Appendix_1_-_Requirements_Traceability_Matrix.xlsx
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Appendix 1
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Requirements
| Requirement ID | EDRM Stage | Function Set | Requirement | Necessity Flag | Offeror's Response | ||
| Fully Meets, Partially Meets, or Doe Not Meet | Comments | ||||||
| 1 | System Configuration | Performance | System shall allow users to simultaneously perform three or more processing tasks and 50 review tasks without causing admin or front-end system performance degradation. | Mandatory | Fully Meets | ||
| 2 | System Configuration | Performance | Outside of scheduled maintenance windows, selected system must be available for use by end-users 24/7 (assuming 99.9% availability), even while Contractor is processing and/or loading data. | Mandatory | Partially Meets | ||
| 3 | Overall | Throughput | System must ingest and process at minimum 100 GB of data per 24-hour period, as measured from the time the Contractor receives the data, weekends and Federal holidays other than President's Day, Columbus Day and Veteran's Day excepted (e.g., 100 GB of data received at 2 p.m. on a Friday must be ingested and processed by 2 p.m. Monday, while 200 GB of data received at 2 p.m. on a Friday must be ingested and processed by 2 p.m. Tuesday). The data must be loaded into the review platform and available for OCC use by the expiration of the period. | Mandatory | Does Not Meet | ||
| 4 | Overall | Throughput | System shall be sized to anticipate case sizes as small as 1 GB and as large as 5 TB. | Mandatory | |||
| 5 | Production | Throughput | The proposed solution must produce at minimum 100 GB of data per 24-hour period, as measured from the time the Contractor receives the request for production, weekends and Federal holidays excepted (e.g., 100 GB of data requested for production at 2 p.m. on a Friday must be produced by 2 p.m. Monday, while 200 GB of data requested for production at 2 p.m. on a Friday must be produced by 2 p.m. Tuesday). | Mandatory | |||
| 6 | Support | Throughput | Contractor shall have the ability to scale up technical and eDiscovery resources as required to support loading and processing up to 5 cases simultaneously (loading 4 cases and processing 1 case producing from 2 cases and processing 3 cases etc.). | Mandatory | |||
| 7 | System Configuration | Capacity | At time of Production go-live, system must be configured to support a minimum of 50 active cases (100,000 - 4,000,000 images each, with 90% of cases between 100,000 and 500,000 images) with capacity to increase by 3 active cases of similar size per month over the period of performance. | Mandatory | |||
| 8 | System Configuration | Capacity | At time of Production go-live, system must support combined case sizes of 15 TB with the ability to support 2-4 additional TB of data per year over the period of performance. | Mandatory | |||
| 9 | System Configuration | Capacity | System must have the ability to support individual cases up to 5 TB in size (up to 2,000,000 documents and up to 20,000,000 images). | Mandatory | |||
| 10 | System Configuration | Capacity | System must support minimum of 20 concurrent users, with the capacity to increase up to 50 simultaneous users on demand. | Mandatory | |||
| 11 | System Configuration | Performance | For cases containing 1 million or fewer records, system shall return results of a Boolean or other indexed search within 5 seconds of user entry of the search request. | Mandatory | |||
| 12 | System Configuration | Performance | System shall render document images within 3 seconds of user entry of the request when using "Previous" / "Next" functionality (even under maximum end user load of 50 concurrent users, assumes available bandwidth of 256K upload and download speeds). | Mandatory | |||
| 13 | System Configuration | Performance | The Contractor shall perform real-time monitoring of system to detect performance degradation. Performance degradation shall be reported to the OCC within 1 business hour of detection of performance degradation (OCC business hours are from 7 AM to 7 PM EST). | Optional | |||
| 14 | Overall | CaseMgmt | The system shall support the onboarding/set-up of new cases in the system in an automated fashion, without necessitating Contractor intervention or assistance. | Mandatory | |||
| 15 | System Features | Graphical User Interface (GUI) | System must have capability to display a standard interface (landing page, dashboard) based on type of case and user role. | Mandatory | |||
| 16 | System Features | Reports | System shall provide reports about system matters, see "Appendix A - System Matters Report" for report mock-up. | Mandatory | |||
| 17 | Project Management | Task Management | System shall provide alerts (via email or text) to assist in tracking of completion or errors in long running-tasks such as processing, indexing, productions, or long-running search (e.g., greater than two seconds) or print jobs. | Optional | |||
| 18 | Processing | Media | System shall support tracking of source materials received on a case, such as tracking media received, date and time of receipt and processing type (processing, loading, production) (chain of custody). | Optional | |||
| 19 | Review | Culling and Searching | System shall provide a dashboard of the documents collected for review (virtual folders), indicating the volume name, date loaded, counts of types of records by source, doctype and allow the user to select documents to review. | Optional | |||
| 20 | System Configuration | Audit | System shall create audit records of all additions, edits to, or deletions from records in the system and indicate user making the change and the date/time stamp of change. | Mandatory | |||
| 21 | System Configuration | Audit | System audit records shall be searchable by date range, userID, and system action (and shall be exportable to .CSV, Excel, and .PDF). | Mandatory | |||
| 22 | System Configuration | Administration | System shall allow administrative functions to be performed via a web-based interface (adding/removing/de-activating users, running audit reports, adding/removing/deleting security groups, and creating review sets) without the need for downloading any software to a client side device (other than possibly browser-based ActiveX controls). | Optional | |||
| 23 | System Configuration | Technology | System must support web access via the previous major release of Google OR Microsoft's most up-to-date browser (for example, if latest commercially available browser is Internet Explorer 11, system shall support at least Internet Explorer 10). | Mandatory | |||
| 24 | System Configuration | Technology | System shall allow remote access for document review. | Mandatory | |||
| 25 | System Configuration | Technology | The system shall support access by users utilizing network download/upload speeds of 256K and higher. | Mandatory | |||
| 26 | Export/Archive | Export | System must provide export capability to external media (to be provided by the OCC); the export shall contain all images, natives, OCR, transcripts, coding, and tags from the case being exported (as well as a .DAT or other index/load file to allow the data to be imported into another system). | Mandatory | |||
| 27 | Loading | Migrate/Archive | The system shall provide import capabilities for data in Summation Pro, Concordance, and Relativity load-ready format. | Mandatory | |||
| 28 | Review | Printing | System shall allow users to print individual documents and documents in bulk. | Mandatory | |||
| 29 | Support | Availability | The system shall support 99.9% uptime/availability, except for scheduled maintenance timeframes. | Mandatory | |||
| 30 | Processing | QC | System shall provide post-processing reports that include job status metrics, exception metrics, and throughput metrics, see "Appendix C - QC Report (Document Processing). | Mandatory | |||
| 31 | Production | QC | Contractor shall provide quality control reports for documents produced from the system, see "Appendix E - (QC Report) Productions." | Mandatory | |||
| 32 | Support | QC | Contractor shall provide a specification form/document for processing data, that the OCC will complete and submit along with data to be processed, see "Appendix F - Processing Specification Template." | Mandatory | |||
| 33 | Support | Training&Documentation | System shall provide the ability for an administrator to add context-sensitive help for all data entry fields within the application. | Optional | |||
| 34 | Processing | FileProcessing | System shall perform deduplication of files using standard hash routines such as MD5 and SHA and allow users to select global or custodial deduplication for specific cases. | Mandatory | |||
| 35 | Processing | FileProcessing | System shall keep a record of all custodians of a file when global deduplication is chosen, and provide the information via a dashboard or a report indicating the custodians of the versions that have been removed as duplicates. | Mandatory | |||
| 36 | Processing | Imaging | System must be able to bulk image Microsoft Word, Microsoft PowerPoint, Microsoft Outlook, text, .rtf and .PDF files. | Mandatory | |||
| 37 | Processing | Imaging | System must allow admin user to select options on how to image standard document types (spreadsheets, word processing, and email) and to store the configuration of settings for later re-use. These options shall include choices such as whether to image "track changes" in a document; whether to unhide rows and columns in a spreadsheet; and allow for maximum page settings (e.g., "Image only the first x pages of a spreadsheet"). | Mandatory | |||
| 38 | Processing | Imaging | System shall have options in imaging jobs to select desired image output quality (DPI), either 150, 300, 600 or 1200 DPI. | Mandatory | |||
| 39 | Processing | Imaging | System shall provide options for imaging output in these formats: single-page Group IV TIFF (with associated opticon reference file); PDFs; searchable PDFs; and JPEGs (color). | Mandatory | |||
| 40 | Processing | Imaging | System shall provide a utility for bulk image QC (as with high speed scan) and allow statistical sampling of image output. | Mandatory | |||
| 41 | Processing | Imaging | System shall provide the capability to scan paper documents and create associated metadata. | Optional | |||
| 42 | Processing | OCR | System shall allow designation of selected file types to be automatically OCRed during processing (for example, a setting to automatically OCR .PDF files, or .JPG files or .TIFF files or a combination of file extensions the user chooses). | Mandatory | |||
| 43 | Processing | OCR | System shall allow an admin user to perform OCR for redacted documents, where OCR text does not contain redacted content (this OCR of redacted documents shall be able to be performed via batch/multiple documents or on-demand single-document processing). | Mandatory | |||
| 44 | Processing | OCR | System shall allow for more than one extracted text field to be used in review, searching, analytics and productions, and provide a mechanism to prioritize extracted text fields based on expected use; for example, using OCR text first in a production and if none available, then using standard extracted text. | Mandatory | |||
| 45 | Review | ReviewMgmt | System shall allow users to organize documents for review into logical groups, such as by custodian or by issue. | Mandatory | |||
| 46 | Review | ReviewMgmt | System shall provide a means of identifying discrepancies in coding of duplicate documents, and normalizing those discrepancies. | Optional | |||
| 47 | Review | ReviewMgmt | System shall provide a means for users to create (and name) subsets of documents within their assigned review sets for organizational purposes. | Optional | |||
| 48 | Review | ReviewMgmt | The system shall provide review tracking tools that support batching of documents and tracking of batches after creation. The system shall also support feedback mechanisms to allow users to identify documentation that has been reviewed, see the results of that review, and identify documentation that remains to be reviewed. | Mandatory | |||
| 49 | Review | ReviewMgmt | The system shall maintain a record of documentation reviews performed by a given user and documentation reviews that remain to be performed by that user. | Mandatory | |||
| 50 | Review | ReviewMgmt | The system shall support batching of documents for review, including automatic batching based on selection criteria. | Mandatory | |||
| 51 | Review | ReviewMgmt | The system shall provide the capability to flag a document for review by someone other than the document's owner and queue that document for the new reviewer to access and review. | Optional | |||
| 52 | Review | ReviewMgmt | System shall indicate documents related to the document under review, such as documents that are in the same attachment range (families) and conceptually similar documents. | Mandatory | |||
| 53 | Review | ReviewMgmt | System must provide a mechanism to record coding fields (and associated coding options) added to a project. | Mandatory | |||
| 54 | Review | ReviewMgmt | The system shall support value-dependent fields such that a user's selection of a domain value in a given field constrains the domain values displayed in another field. | Optional | |||
| 55 | Review | ReviewMgmt | System must have the ability to visually identify to an end-user inconsistent coding on similar or near duplicate documents. | Optional | |||
| 56 | Review | ReviewMgmt | System shall allow segregation of specified documents to an area that is secured for access to a specified set of reviewers, and to move those documents out of sequestration as needed. | Mandatory | |||
| 57 | Review | ReviewMgmt | System shall allow users (case admins) to restrict access at a record level, such that certain external reviewers can see only those documents, yet allow internal reviewers to also search and view these records as needed. | Mandatory | |||
| 58 | Review | ReviewMgmt | System shall provide means to create and track privilege logs during review and to export the privilege log for production to opposing counsel, see sample privilege log format, "Appendix I - Privilege Log Template". | Mandatory | |||
| 59 | Review | ReviewMgmt | The system shall be capable of translating foreign languages into English without undoing any coding, processing, etc. If performed on native files, translations shall retain the formatting of the original files. The system must maintain an association between the translation and the original, foreign-language file. The system must be able to translate Spanish, Portuguese, and Chinese. | Optional | |||
| 60 | Review | ReviewMgmt | System shall afford all users the ability to set a local time zone offset so email can be viewed in observed local time zone | Mandatory | |||
| 61 | Review | Culling and Searching | System must provide for the following search techniques: keyword searches, Boolean searches, proximity searches, wildcard searches, fuzzy searches, stem searching, concept searches and searching with regular expressions. Search shall also be supported by filtering by any attribute associated with the documents in the review set. | Mandatory | |||
| 62 | Review | Culling and Searching | System shall allow construction of complex search queries that combine keyword, Boolean, and proximity searching. | Mandatory | |||
| 63 | Review | Culling and Searching | System shall provide the capability to automatically search for and identify all instances of PII. | Mandatory | |||
| 64 | Review | Culling and Searching | System shall allow for searches of alphanumeric strings that are components of other strings and return only that component as the result of the search (e.g., a search for "221" would only return documents with instances of "221", not "6221" or "2213"). | Mandatory | |||
| 65 | Review | Culling and Searching | System shall allow for the detection of markups in documents (redlines, comment bubbles) and support full review of all markup data. | Mandatory | |||
| 66 | Review | Culling and Searching | System shall be able to detect redactions in documents produced to or collected by the OCC. | Optional | |||
| 67 | Review | Culling and Searching | System shall allow users to search all metadata fields simultaneously. | Mandatory | |||
| 68 | Review | Culling and Searching | System must allow search for a name in an email header independent of a domain name. | Mandatory | |||
| 69 | Review | Culling and Searching | System assist in disambiguation of persons with multiple email addresses. | Optional | |||
| 70 | Review | Culling and Searching | System shall provide a query builder interface to assist with nested queries and more complex Boolean logic and proximity searches. | Optional | |||
| 71 | Review | Culling and Searching | System shall provide average search results in less than 10 seconds regardless of database size. | Mandatory | |||
| 72 | Review | Culling and Searching | System shall provide a means to save searches and their results for later use, and have the option to elect to update the searches with new information or keep the search static as needed. | Mandatory | |||
| 73 | Review | Coding | System must allow for metadata to be associated with documents during review, as well as a mechanism to make reviewer comments for each document (and associated metadata and comments with groups of documents). Both metadata and comments must be searchable. | Mandatory | |||
| 74 | Review | Coding | System must allow for review and coding of data originating from mobile devices, such as iMessage extracts. | Optional | |||
| 75 | Review | Coding | While coding/during document review, system must display available option values for coding "in-context" (not in a pop-up or other mechanism that takes the user away from the review panel). | Mandatory | |||
| 76 | Review | Coding | System shall allow users to bulk code (apply coding to a group of documents, or an entire document set). | Mandatory | |||
| 77 | Review | Coding | System shall provide for collaborative attorney comments or supporter comments placed on a document during document review; that is, multiple users can provide comments and the system keeps track of different versions of commentary document. | Optional | |||
| 78 | Review | Redaction | System must allow users the option to image a document being reviewed (image on demand), for purposes of redaction or for other markup. | Mandatory | |||
| 79 | Review | Redaction | System shall allow for redactions of an entire document without requiring user to navigate to each page of a large document. | Mandatory | |||
| 80 | Review | Redaction | System shall allow inverse redactions, in which the user indicates the content to be preserved and the remainder of the page or doc is redacted. | Mandatory | |||
| 81 | Review | Redaction | System must provide the capability to create custom labeling for redactions and search for the redaction via the custom label. | Optional | |||
| 82 | Review | Redaction | System shall allow OCC users to see material to be masked by redactions after the user has marked the material for redaction. | Mandatory | |||
| 83 | Review | Redaction | System shall provide for bulk redaction of the same information across multiple documents. | Mandatory | |||
| 84 | Review | Redaction | System shall allow redaction of spreadsheets (MS Excel) in native or near-native form, and allow for the use of these redacted versions for production. | Mandatory | |||
| 85 | Review | EmailAnalytics | System shall provide email threading visualization. | Mandatory | |||
| 86 | Review | EmailAnalytics | System shall have option of email threading without headers (i.e., using text based information only). | Optional | |||
| 87 | Review | EmailAnalytics | System shall allow for domain searches, either by parsing domain names into separate objects or by allowing automatic search and exclusion of domain names. | Mandatory | |||
| 88 | Review | EmailAnalytics | System shall provide the capability to perform visual communication analysis based on user-customized input. | Optional | |||
| 89 | Review | Dedupe | System shall be able to group near-duplicate files or email threads together for review. | Mandatory | |||
| 90 | Review | Analytics | System shall provide a means to remove irrelevant content from search results by the use of filters to perform sub-searches by keyword or phrase, to exclude selected file types and to include/exclude files greater or less than a specified size. | Mandatory | |||
| 91 | Review | Analytics | The system shall provide the capability to filter based on cluster analysis. | Mandatory | |||
| 92 | Review | Analytics | System shall support Continuous Active Learning (CAL) and TAR 2.0 (vs. older Simple Active Learning and Simple Passive Learning TAR 1.0) protocols. | Mandatory | |||
| 93 | Review | Coding | System shall provide for predictive coding for non-binary judgments. | Optional | |||
| 94 | Review | Coding | System shall provide for predictive coding for binary judgments (e.g., produce/do not produce). | Mandatory | |||
| 95 | Review | Analytics | System shall transcribe audio and video recordings, including those with multiple speakers. The transcriptions must be in searchable text. | Optional | |||
| 96 | Review | Culling and Searching | System shall provide search term reports, indicating which documents have hits on search terms and a summary count of document hits per term. System shall provide the option of tagging the documents with an indication of the specific search term hit(s). See sample search term report, "Appendix J - Sample Search Term Report." | Mandatory | |||
| 97 | Review | Culling and Searching | System shall identify terms within a document that are responsive to a search in real-time. Identification may be by highlight, underline, or other formatting to display each instance of searched-for term. | Mandatory | |||
| 98 | Production | Setup & Specs | System must allow custom numbering schemes and endorsements for use in production endorsements and Bates stamping. | Mandatory | |||
| 99 | Production | Setup & Specs | System must allow insertion of customized production placeholders for missing pages. | Mandatory | |||
| 100 | Production | Setup & Specs | System shall assist in detecting information needing redaction that resides in metadata fields (subject fields, names fields) and provide a means for providing alternate field output in a production. Example: Subject line contains PII. Need to export Subject line in production file with PII masked or removed. | Optional | |||
| 101 | Production | Export | System must allow options to export production metadata files as: dat file (Concordance) format; csv format; html format. | Mandatory | |||
| 102 | Production | Export | System must allow options to create productions of: image only, native only, and image and native. | Mandatory | |||
| 103 | Production | Export | System must allow options to export productions as: natives; images in TIFF format and associated opticon files; pdf, searchable pdf; and jpeg format. | Mandatory | |||
| 104 | Production | Tracking | System must create unique production numbers for each page produced, and post the production numbers as a cross-reference to the standard Doc IDs into a field in the database. | Mandatory | |||
| 105 | Production | Tracking | System must track productions, including rolling productions. Production tracking must include name and date of production, and reference to DOC IDs and Bates labels related to the set of documents produced. | Mandatory | |||
| 106 | Production | Tracking | System must prevent editing and deletion of both coding and the record itself when selected for production while the production process is running. System must post message to user that editing is not available because document is being produced. | Mandatory | |||
| 107 | System Features | Offline Review | System shall provide a mechanism for creating and using a subset of case material --including natives, images, extracted text, and metadata -- to use in review or presentation in an environment with no (or unreliable) internet access. | Mandatory | |||
| 108 | Presentation | CasePresentation | System shall have functionality to assist with creation of case metrics for use in presentation systems, including creation of graphic representations of data in the form of pie charts, bar graphs and pivot tables. | Optional | |||
| 109 | System Configuration | Authentication | System must support single sign-on protocol for internal users and multifactor authentication for external users. UserID and password is not acceptable sign-on protocol in any instance. | Mandatory | |||
| 110 | System Features | Data Transfer | System or Contractor shall allow for secure transfer of data both by courier/express mail or via secure electronic data transfer (e.g., SecureFTP). | Mandatory | |||
| 111 | System Configuration | Security | Contractor shall provide System Security Package (SSP) and information related to any FedRAMP and/or FISMA certifications. | Mandatory | |||
| 112 | System Configuration | Security | If solution is SaaS hosted in cloud service, must be FedRAMP authorized. | Mandatory | |||
| 113 | System Configuration | Authentication | Any cloud system must support PIV authentication. OCC users must be able to use their PIV/CAC cards, in conjunction with their PIN to log into the cloud system. | Mandatory | |||
| 114 | System Configuration | Authentication | Configuration of PIV authentication to support the Contractor's cloud system must not necessitate addition of hardware or software by the OCC. | Mandatory | |||
| 115 | Overall | Throughput | System must process and ingest a minimum 200 GB of data per 24-hour period for urgent matters, which will be referred to as “expedited processing”. The Contractor is expected to load the processed data into the system and make it available to the OCC staff who have permissions to the case within the same 24 hour period. Refer to CLINs 0007, 0009, 0027, 0029, 0046, 0048, 0065, and 0067 regarding pricing related to this requirement for expedited processing. | Mandatory | |||
| 116 | Overall | Throughput | The proposed solution must produce at minimum 200 GB of data per 24-hour period for urgent matters, which will be referred to as “expedited production.” Refer to CLINs 0014, 0034, 0053, and 0072 regarding pricing related to this requirement for expedited production. | Mandatory | |||
| 117 | System Features | Reports | The system shall provide the ability for an administrator to run reports of users, the cases they have access to, the user's security role in each case, etc. See "Appendix B - System Users Report" for all required data elements. | Mandatory | |||
| 118 | Production | Setup & Specs | Contractor shall provide a specification form/document for data to be produced from the system, that the OCC will complete and submit along with the production request, see "Appendix G - Production Specification Template." | Mandatory | |||
| 119 | Loading | QC | Contractor shall provide quality control reports for documents loaded into the system, see "Appendix D - QC Report (Document Loading Exception Report)." | Mandatory | |||
| 120 | Processing | QC | Contractor shall provide quality control reports for documents imaged within the system, see "Appendix H - Post-Imaging Process Report Template." | Mandatory |
| OCC ALSS Functional & Technical Requirements: | |
| Requirements Traceability Matrix (RTM) | Appendix 1 |
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