of Information Act coordinators 54 Legal hold tool modifiable to provide notification to agency managers when employee departs state government employment and data must be preserved and not wiped for redeployment of computer 55 Security for person acknowledging legal hold (i.e., person has to provide a password to acknowledge receipt of legal hold by correct custodian) 56 Legal holds retained so that historical data can be reported on through the system 57 Ability to escalate legal hold notices to supervisors for non-compliant employees 58 Reporting capabilities on status of legal holds by issuer or recipient group, e.g., across a department or agency 59 What is your company s pricing model for goods and services listed under the Legal Hold Management category? Preservation 60 Please describe how your solution preserves data and prevents spoliation 61 Support for legal holds on Microsoft Exchange server and archive database 62 Support for legal holds on file shares located on physical and virtual servers and 15

16 SAN/NAS storage devices attached to State network 63 Support for legal holds on desktops and laptops attached to State network 64 Support for multiple searches used to place and remove holds per matter 65 Support for multiple legal holds on a record without need for copies 66 Support for ability to remove multiple legal holds on a record per matter 67 Support for in-place legal hold on existing content 68 Support for controlled suspension of automatic deletion routines 69 What is your company s pricing model for the goods and services listed under the Preservation category? Collection 70 Collection of preserved records (legal holds) can be applied to the file types listed in the Identification section above 71 Support for collection of files from Lotus Notes server and archive database 72 Support for collection of files from Microsoft Exchange server and archive database 73 Support for collection of files from file shares located on servers and SAN/NAS storage devices attached to State network 74 Support for collection of files from desktops attached to State network, including collecting a forensic bit-by-bit copy of the desktop hard drive 75 Support for collection of files from laptops attached to State network, including collecting a forensic bit-by-bit copy of the laptop hard drive 76 Support for collection of multiple searches to place records into a legally defensible, secured location for each matter 77 Collection can occur in such a way that government operations are not interrupted 78 Cloud-based storage available? 16

17 79 Ability to collect data without disrupting employee s work? 80 If hosted solution, encryption provided for any data being transmitted to and from the hosting center 81 What is your company s pricing model for the goods and services listed under the Collection category? Processing and Data Analysis 82 Ability to OCR images and extract text from native documents 83 Ability to unitize and process paper into digital format 84 Ability to process a forensic copy of a hard drive, i.e., AFF, AFF4, E01, L01, etc. 85 Ability to import load files of images, native files, OCR or extracted text from other software programs, such as Summation, Concordance, Ringtail, etc. 86 Ability to recognize hash codes or other metadata to de-duplicate 87 Ability to recognize hash codes or other metadata to near-duplicate 88 Provides statistical and graphical analysis of collected data based on custodian, date range, and file type prior to processing 89 Ability to filter collected data by custodian, date, file type, and file size prior to processing 90 Ability to filter collected data by NSRL database list (de-nist) prior to processing 91 Ability to filter collected data by customerdefined known file lists prior to processing 92 Ability to process (extract text and metadata) from all file types specified in the Identification section above 93 Ability to de-duplicate records and data of a single custodian across multiple data stores and across all custodians 94 Ability to maintain family file relationship structures 95 Provides a pre-processing scan of all documents to detect and repair file-level errors prior to full processing 17

18 96 Support average processing speeds of at least 10 GB per hour 97 Support for processing on content containing international languages (Unicode). Please detail the languages that are and are not supported. 98 Support for processing reports to understand file errors, warnings, and key processing metrics such as de-duplication rates, total # of messages and loose files, and average document size 99 Explain how the solution handles time zone settings 100 Support extraction of attachments from s and ability to process attachments as separate documents that are associated with the original message. System maintains metadata between original files and attachments 101 Provides capability for metadata extraction making it available for review 102 Ability to later add information to an index without re-indexing the entire case dataset 103 Support processing of nested attachments (e.g., the solution can process all documents included in an which contains one or more.msg attachment and their attachments, which may include a ZIP file attachment or loose Word or Excel documents) 104 Support extraction and processing of files within container files such as ZIP and RAR and support the processing of files in nested containers (e.g., a ZIP within a ZIP within a ZIP) 105 Ability to identify and report on encrypted and password protected files 106 Support for nesting multiple combinations of Boolean search terms and parameters into expressions including AND, OR, NOT, etc. 107 List the searchable file formats 108 Support for all analysis features to operate on and across the entire matter, including 18

19 matters up to 5 million documents. Please detail what features do not analyze content across the entire case data set at once 109 Supports wildcards and proximity searching 110 Support OCR fuzzy searching or other methods of searching OCR with optimum results 111 Supports stemming and literal searches 112 Supports search of content in tags or document notations 113 Support for search on international content (Unicode) 114 Support for searches by document ID, source location, custodian or processing batch 115 Support search by senders, recipients, urgency, and direction (e.g., internal only) of 116 Support search by attachment content or type 117 Describe how your solution helps us with Federal Rule of Civil Procedure 26(f) (meet and confer) 118 Describe how your solution is positioned to assist us with the proposed changes to the federal rules of civil procedure concerning e- discovery 119 Describe how your solution ensures the defensibility of keyword selection and searching procedures to avoid e-discovery defensibility issues 120 Provides automatic documentation or reporting of executed searches and keyword variation selections 121 Support real-time and iterative sampling of search results 122 Ability to preview search results prior to running searches to remove obvious false positives 123 Support for relevance ranking: Retrieved documents that most closely satisfy the query criteria should be listed or ranked above those that match less exactly. Ranking should also place a higher priority 19

20 on matches in a title or subject than on those in body text 124 Use of directory information such as names, addresses, and department groupings to extend the values of certain metadata fields, such as message recipients, or create new metadata, such as departments creating or receiving content 125 Provides ability to visually track threads for responses based on content and metadata, not just metadata 126 Provide ability to visually analyze sender or receiver clustering representing periods of high activity or periods of no activity and the addresses involved in the cluster 127 Ability to group documents and s together that pertain to the same or similar topic 128 Ability to identify and group documents based on language 129 Ability to identify and group documents by frequently found nouns or noun phrases 130 Ability to organize and group related loose files for analysis 131 Ability to organize and group related custodians for analysis 132 Provides hit highlighting in native documents, extracted text, metadata, and OCR 133 Cull-down and filtering: Ability to filter documents across the entire case by sender or recipient domain, group, name, document type, custodian, and language type and display exact hit counts across the entire search result set for every filter 134 What is your company s pricing model for goods and services listed under the Processing and Data Analysis category? Review 135 Native viewers included, or if not, how are they installed? 136 Provides technology/computer assisted 20

21 review (TAR/CAR) capabilities (a/k/a predictive coding) in the software build 137 Active learning TAR (start with an initial seed set, which returns samples of potentially responsive documents and asks an attorney to decide whether they are, in fact, responsive) 138 Supervised learning TAR (software looks for documents that have the same characteristics as the relevant documents in the subset) 139 Knowledge engineering TAR (software replicates how an attorney thinks about complex problems, creating a decision tree (artificial intelligence) that the computer uses to determine whether a document is responsive) 140 Ability to divide or batch out records so each reviewer is assigned a specific range or percentage of records, or by the source or significance of a subset of records; batches would include family members and ability to batch tag records 141 Ability to easily organize documents intended for review into access controlled nested folders 142 Ability to customize fields, tags, issue codes, and tagging rights 143 Ability to provide persistent highlighting on documents 144 Support for hierarchical tagging structures that define and require sub-tags based on parent tags. System provides ability for individual and bulk categorization and tagging. 145 Support for tagging or classification of documents via a single mouse click 146 Allows privileged communication to be tagged and a privileged log to be created, edited, and produced 147 Support for HTML preview of all documents 148 Annotation is supported directly in the review user interface for all document 21

22 formats 149 Support for hit highlighting of searched terms during review in native viewer or HTML preview 150 Support for user-friendly redaction of text, areas within a document, and entire pages; the ability to select the color of redaction, to overlay words within the redaction, and for the user to mouse over the redaction in transparency to see the words underneath; provide ability to burn in redaction for production 151 Provides find-and-redact functionality; the ability to batch-redact multiple pages; the ability to batch-redact PPI in a document 152 Identifies and displays items related to the document in review 153 Provides reporting for reviewer progress and productivity analysis for each reviewer, along with reviewer actions, such as login, logout, search, tag, print, and export 154 Tools to delete or remove documents from the database pursuant to clawback agreements 155 FTP site for uploading documents 156 Ability to use solution to create brief bank or knowledge bank for departmental use 157 Mobile device friendly? Software compatibility with tablets, such as ipad 158 Compatible with dual-monitor display 159 What is your company s pricing model for the goods and services listed under the Review category? Production 160 Support for individual products sets and batch export 161 Support for export to HTML 162 Support for export to CSV with custom fields 163 Support for image-based productions such as TIFF 164 Support to un-duplicate data by custodian on export. 165 Support for export to Relativity, 22

23 Concordance, Summation file formats (name others if applicable) 166 Support for export to EDRM XML compatible formats 167 Support for producing documents one at a time or in batch 168 Ability to organize production sets using a folder-based structure 169 Support for burned-in redactions in a production set, where text is secured from unauthorized display, search, and review. 170 Support for production mark-up tools that will provide custom header, footer, and watermark labeling of documents in imagebased production 171 Support for Bates stamping onto images in a production set; ability to track production set numbers for each rolling production 172 Trial presentation tools to allow for the organization and presentation of , native documents or images, including highlighting and calling out text, presenting documents side-by-side, presenting photographs, video or audio during trial, etc. 173 What is your company s pricing model for goods and services listed under the Production category? Transcript Management 174 Electronically store transcripts prepared by court reporters 175 Annotation tools to apply notes, highlights, issues and capture excerpts 176 Ability to create reports on notes, highlights, issues or excerpts 177 Ability to organize and share transcripts 178 Ability to organize and share research and other documents? 179 Ability to handle real time court reporting transcripts 180 What is your company s pricing model for goods and services listed under the Transcript Management category? Training, Support, Miscellaneous 181 Training for power users available 23

24 182 Power user or administrator certifications available 183 Training for attorney reviewers and support staff available 184 Webinars available 185 Onsite support statewide 186 Michigan offices 187 Remote support available 188 Solution provided in modules such that each product is stand-alone hour customer support available 190 Quick response times for customer support requests? What is the average wait? 191 Preference is to work directly with the lead attorney on a litigation file or through a state agency litigation support services coordinator? 192 Company willing to procure cyber insurance naming the State as an additional insured 193 Able to develop checklists and standardized statements of work to guide state agency employees in defining scope of services and determining project budget 194 What is your company s pricing model for services for the goods and services listed above? Table 3 Technical Needs For each requirement, please state whether the requirement is supported directly by the proposed solution. If more information or clarification is required, enter that information in the Vendor Response column. # Architecture/Technology Supported? (Y/N) 1 Please detail the technical architecture of your solution. Also, attach a separate diagram depicting this architecture 2 Is your solution a self-contained solution or does the solution require additional Vendor Response 24

25 licenses and software from third parties? Please describe. 3 Does your solution require additional hardware from third parties? Please describe. 4 Please describe the typical installation time and resources required for your solution 5 Describe the key differentiators of your technical architecture 6 Describe the minimum and recommended system requirements for your solution. Include Operating System, CPU, RAM, Database, Disk Space, etc. 7 What operating system and platforms does your product support (e.g., Solaris, Linux, Windows)? 8 Describe how scalable your solution is. How does the solution handle 50 concurrent cases each containing at least one million documents? 9 Describe your solution s storage requirements and capabilities 10 Describe any key technology differentiators (any leading edge technologies?) that set your application apart from your competitor s application. 11 How is the warranty of the system handled? Administration 12 Describe the system administration tools provided with your application. Are these tools web-based and apply to the entire solution? 13 Support for multiple administrative roles and privileges for the (1) system; (2) case; and (3) capabilities within each case 14 If your solution is web-based, what version of Internet Explorer is required? 15 Describe the backup and disaster recovery process 16 Describe how your application integrates with Microsoft Windows Active Directory Security 25

26 17 Audit trail: Describe the ability for your solution to log administrative and user actions such as login, logout, search, tag, print, and export 18 Describe the security of data transferred to and from your solution such as usernames and passwords and any data that might be transferred between a server and client 19 Does the application support cryptographic features to protect confidential information? Please describe. 20 Describe your application s security structure. Is security role-based and configurable down to an individual case or object level? 21 Information Security/Integrity/Audit Certification: Is your application and supporting IT infrastructure periodically audited/evaluated by an independent third-party pertaining to the principles of information security, availability, processing integrity, confidentiality, and/or privacy? Please describe the frequency and type of evaluation/ certifications you have had recently and anticipate in the future. Examples of third-party evaluations include those conducted in accordance with the AICPA s Service Organization Controls (SOC) reporting framework, or the US Government s FedRAMP program Reporting 22 Ability to generate supporting documents or itemized statements sufficient to support a charge-back model, e.g., to charge State client agencies for services rendered per matter? 23 Ability to document chain of custody of data? 24 Describe the ability to report on processing statistics such as file exceptions/errors, deduplication rates, 26

27 number of documents, average size of documents, etc. 25 Describe the ability to report on case progress, including the total number of documents reviewed/analyzed, unreviewed, and tagged 26 Describe the ability to report on tag distribution of documents, such as privileged, responsive, unresponsive, etc. 27 Provides the ability to report details of search and results on a per-search basis 28 Is your reporting tool internally built or does it use third party software? Please describe. 29 Describe the solution s ability to provide audit history logs, which include a simple means of reporting on searches by custodian, operator, keyword, phrase, concept and matter 27