ediscovery Implementation Services Statement of Work To be Executed under State Blanket Contract ITS53 Cat2B Overview: The Massachusetts Water Resources Authority is looking for a vendor to provide business policy definition, implement Symantec Enterprise Vault & Clearwell technologies, and validate the business policy definition workflows against the production solution environment. The scope of the services includes policy definition, implementation, configuration, testing, production pilot, and production validation. Specifications: This Massachusetts Water Resources Authority is looking for a vendor to provide services for MWRA business policy definition (based on existing ADM.14 Records Management requirements), implementation of Enterprise Vault for Exchange & File Share Archiving, and implementation of the Clearwell ediscovery Platform. Vendor will provide one (1) remote access / on-site consultant to provide the following activities: Phases of Work Providing Business Policy Definition documentation based on Client s ADM.14 requirements Deploying Enterprise Vault 1. Deploying Journal Archiving 2. Deploying Virtual Vault 3. Deploying File System Archiving 4. High Availability 5. Disaster Recovery Deploying Clearwell ediscovery Platform Validation of documented Business Policy Definition workflows against production solution environment VENDOR will perform the tasks under this SOW using a phased approach: Phase 1 Project Kick Off Phase 2 Business Policy Definition Phase 3 Technology Solution Design Phase 4 Technology Implementation Phase 5 Technology Production Pilot Phase 6 Business Policy Definition Validation against Production Solution Phase 7 Final Review and Closeout PHASE 1 PROJECT KICKOFF Vendor will initiate a planning discussion to prepare for the design, implementation and deployment of Enterprise Vault components identified above. The topics outlined below will be discussed during the meeting: Review roles and responsibilities 1
Confirm primary Client point of contact Confirm engagement logistics Review scope of services Review resource requirements Review Client readiness and engagement pre-requisites Discuss desired timeline Review phase and project acceptance criteria and process PHASE 2 BUSINESS POLICY DEFINITION The purpose of this phase of the Vendor Residency is to evaluate client s archiving business requirements and current corporate retention policies against Enterprise Vault best practices in order to map those policies into Enterprise Vault & Clearwell. Policy discussions will include a review of existing requirements (if any, ex. SEC 17a-4) and client s existing corporate framework for satisfying these requirements. Participants shall review client s existing document retention, classification and other related policies and Vendor will develop policy and configuration recommendations to ensure that Client is compliant with related mandates. A. BUSINESS POLICY PROJECT KICKOFF & PLANNING Description: Vendor will provide up to three (3) initial business policy workshop review and analysis to discuss: Client s current document retention policies in the context of ADM.14 Records Management Policies o Understand & obtain contact information for designated business stakeholders with whom Vendor will be working with o Understand various owners of specific business policies o Understand whom to go to with questions/feedback o Understand any relevant scheduling concerns o Understand time impact on designated business stakeholders throughout the project Understand high level business goals for the use of the Enterprise Vault & Clearwell components Discuss strategy/planning for achieving success DELIVERABLE: Vendor will summarize and document findings for up to three (3) initial business policy workshops. PROJECT ESTIMATE: 1 Week B. BUSINESS POLICY RESEARCH AND DRAFT DOCUMENT DEVELOPMENT Description: Vendor will work with designated business stakeholders as needed to apply ADM.14 workflow & policies in combination with Enterprise Vault & Clearwell capabilities: Vendor will review and assess the ADM.14 records management policies Vendor will interview designated business stakeholders as needed per available schedule o Review initial/independent assessment of ADM.14 Records Management Policies o Review the business impact of Enterprise Vault & Clearwell technical features in nontechnical language to map objectives into functional policies within the overall solution framework Retention and Expiry for Journal and Mailbox archives Apply retention categories to journaled items Set expiry for archived journals and mailboxes File System Archiving 2
o o Volume Policy options Folder Policy options Retention Folders File Blocking Version Pruning ediscovery Case Workflow Conducting cases internally Handling legal holds (data & notification) Preserving data assigned to litigation Align feedback & research into overall assessment Re-iterate through these steps until general understanding of business policies is agreed to with their respective business stakeholders DELIVERABLE: During this phase, Vendor will provide weekly draft policies document update PROJECT ESTIMATE: 3-4 Weeks C. DRAFT REVIEW OF BUSINESS POLICIES Description: Vendor will finalize business policy document and socialize with appropriate Client resources Vendor will prepare final draft policies document Client will be provided independent time to review relevant stakeholder material and incorporate any feedback or concern Vendor will align feedback & research into final draft policies document DELIVERABLE: Vendor will provide final policies document aligning ADM.14 Records Management Policies with Symantec Enterprise Vault & Clearwell ediscovery Platform technologies. PROJECT ESTIMATE: 1-2 Weeks D. FINAL REVIEW AND PROJECT CLOSEOUT Description: Vendor will present and review finalized business policies in up to two (2) scheduled sessions with Client s Executive Sponsor, Project Manager, & Designated Business Stakeholders. Vendor will provide final policies document aligning ADM.14 Records Management Policies with Symantec Enterprise Vault & Clearwell ediscovery Platform technologies. Client will formally accept via Vendor sign off documentation DELIVERABLE: Vendor will provide final policies document aligning ADM.14 Records Management Policies with Symantec Enterprise Vault & Clearwell ediscovery Platform technologies. DELIVERABLE: Vendor sign off documentation PROJECT ESTIMATE: 1-2 Weeks PHASE 3 TECHNOLOGY SOLUTION DESIGN The Solution Design enables Vendor to collect and validate pertinent information about the Client objectives and environment for Enterprise Vault & Clearwell components. The Solution Design document defines the target architecture and provides detail of hardware, software and storage requirements. The activities to be performed include: Collect design related information via Solution Design questionnaire and relevant Symantec tools Vendor will facilitate a technical workshop to discuss the client s expectations and answer questions regarding the solutions. The Vendor Architect will use the data provided to produce a formal Solution Design document. 3
The Solution Design document will include a review of the current environment, proposed environment, a list of recommended hardware and software estimates necessary to successfully manage the solution. Vendor will facilitate a formal review of the Solution Design with the Client s project team. Client and Vendor will mutually agree, in writing, to the final Solution Design prior to initiating the next project phase Suggested Client Team participants in the technical workshop include the: Project Manager Technical architect Systems/Email/SQL Administrator(s) Storage Administrator(s) Backup Administrator(s) Network Administrator(s) Business Stakeholders PHASE 4 TECHNOLOGY IMPLEMENTATION Vendor will assist Client with the installation, configuration and testing of Enterprise Vault & Clearwell in a pilot environment. The following activities will be performed: Enterprise Vault: a) Preparation of Enterprise Vault Environment The Client will perform the following preparation steps; Vendor will verify the environment ready for the Enterprise Vault Installation: Obtain Enterprise Vault license key, (if not already done). Validate provisioned hardware against requirements Windows Servers for Enterprise Vault Implementation Storage for Vault Store(s), Indexes, and SQL Databases SQL Connectivity Verify accounts and access rights (Exchange/Domino, MSMQ, Service Account, SQL, and Windows). Review and validate prerequisite software and configuration including Message Queuing, IIS / Pool Accounts, ASP, MDAC,.NetFramework, and Outlook / CDO Create Enterprise Vault site Alias through DNS Manager on primary DNS server Create Enterprise Vault service account mailbox Obtain temporary Enterprise Vault license key, (if not already done) Review Client Enterprise Vault environment Verify Client Enterprise Vault environment is working properly b) Enterprise Vault Installation tasks in the production environment Run Enterprise Vault Deployment Scanner to verify that environment meets the prerequisite for Enterprise Vault Install Enterprise Vault Server software Run configuration routine to establish system defaults and variables including SQL directory databases, establish Enterprise Vault site, add servers to site and select data storage areas Initiate Administration Console, set partition, create vault store, create new archive, add shopping service and establish retention category Review new site Settings c) Storage Management Advanced 4
i. Mailbox Archiving, Outlook Web Access Configure mailbox archiving targets, policies and tasks Schedule the mailbox archiving tasks Configure Provisioning groups Configure Enterprise Vault Monitoring Database Configure Enterprise Vault Audit Database Configure Enterprise Vault Reports Configure Role-based administration Configure Enterprise Vault to function with Outlook (OWA) on up to four(4) messaging servers Review methodology for deploying Enterprise Vault User Extensions for Outlook or Domino Test deploying Enterprise Vault User Extensions for Outlook or Domino Test client connectivity, enabled mailboxes and Enterprise Vault functionality Test searches via archive explorer Analyze any Enterprise Vault application events in Windows Event Viewer Confirm all settings within the Enterprise Vault Administration Console o Run and review results in Report Mode o Analyze results in the Usage Report Web results page Demonstrate the flexibility of message archiving Perform tests for mailbox archiving polices Pilot the deployment of Enterprise Vault user extensions and Enable Mailbox Archiving on up to ten (10) pilot users machines Assist to generate configuration report using the configuration reporter utility (EVCR) Facilitate one (1) knowledge transfer sessions for IT engineering staff on Enterprise Vault standard practices, monitoring and troubleshooting ii. Virtual Vault Review Virtual Vault capability within Enterprise Vault Configure Enterprise Vault for Virtual Vault Demonstrate the use of Virtual Vault on test machines iii. File System Archiving Configure tasks, targets and policies for File System Archiving Install File System Archiving Agent on up to five (5) file servers Configure File System Archiving Reports Test the Enterprise Vault File System Archiving functionality d) E-discovery Standard i. Journal Archiving Client enables message journaling for the specified Email environment Configure Enterprise Vault Journaling service to archive and remove all of the collected email items Demonstrate the process of Enterprise Vault Journaling from Email Journaling e) High Availability Review Client High Availability requirements Client installs and configure cluster solution Vendor Implements Enterprise Vault with clustering support o Prepare to cluster Enterprise Vault Setup the shared disks and volumes 5
Setup the resource groups Verify Cluster failover prior to Enterprise Vault install Configure Enterprise Vault in a cluster environment Test Enterprise Vault failover in the clustered environment f) Disaster Recovery Review Client Disaster Recovery requirements Review replication methods for Archives, Indexes, SQL Client configures replication mechanism for Archives, Indexes, SQL Implement Disaster Recovery for Enterprise Vault o Install and configure Enterprise Vault for Secondary Site o Test Enterprise Vault fail over process between Primary and Secondary Site o Test Enterprise Vault failback from Secondary Site to Primary site Clearwell: Ensure that the pre-requisites are complete. Install the Clearwell appliance or verify virtual machine specifications and work with Client s IT system administrator to integrate and test the Clearwell appliance. a) INSTALLATION OF IDENTIFICATION & COLLECTION MODULE During the installation of the IC module, the Vendor consultant will work with the customer provided resources to complete the following: Configure the preservation store based on Client defined preservation strategy Configure each identified source. Sources are identified as: o File shares o Desktops / laptops o Enterprise Vault b) INSTALLATION OF PREPROCESSING, PROCESSING, ANALYSIS & REVIEW MODULE During the installation of the PPAR module, the Vendor consultant will work with the customer provided resources to complete the following: Complete the base configuration and testing for Pre-Processing, Processing and Analysis to ensure proper configuration in the Client environment. Complete the base configuration and testing for the Review module to ensure proper configuration in the Client environment PHASE 5 TECHNOLOGY PRODUCTION PILOT Enterprise Vault: The purpose of this phase is to install and configure and test the following components in the production pilot environment. Storage Management Advanced o Mailbox Archiving o Outlook Web Access 6
o Virtual Vault o File System Archiving E-Discovery Standard o Journal Archiving High Availability for Enterprise Vault Disaster Recovery This Pilot will help validate the Enterprise Vault functionality based on the requirements defined in the Solution Design: a) Production Environment Preparation: Vendor will perform the following activities with the assistance of Client to prepare the pilot environment Participate in production pilot preparation meeting(s) with Client infrastructure team, operations resources and business units Confirm hardware readiness Ensure all Enterprise Vault pre-requisites are applied to pilot environment and validate using the deployment scanner Enterprise Vault Software installation. b) Build Out Enterprise Vault Infrastructure: Installation and configuration of Enterprise Vault modules o Storage Management Advanced Mailbox Archiving Outlook Web Access Virtual Vault File System Archiving o E-Discovery Standard Journal Archiving o Configure Enterprise Vault Monitoring Database o Configure Enterprise Vault Reports o Configure Role-based administration o Configure Provisioning groups Pilot the deployment of Enterprise Vault user extensions on up to fifty (50) pilot users machines Enable Mailbox Archiving on up to fifty (50)mailboxes c) High Availability Client installs and configure cluster solution Implement Enterprise Vault with clustering support o Prepare to cluster Enterprise Vault Setup the shared disks and volumes Setup the resource groups o Verify cluster failover prior to Enterprise Vault install o Configure Enterprise Vault in a cluster environment o Test Enterprise Vault failover in the clustered environment d) Disaster Recovery Review replication methods for Archives, Indexes, SQL Review Client Disaster Recovery requirements Review replication methods for Archives, Indexes, SQL Implement Disaster Recovery for Enterprise Vault o Install and configure Enterprise Vault for Secondary Site o Test Enterprise Vault fail over process between Primary and Secondary Site o Test Enterprise Vault failback from Secondary Site to Primary site e) Post Installation Verification 7
Perform functional verification testing Storage Management Advanced o Mailbox Archiving o Outlook Web Access o Virtual Vault o File System Archiving E-Discovery Standard o Journal Archiving Clearwell: a) INSTALLATION OF IDENTIFICATION & COLLECTION MODULE Create and test collections tasks against the defined sources. (Testing for data collection not to exceed 100 MB for each source). Create collection sets to prepare data for processing in the PPAR module Process collected data via PPAR to ensure integration and functionality b) INSTALLATION OF PREPROCESSING, PROCESSING, ANALYSIS & REVIEW MODULE Test and verify functionality including: o Pre-processing / filters o Processing o Exceptions handling o Search and analysis Test and verify Review functionality with a subset of Client data focusing on the following: o Redaction o Caching o Review modes o Production PHASE 6 BUSINESS POLICY DEFINITION VALIDATION AGAINST PRODUCTION SOLUTION Vendor will assist Client by working with Legal and IT stakeholders to validate provided Business Policy Definitions against the production solution. During the validation process, the Vendor consultant will work with Client provided resources to review, test, & validate provided Business Policy Definitions based on Client s ADM.14 requirement against the fully implemented Enterprise Vault & Clearwell solution. This phase will also be used to identify new workflows and adjustments to previously defined Business Policy Definitions specified to utilize the Enterprise Vault & Clearwell solutions in accordance with best practices. PHASE 7 FINAL REVIEW AND PROJECT CLOSEOUT Review documentation and project activities Participate in Closeout meeting and review sign off documentation 4) VENDOR PROJECT MANAGEMENT Vendor shall provide a designated project manager who shall provide direction and control of Vendor project personnel and a framework for project communications, reporting, procedural and contractual activity. The Vendor Project Manager will: Review the scope of work and any associated document with the Client 8
Establish and maintain project communications with Client Review and administer the change control procedure with Client (as necessary) Manage issues and work with Client to resolve deviations from the project plan Submit status reports to Client Participate in regularly scheduled meetings with the Client Coordinate and manage the activities of Vendor personnel 5) ASSUMPTIONS Issue the signed SOW and supporting Purchase Order no later than three weeks prior to the requested start date Client will deploy Enterprise Vault User Extensions using internally approved deployment mechanism Vendor will provide Enterprise Vault User Extensions.msi file for deployment Client will configure SQL as required. Vendor will install Enterprise Vault SQL databases Client will use TBD as the storage platform for the Enterprise Vault Store data Client will drive the internal change management requirements Client will install the Clearwell Appliance on Client s network and create the required administrator accounts prior to the Vendor consultant arriving onsite (installation prerequisites will be provided in writing) 6) CLIENT RESPONSIBILITIES In connection with the services performed by Vendor under this SOW, Client will: a. Provide Vendor with immediate access to Client s designated on-site supervisor and technical resources for the services for the duration of the engagement covered by this SOW. Client s on-site supervisor shall have the necessary knowledge and authority to make decisions concerning implementation of this SOW, along with the technical resources and knowledge of the Client s environment to enable the methodology described herein. b. Provide Vendor with access to the business during normal business hours including buildings, parking, phone systems, server rooms, and workstations, and will provide all necessary passes for access to such areas if work is required by Client outside of normal business hours. This includes workspace with easy and comfortable control of workstation keyboard and mouse to manage server environment. If this is a remote project, Client will provide Vendor with resources as required and requested by Vendor. c. Provide a description of the target computing environment inventory and topology including the number of servers at each site and their platforms as needed; and provide access to all operating systems and network and computing environments necessary to complete the services. Such access shall include user accounts, system administrators and other areas as deemed necessary by the Client. d. Provide access to any computer(s) requiring troubleshooting as selected or deemed necessary by Client. e. Provide licensed copies of all software products, including any software and / or hardware products, to be installed, implemented or used hereunder. Payment for, license, use and operation of all such products are the sole responsibility of Client. f. Provide a suitable test environment that is representative of server or workstation mix and platforms. g. Ensure that all required site preparations are successfully met including, but not limited to, business and application testing and all necessary data backup. 9
h. Provide Vendor with access to on-site supervisor for daily status meetings, if needed, and to sign Vendor timesheets and/or other engagement documentation, at the end of each week, phase and end of the project. i. Respond timely to Vendor s requests that Client s resources work on issues and tasks not directly stated in this SOW, but which have a direct impact on the successful completion of this project. 7) MUTUAL RESPONSIBILITIES In connection with the services performed by Vendor under this SOW, Client and Vendor will: a. Assign a Project Sponsor as the single point of contact for issue resolution, activity scheduling, and information collection and dissemination. b. Assign a Project Manager as a central point-of-contact for daily project management for the duration of this engagement. c. Assign a lead Technical Resource to act as a single technical point-of-contact. d. Conduct Project review meetings at a mutually agreed upon time and location to discuss the project status, issues, new requirements and overall project satisfaction. e. Support and provide representation at these meetings, which will cover performance status update, schedule update, pending changes, open issues and action items. f. Support issue identification, escalation and resolution. g. Coordinate any change to this SOW using the Change Process described herein. h. Collaborate to adjust project schedules and re-deploy resources in an expeditious manner in the event of schedule delays that are beyond the control of either Party. i. Meet at the conclusion of the Project to bring the Project to closure and capture, discuss, and resolve any Project issues that may have arisen. Services Units Total Vendor Residency Services Vendor Project Management Services Estimated Expenses Total Bid Proposal 10