Proposal No. P16/9921 Records Management Platform

Transcription

1 Answers to Vendor Questions Questions are in black, Answers are in red 1. Please expand on the types of restrictions PCCCD is interested in. Provide what kinds of restrictions your system has the ability to enforce. 2. How does the system ensure compliance with data storage restrictions, such as those related to data at rest, and geographic requirements? Please answer this in your response. 3. How many users will be directly accessing the proposed Record system? (ie creating/registering records or viewing/using/accessing records?) Estimate of users. 4. How many records are estimated to be managed in the first year of the project? Unsure, we anticipate at least 10 departments should be ready to go. 5. Page 3 Section 1 Project Summary-In terms of the Banner Integration requirements: 1. Clarify what is meant by integration? Integration means that whichever platform is selected it can query our student information system for pertinent information such as last date of student activity. This is important because many of our retention rules would rely on the information in this system to determine when a record in another system needs to be disposed. 1. Is Banner a web-based application or desktop application (what is user interface)? It is both. Banner has two interfaces, a forms-based one (INB) and a web-based one (SSB) 2. Is there a Banner API and will we have access to it? There is not just a single API. Ellucian describes many of its PL/SQL packages as APIs. Some are available to end-users for customization while others are considered off-limits by Ellucian 3. What are the data types and formats generated in Banner? The vast majority of fields in Banner are VARCHAR2 with some numeric (integer) types and occasional floating point decimals and LOBs. 4. Can they provide a description of a typical use case? Custom in-house applications may query Banner for employee names to populate an external table. 6. Page 5 Section 2 Central Policy Definition- 1. Which language(s) does PCCCD need to support for double byte requirement? Currently PCCCD only requires support for English. 2. How many jurisdictions / what kind / where? The intent of jurisdictions is to ensure that certain departments have the ability to classify

2 records according to their needs and regulatory environment. PCCCD has multiple instructional programs that have different legal requirements for the same kinds of records other units within the College may not share. We also have an online component and an International Student Component. Having the functionality in a system to do this is more or less what we are looking for. 7. pp. 6-7 Section 2 Records Retention 1. Which 3 rd party repository do they need in place management for? Currently: Application Xtender Banner Document Management System, Google Drive, and Iron Mountain for our physical records. 2. Which geography requirements needed for data storage? Both onsite and off-site are acceptable. 3. Federated search? Which kinds of repositories to be supported? Federated search, meaning for E-discovery purposes can your system support a search through the entire enterprise once all the policies and classifications have occurred. We have network file shares, Google Drive (cloud Storage), Banner Document Management System for imaging, independent Oracle databases, some 3 rd party vendors we need to connect with. See question above for 3 rd party vendors. 8. pp. 7-8 Section 2 Classification and File Plan: 1. Please elaborate on this requirement: File Plan Legal Can the system utilize exemplars / sample file plans and profiles to validate classifications? Can the system use and validate templates for ease of creating new classifications by the Office of General Council. 9. Page 8 Section 2 Physical Records- 1. How does the system validate that Service Level Agreements are being met in the management and governance of physical records? Address in your response. 2. Which SLA s are being tracked specifically, are they the SLA s between the College and an external storage vendor? SLA between the College and Iron Mountain (our third party vendor). Explain lifecycle management of this system and administrative functions. 3. Do they have a system in place for legal feeds now? If so which? The Iron Mountain portal currently allows us to apply legal holds manually to boxes.

3 10. Section 2 Page 10 Architecture and Integration What specific file shares are the using and need inplace management for? All College file CIFS shares including personal file shares. We have multiple windows file servers. We have multiple enterprise level storage devices that share via CIFS, such as NetApp. 11. Page 18 describes a 5 year project plan. Is PIMA under a mandate to have the program in place by that time? No 12. Question: More generally, what is the impetus behind this initiative? Is there a business and / or regulatory driver forcing PIMA to undertake the project? Yes/Yes 13. Multiple content systems are listed as possible candidates for governance: Banner, Oracle, File Shares, Cloud-based systems, and others. Has PIMA prioritized which system(s) must be placed under governance first? Currently in the process. 14. If so, where do Physical Records fit in this priority? We are currently looking to integrate with our existing partnership with Iron Mountain for our long-term records storage. 15. Is the project intended to address existing (IE, legacy) content? Content produced on a going-forward basis? Both? Both. 16. More generally, what is the high-level project timeline? Are there mandates that must be met by a given date / dates? High-level is integration with Banner and the Banner Document Management System (Application Xtender) products, as well as file shares. These systems have priority. 17. Does PIMA have an understanding of what content resides on those systems? Is there a mapping between content and nodes in the Retention Schedule? We have 10 departments that have completed this mapping which would be the initial 10 we deploy first. With more departments completing this project monthly, this will be a phased roll-out.

4 18. What are the estimated content volumes (numbers of items, storage size) in the key systems? Banner Oracle DB - ~1.2TB Central File Shares (i.e. \\nas) - ~20TB //This does not include campus file shares BDMS file storage size - ~200GB 19. Which stakeholders are the target of the audit reports? What Key Performance indicators are they interested in? Our Executive Leadership Team, legal, Internal Audit and RIM. The KPI s are as follows in no particular order: Control the creation and growth of records Reduce operating Costs Improve Efficiency and productivity (measured via survey) Ensure regulatory compliance Minimize litigation risks Safeguard vital information Support better decision making with better data/information Preserve College memory. 20. Are there plans to decommission any of the content systems? If so, is there a content migration strategy being developed to manage documents and records currently being stored on those systems? No. 21. Question: Page 11 (Hosting Requirements) suggests PIMA is open to a hosted solution. Is there a preference between a hosted versus on-premise deployment model? On premise is preferred. 22. Page 12 (Archiving) suggests the preferred approach is to migrate content to a centralized archive and manage it there. Does PIMA have such an archive already in place? Yes, our Banner Document Management System. 23. What is / are the underlying repository / repositories storing content created in and accessed through BANNER? Application Xtender s Banner Document Management System. This is an EMC2 product. 24. Which specific double-byte character languages must be supported by the system?

5 English. 25. The RFP describes the requirement to accept legal feeds. Does PIMA currently subscribe to such a feed? If not, is one required as part of this project? No we don t. We are looking for a vendor that can provide such a service. 26. Question: To meet review and approval workflows, has PIMA implemented a BPM / Workflow tool at this time? Or must these requirements be met by this project? Needs to be met by this project. 27. Does PIMA intend that this project integrate BANNER ERP Processes and Workflows into the system? Yes. 28. Have file plans/classification schemes/taxonomies been developed for all unstructured content? If so, is the classification mapped to the PIMA retention schedule? Yes. 29. If unstructured content has not been classified, how does PIMA intend to classify this content? Record Inventory of every unit. However many of the file shares could benefit for a service where the files are crawled and auto classified where possible. 30. Does PIMA maintain its own retention schedule, or is the schedule defined by the State of Arizona? Both. 31. Several SSO / User Authentication protocols are cited in the technical requirements, including Active Directory, LDAP, Oracle Access Manager, and CAS/Shibboleth. Does PIMA utilize all of these technologies / protocols? We use all except for Oracle Access Manager