Attachment_3-Requirements.xlsx

XLSX spreadsheet 52 KB Posted May 21, 2019

Attached to: Ediscovery Cloud Pilot Federal contract opportunity
Solicitation number: 50310219R0009
Issued by: Securities and Exchange Commission

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Attachment 3-Requirements List

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File	Type	Posted
50310219R0009-0001.pdf	PDF	May 31, 2019
SEC_eDiscovery_Pilot_-_RFP_answers.xlsx	XLSX spreadsheet	May 31, 2019
Cloud_eDiscovery_RFP_Attachment_1_Requirements_amend1.xlsx	XLSX spreadsheet	May 31, 2019
Attachment_1-eD3_cloud_pilot_Section_B_amend1.xlsx	XLSX spreadsheet	May 31, 2019
eD3_cloud_pilot_Labor_Category_Descriptions.xlsx	XLSX spreadsheet	May 31, 2019
E-Production_Standards.pdf	PDF	May 31, 2019
Attachment_1-eD3_cloud_pilot_Section_B.xlsx	XLSX spreadsheet	May 21, 2019
Attachment_4_-_Non-Disclosure_Agreement_Contractor_Entity.pdf	PDF	May 21, 2019
50310219R0009_-_Ediscovery_Cloud_Pilot.pdf	PDF	May 21, 2019
Attachment_5_-_Non-Disclosure_Agreement_Contractor_Personnel.pdf	PDF	May 21, 2019
Attachment_2-Statement_of_Work_Cloud_eDiscovery.docx	DOCX document	May 21, 2019
Attachment_6_-_OF-306_Form_Declaration_for_Federal_Employment.pdf	PDF	May 21, 2019

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eD3 RFP Functional Reqs

Req #	Requirements: The system shall have the capability to:	Must Have	Desirable
	Data Ingestion
1	Load data to an external Cloud-based solution.	x
2	Load delimited text file with specific delimiters and field order, and image cross-reference file, image files (both TIF and JPG), linked native files, and searchable text.	x
3	Normalize a variety of field names into SEC standard field names when loading delimited text file productions.	x
4	Automatically normalize a set of known field names into SEC standard field names when loading delimited text file productions.	x
5	Process data files according to instructions in the ETS request for that production.	x
6	Process data files according to information provided in the structure of folder names (e.g. Custodian \| Production Date \| Exhibit \| Request Number). Capture information from the different levels of the folder structure into different fields in the database.	x
7	Load ESI from all levels in a folder structure, extract metadata and text, while maintaining any document family relationships.	x
8	Load multi-page TIF files as part of delimited text file loading.		x
9	Load multi-page TIF files as part of native file loading.	x
10	Load color images with JPEG or LZW compression as image files, and when encapsulated in TIF or PDF files		x
11	Accept and handle all image formats (including JPG, TIF, multipage TIF and color images), regardless of file extension. This ability shall extend to situations in which image types are mixed for a single record.		x
12	Load native files, including email stores, loose files, PDF files (including PDF Portfolios), and compressed files (e.g. RAR, ZIP)	x
13	Load email files from a wide variety of formats (e.g. PST, MSG, NSF, EML and DBX).	x
14	Maintain parent/child relationships between emails and attachments when loading email files.	x
15	Allow for building and breaking family relationships in the tool through the UI or through a batch update process.		x
16	Load text messages, Bloomberg messages, tweets, instant messages.	x
17	Load text messages, Bloomberg messages, tweets, instant messages with formatting for improved readability.		x
18	Load audio files (e.g. voicemail, AMR, WAV, MP3) and play audio within application.		x
19	Load video files (e.g. WMV, MOV, MP4) and play video within application.		x
20	Load native and text files with varying encoding (e.g. ASCII, UTF-8, UTF-16, unicode)	x
21	Load forensically sound data (e.g. EnCase, FTK, Cellebrite)		x
22	Create a separate record for each native file during the data loading process. For example, separate records are created for an email and each attachment to the email.	x
23	Extract all files from compound files (e.g. RAR, ZIP) and create a separate record for each extracted file. The application shall not include the original compound file as a record.	x
24	Configurable to create or not create separate records for embedded files based on the size (in KB) or file type (MIME type) of the embedded or attached file.		x
25	Uniquely number each record loaded (both ESI and structured loads) and store the unique number in a searchable and sortable field.	x
26	Create single page TIF images for each page of every native record loaded that can be endorsed with a customizable Bates scheme and suffix if required.	x
27	Create TIF image placeholder for specific file types (e.g. Excel and Access Database files) and allow customizing of the information put on the TIF placeholder.	x
28	Allow metadata and fielded data from the record to be included in the corresponding TIF placeholder image.		x
29	Extract text and metadata during the data loading process from at least all file types supported by the most current version of OutsideIn or Stellent. The file types supported by the application will be updated to reflect any updates made to OutsideIn or Stellent.	x
30	Extract metadata values during the data loading process and load the metadata into searchable fields in the application without modifying the original document or changing system and document metadata values.	x
31	Accurately extract and load email metadata, including internal and external domains, time zones, IP addresses, and date and time stamps. Application must support leap year dates (e.g. February 29, 2016).	x
32	Load and process PDF files, including packaged PDFs and PDF portfolios. Flatten and extract text from all PDFs, including those with embedded text to ensure that all text has been extracted.		x
33	Extract embedded metadata for each document contained in a PDF portfolio file during the data loading process.		x
34	Extract text from all supported, non-exception native files (including email messages and attachments) during the data loading process and load all text in a field.	x
35	Detect files without extracted text and automatically generate OCR text.	x
36	Detect files where the only extractable text is a header/footer (e.g. Confidentiality legend, Bates number) and automatically generate OCR text for the entire document.		x
37	Load extracted and OCR text into fields without limitations due to the size of the text.		x
38	Load files that have long file paths (exceeding 217 characters for Microsoft Excel and 255 characters for all other file types.	x
39	Identify documents with tracked changes.	x
40	Identify documents with hidden rows.	x
41	Identify documents with hidden columns.	x
42	Identify documents with hidden text (e.g. documents with font text that is the same color as the background - typically white on white.)		x
43	Identify documents based on content (e.g. PII, SSN, credit cards, or phone numbers)	x
44	Process, identify, search within and translate foreign language documents.		x
45	Identify documents containing foreign language(s). Support indexing and searching in foreign languages using foreign language alphabet or characters (e.g. Chinese, Japanese, Korean, Cyrillic).		x
46	For native documents loaded, provide MD5 or SHA hash value in a field.	x
47	Deduplicate the collection within custodian or across custodians using MD5 or SHA (the application must be able to use the MD5 or SHA algorithm to assign a unique hash value to a file, and to then identify and segregate and/or remove files with identical hash values within a certain set of documents or across the entire document set).	x
48	Deduplicate newly added data against previously loaded data using MD5 or SHA (the application must be able to use the MD5 or SHA algorithm to assign unique hash values to newly processed files and compare them to previously hashed and loaded records for the purpose of segregating and/or removing files with identical hash values).		x
49	Automatically decrypt encrypted files during the data loading process.		x
50	Integrate a password-cracking tool which uses brute force.		x
51	Integrate a password-cracking tool which uses known password dictionary.		x
52	Store passwords and use them to attempt to decrypt encrypted files during the data loading process.		x
53	Allow end user to open an encrypted native file in the native application using the password provided in a "PASSWORD_TO_OPEN" field.		x
54	Identify any unprocessable/exception files in a log file during the data loading process, with the file name, file path and reason why the file could not be processed, e.g. corrupted, password protected, unknown/unsupported file type.	x
55	Create discrete records for exception files (e.g. corrupted, password protected, unknown/unsupported file type, file path too long), which will include an exception field describing the problem. All available metadata is also extracted, and a reference to the native file is created.	x
56	Create TIF image placeholders for all exception files loaded. Indicate the problem on the placeholder image, and allow configurable fielded information to be put on the TIF placeholder.	x
57	Provide integrated solution for resolving exception files that will track and retain a history of all issues encountered during each attempt at ingesting the associated data.		x
58	Store statistics upon data load such as document types and number of documents in the repository, date documents were loaded and generate a report on that information.	x
59	Store statistics upon data load such as number of emails, number of attachments and provide ability to generate a report on that information.	x
60	Provide a load report for all loaded productions including: number of documents, number of pages, date loaded, request/production identifier, exception files, and unsupported files.	x
61	Move records from one case to another case within the application.	x
62	Load new data to a case with different fields than data previously loaded to the case. Normalize the fields to SEC standard field names and field types.	x
63	Move records from one case to another case with a different field structure.	x
64	Overlay fielded data into a case (e.g. update existing records using a unique record identifier to match the new data to the original records).	x
65	Automatically run processes to populate fields during an overlay that were run in the initial data loading (e.g. filters, concepts, phrases, etc.)		x
	Incorporate the following automated, SEC-specific, integrity checks during the data loading process:
66	For productions that include image files (TIF), verify that an image file(s) exists (with size greater than 0) for each record in the database.	x
67	For productions that include native files, verify that the native file exists at the path specified by the native file link in the database (upon completion of data load).	x
68	For productions that include native files, report any file paths that exceed 217 characters for Microsoft Excel files and 255 characters for all other file types.	x
69	For all types of productions, validate date fields within the database and report the bad date records in an exception log or report.		x
70	For delimited text file productions, read and store time and time zone values from separate fields or combined date and time fields. If no time zone information is provided, allow an administrator to set an assumed time zone value.		x
71	For delimited text file productions, ensure that time and date information provided within the load file is not modified in the review application (e.g. daylight savings at the load location should not impact the way the data is displayed in the application).	x
72	For delimited text file productions, check consistency of zero padding in Bates number fields. Examine the Bates format(s) in a case and report the alphabetic prefix(es) and the number of digits for the numeric portion of the Bates number.		x
73	Load an average of 50 GB of native files, email, delimited text files, and associated image files per day for the pilot. The pilot solution must be able to load a peak of 150 GB of all types of document productions per day.	x
74	Load an average of 15 productions or requests per day for the pilot. The pilot solution must be able to load a peak of 50 requests per day.	x
75	Generate up to 500,000 pages of images per day in the pilot phase.	x
76	If the SEC exercises the enterprise deployment option, load an average of 500 GB of native files, email, delimited text files, and associated image files per day. The enterprise solution must be able to load a peak of 750 GB of all types of document productions per day.	x
77	If the SEC exercises the enterprise deployment option, load an average of 180 productions or requests per day. The enterprise solution must be able to load a peak of 250 requests per day.	x
78	If the SEC exercises the enterprise deployment option, generate up to 5,000,000 pages of images per day in the enterprise solution.	x
	Searching
79	Reliably search dataset (e.g. running same search against same documents returns same result).	x
80	Rank search results by relevance. Vendor must explain how relevance is computed and weighted.	x
81	Quickly find and navigate to a specific record number or unique document identifier.	x
82	Quickly find and navigate to a specific Bates number.	x
83	Quickly find and navigate to a specific Bates number within a document (e.g. not just firstpage or lastpage)		x
84	Search for application-assigned Bates and document numbers, and Bates and document numbers loaded using a delimited text file.	x
85	Search for all documents in a given range of Bates/document numbers assigned by the application.	x
86	Search for all documents in a given range of Bates/document numbers loaded using a delimited text file.	x
87	Search for all documents with a specific Bates/document number prefix.		x
88	Search for text using Boolean logical functions (e.g. AND, OR, NOT); literal (e.g. "quotes"); and parentheses (e.g. denoting order of operations).	x
89	Search for two text strings in proximity to each other within a document. Allow the user to specify the order of the text strings. Allow the user to define degree of proximity (e.g. within 5 words).	x
90	Allow for searching on specific characters (e.g. period, $, @). This ability should be customizable and should not require reloading the data.		x
91	Search for a term in a specific field, while excluding occurrences of the term in all other fields		x
92	Search within a document in one step. That is, fill in a search field or pop-up box and click or type "enter."	x
93	Provide data dictionary built from all data loaded into the case (include word counts).		x
94	Allow for customizable stopword list. This ability should not require reloading of the data.		x
95	Allow user to view the data dictionary.		x
96	Allow system administrators and data loading team to edit data dictionary and index.		x
97	Support standard and user-definable thesauri in searching; create a synonym list or concepts.		x
98	Provide compensating search functions to help reduce the impact of low OCR confidence levels (e.g. fuzzy searching).	x
99	Search for a concept entered by a user.	x
100	Allow an administrator to exclude repeated text from concept searching (e.g. a disclaimer at the end of every email in a production).		x
101	Allow users to change the percentage of concept similarity on the fly (e.g. increase to 90% conceptually similar to narrow results, or decrease to 50% conceptually similar to expand results).		x
102	Search automatically on variations of the search terms (tense, inflection, plurals, etc.) with user ability to turn this function on or off. Available with conceptual and boolean searching.		x
103	When searching emails provide clear, direct access to/from parent or attachment (1 step).	x
104	Review search results with email family (present both email and attachments) as a searching option.	x
105	Identify all documents received by and sent from a particular custodian in a single step		x
106	After a user starts typing, automatically suggest the most common terms in the database that could complete the word being typed (auto-complete), and allow the user to continue typing and ignore suggestions.		x
107	Search within a search (nested searches).	x
108	Search across multiple selected folders or tags.	x
109	Allow users to view and to search within a single production in a case.	x
110	Allow users to view and to search documents by selected custodians, producing parties, or production dates.	x
111	Perform relative searching, including isolating records for which a field is either populated or empty.		x
112	Show or hide search results (e.g., domains, file types)		x
113	Allow users to show or hide duplicates on demand.		x
114	Allow users to show or hide near duplicates on demand.		x
115	Search in foreign language on documents loaded into the system.	x
116	View search history. Vendor must explain whether the # of searches or time period of saved searches is configurable.	x
117	Execute previous searches from history.	x
118	Save searches, including both the query and results.	x
119	Automatically notify users via email when new documents are added to the application that meet pre-established search criteria; user will have the ability to turn notifications on or off. Have document(s) placed in a folder for review.		x
120	Sort search results by date range, custodian, party, keyword and/or other database fields.	x
121	Allow multi-level sort; e.g. primary sort by producing party and then a secondary sort by document date.	x
122	Provide alternative methods to view document lists and ability to change among views (e.g. summary, condensed).		x
123	Highlight search terms hits in display summaries.		x
124	Highlight different search terms hits with different highlight colors in a single search.		x
125	Highlight search terms hits in source documents; synced and displayed on corresponding image if applicable.		x
126	Import a list of search terms that can be persistently highlighted. Allow highlighting of listed terms to be turned on/off.	x
127	Allow wildcard searches matching zero or more characters in any position.	x
128	Perform range queries (e.g. date ranges, numerical ranges)		x
129	For audio files, allow users to conduct simple searches for words or phrases (phonetic searching).		x
130	For audio files, allow users to conduct multiple search terms in a single query and/or use boolean logic.		x
131	For audio files, identify different languages and dialect.		x
132	For audio files, identify different genders.		x
133	For audio files, allow users to make audio clips from search hits and export out of application		x
134	Search documents using complex Boolean searching in less than 15 seconds across 300 productions containing 1 million documents, searching from Los Angeles or Boston with documents located in the Cloud solution.		x
135	Search documents using Boolean operators in less than 5 seconds across 300 productions containing 1 million documents, searching from Los Angeles or Boston with documents located in the Cloud solution.	x
136	Run reliably under a peak load of 100 concurrent users with 25 simultaneous searches.	x
137	Search across all cases (hudreds of document productions and millions of documents). Vendor must explain if additional software is needed to achieve this.		x
	Analytics
138	Identify near duplicates. Near duplicates are electronic files with similarities in content, metadata, or both.	x
139	Allow administrators to set a threshold for considering documents near duplicates (e.g. 85% similar or 90% similar).		x
140	For near duplicate documents, assign a confidence level (numeric value) for the degree of similarity between the documents.		x
141	Allow for visualization (graphs, charts, timelines, heat maps, star mapping) of email and document relationships.	x
142	Identify concept groups across all productions for a case and present the most frequently occurring concepts to users as search options.	x
143	Identify concept groups across a user defined set of documents (e.g. a specific production, a producing party, saved search or folder/tag)		x
144	Allow for visualization of documents based on concepts.		x
145	Cluster similar documents and present them graphically.	x
146	Modify the level of clustering from broad to detailed.	x
147	Identify words and phrases found within groups of documents to find commonalities	x
148	View who said what to whom through message threads in Bloomberg messages, text messages and instant messages.		x
149	Extract and populate entities into database fields, with entity types based on events, individuals, organizations and other entities found automatically within the documents.		x
150	Provide domain analysis - display all the domains in an email collection. (e.g. select a domain name, "sec.gov", and view all of the documents within).	x
151	Provide email threading. Display the sequence of an email conversation or the entire thread of related emails.	x
152	Provide visual representations of communications between email addresses.	x
153	Provide visual representations of communications between phone calls.		x
154	Visually link events, individuals, organizations and other entities extracted from documents to show relationships.		x
155	Navigate directly from the visual representation to the individual documents.	x
156	Analyze and visually present relationships among entities (e.g. social networks, timeline, geospatial).		x
157	Allow users to save/print visual representations.	x
158	When a group of documents is selected, be able to execute an action or query that will present more documents like the selected ones (e.g. predictive coding or technology assisted review (TAR)).	x
159	Allow users to share searches, visualizations, custom dashboards, and technology assisted review (TAR) results with others within same matter.		x
	Organizing
160	Allow users to create folders or tags (e.g. Hot Docs, Witness folders) in 1-2 steps; and not as an administrator function.	x
161	Allow users to create sub-folders/tags.	x
162	Allow users to delete folders/tags and sub-folders/tags.	x
163	Allow users to rename folders/tags and sub-folders/tags.	x
164	Allow users to create an empty folder/tag.	x
165	Be configured to create a set of default empty folders/tags when a case is created or when data is first loaded to a case.	x
166	Move or copy a folder/tag into another folder/tag while retaining the documents associated with the folder/tag.		x
167	Bulk add or delete from a folder/tag (e.g. add or delete by selecting documents from search results).	x
168	Tag at the page, paragraph, sentence level, not just at the document level.		x
169	Allow users to share folders/tags, or keep them private.		x
170	Copy folder/tagging structure from one database to another database		x
171	Color code folders/tags.		x
172	Identify documents that have been reviewed and not reviewed. Vendor must describe how this is accomplished.	x
173	Identify documents that have been viewed and not viewed. Vendor must explain how the viewed/not viewed classification is assigned.		x
	Case Management
174	Manage key facts, issues, documents and parties in a case by integration with CaseMap, and link from CaseMap back to documents in the application; or provide features similar to CaseMap within the application.		x
175	Create automated, customizable chronologies through CaseMap integration or similar features within the application.		x
176	Send fact text (highlighted text) or an entire document(s) to CaseMap in 2-3 steps; or provide features similar to CaseMap within the application.		x
177	Create a link to CaseMap from evidence in the application at the page or paragraph level versus just document level. CaseMap integration or similar features within the application.		x
178	Navigate links to and from CaseMap (or similar features within the applicatoin) without having to login to the application again (e.g. single sign on)		x
179	Show multiple events on the same day in a timeline. Integration with CaseMap/TimeMap or similar features within the application.		x
	Litigation Event Management
180	Allow users to import, update and manage a schedule of dates related to litigation events		x
181	Display a schedule of dates related to litigation events in a calendar view		x
182	Print a schedule of dates related to litigation events in either list or calendar view		x
183	Allow users in certain roles to assign case related tasks and events to other users		x
184	Notify users when case related tasks and events have been assigned to them		x
185	Notify users of upcoming task and event deadlines		x
186	Allow users in certain roles to generate reports of who is assigned to which case tasks and events, for individual cases and across cases		x
187	Allow users in certain roles to view and print a schedule of dates related to litigation events across cases, in either list or calendar view		x
188	Allow users to create tasks and events related to litigation (with deadlines, reminders, and attachments)		x
189	Allow users to create, import and maintain lists of contact information (phone numbers, email, addresses, etc.), and relate contact lists to litigation events.		x
	Document Viewing, Printing and TIF-on-the-fly
190	Provide built-in default document viewer that displays native files in a near-native format.	x
191	When viewing spreadsheets in the near-native viewer, enable viewing of formulas, sorting of columns, and filtering of data.		x
192	The built-in near-native document viewer shall display at least all file types supported by the most current version of OutsideIn or Stellent.	x
193	Open native files in built-in near-native document viewer. Flip from one page to the next within a document in two seconds or less with the user located in California and the native file located in an East Coast data center.	x
194	Provide native file/record synchronization allowing users to traverse search results or a document list, and display the corresponding native file in a built-in, near-native viewer.	x
195	Open native files in native application (if the native application is available).	x
196	Open native files 5 MB or less in their native application in ten seconds or less with the user located in California and the native file located in an East Coast data center.	x
197	Provide image and record synchronization allowing users to traverse search results or a document list, and display the corresponding images in an open, built-in viewer.	x
198	Flip between images within a document and between documents in less than two seconds with the user located in California and the images located in an East Coast data center.	x
199	Provide alternative methods to view documents and ability to change among views (e.g., HTML, native, near-native, image).	x
200	Allow users to show/hide/resize all panels on the screen and have those view selections stay sticky per user across cases and login sessions.		x
201	Undock the document viewer from the rest of the application interface and view in a second monitor.	x
202	Allow users to highlight selected portions of images or natives.	x
203	Selectively zoom in and out on images or natives.	x
204	Support fit to width as a default display mode for images or natives.		x
205	Support fit to height as a default display mode for images or natives.		x
206	Allow users to set a zoom level on images or natives, and maintain this level as the user flips between pages and documents without resetting to a default zoom.		x
207	Allow users to set rotation on images or natives, and maintain this orientation as the user flips between pages and documents without resetting to a default orientation.		x
208	Display thumbnail views of a document's images.		x
209	Multiple size of thumbnail views (small so you can scroll through many quickly, medium/standard, and larger so you can see some content but still scroll quickly)		x
210	Allow users to redact documents.	x
211	Allow users to bulk redact within and across documents.		x
212	Allow users to view a document that was redacted without the redaction.	x
213	Allow users to remove the redaction placed on a document.	x
214	Allow users to bulk remove redactions within and across documents.		x
215	Allow users to add text over redaction (picking from a redaction reason list or adding custom text) to indicate why the document was redacted.		x
216	Allow users to query redacted and/or annotated documents.		x
217	Within a selected set of documents, allow users to identify documents that do not have associated images (TIF/JPG).		x
218	Allow users to create page-level annotations (e.g. sticky notes, attorney comments).	x
219	Search for the presence of an annotation.	x
220	Navigate from annotation to annotation within a document.		x
221	Search on the content of an annotation (e.g. sticky notes, attorney comments).		x
222	Print WYSIWYG (what you see is what you get) – zoom in on image and print as it is viewed on the screen.		x
223	Print with or without mark-ups (i.e. redactions, annotations).	x
224	Print with separator sheets (when printing multiple documents). Allow user to add fielded or customizable text to the separator sheets.	x
225	View two documents side by side.		x
226	Allow bulk printing of images and native files (to a printer and to PDF).	x
227	Allow an administrator to set a limit on the number of pages or documents that a user can bulk print at one time.		x
228	Notify the user if the limit on the number of pages or documents that a user can bulk print at one time is exceeded.		x
229	Allow authorized users to create and endorse images for a single document (after initial processing) using a Bates prefix and sequence.	x
230	Allow authorized users to create and endorse images for a set of documents (e.g. search results, tag, folder) after initial processing using a Bates prefix and sequence.	x
231	When authorized users create and endorse images after initial processing, store those Bates numbers in searchable fields.	x
	Production
232	Produce/export out all file types loaded, including any available metadata or fielded information in accompanying load files, and corresponding images, native files, and searchable text.	x
233	Produce native and image (TIF/JPG) documents from the application while removing any work product (e.g. tags, folders, notes, highlights, internal IDs/DBs/servers, network info/UNC paths).	x
234	Create productions in an industry standard delimited text file format (e.g. Concordance DAT and LOG files or Summation TXT and DII files).	x
235	Create images (TIF/JPG) endorsed with specific production number or customizable text.	x
236	Endorse images (TIF/JPG) using data in an existing field.		x
237	Create and endorse images (TIF/JPG) from an ESI collection in a singular, integrated process.		x
238	Create page level suffixes on a record by record basis.		x
239	Export document level text files or inline text within a DAT file.	x
240	Produce/export out using existing Bates numbers where available.	x
241	Exclude empty fields from a production set.		x
242	Export any set of documents "as-is" for production purposes. It must be possible to export data only by copying associated images and native, not otherwise processing the files.		x
243	Provide new OCR and remove native files for documents with redacted images during the production process. If the redacted records are part of a family, an option should exist to exclude natives for the entire document families.	x
244	Create endorsed images (TIF/JPG), write native and text files, and create the DAT file concurrently during production processing.		x
245	Customize folder/directory names and structure for output of native and image files in a production.		x
246	Segment output folders for a production based on target media type.		x
247	Allow a user to create PDF versions of a set of documents in 2-3 steps, and export the PDF files to a local storage device.		x
248	Automatically track Bates numbers used when creating endorsed TIF/JPG images, such that Bates numbers are used sequentially and not used more than once.	x
249	Write the newly created/endorsed FIRSTBATES/LASTBATES and BEGATTACH/ENDATTACH Bates numbers to discrete, searchable fields in the application that are available for review in the displayable field list.

x
250	Produce a document multiple times with different Bates numbers, and append all Bates numbers to searchable, displayable fields.	x
251	Provide production size and reports about the production when the application finishes creating a production.	x
252	Provide an estimate of production size before running/exporting a document production both at the case level and tag level		x
253	Report on any errors during the production process.	x
254	Create reusable templates for productions for creation and export.		x
255	Prevent production of documents based on a tag/folder or database field value.		x
256	Allow a system administrator to restrict use of production functions to a system administrator group or role.		x
257	Allow a system administrator to set a limit on the number of documents or size of collection users can check out or export.		x
258	Pause the processing of a production manually in order to reprioritize multiple jobs.	x
259	Recover/restore a production in progress when a system failure occurs while minimizing the loss of work.		x
260	Lock down folders/tags as read only when a document is Produced.		x
261	Allow a user to check out a subset of documents in 3-5 steps, and include images and native files where applicable.		x
262	Allow changes to the checked out data (fields/tags) and import changes when the documents are checked back in.		x
263	Review a set of exported documents in a stand alone viewer.		x
264	Make exports and productions available for the SEC to download through a secure FTP method.	x
265	Above an agreed to size threshold, deliver exports and productions to the SEC on encrypted electronic media.	x
266	Produce out up to 50 GB of native/TIF documents per day during the pilot phase. Note: The SEC produced out an average of 150 GB / day in FY2016.	x
267	Produce out up to 250 GB of native/TIF documents per day in the full enterprise solution. Note: The SEC produced out an average of 150 GB / day in FY2016.	x
	Migration, Archiving and Restoring
268	Migrate cases stored in Recommind Axcelerate to the new application, including tags, folders and work product.	x
269	Migrate up to 10 TB of Recommind Axcelerate data in bulk over a weekend to transition a group of ENF staff from Recommind to ed3. This migration capacity is in addition to daily new data loading capacity.	x
270	Move log files when cases are migrated between platforms.		x
271	Maintain audit logs with archived cases.	x
272	Bulk export or archive all remaining data at the end of the pilot in a format the SEC can then restore into another eDiscovery application.	x
273	Delete a matter in its entirety.	x
	Access and Security
274	Provide field, document, collection, and case level security.	x
275	Flexible and customizable ability of administrators to control which users and/or security roles can add, modify or delete fields.		x
276	Support collaborative and private access ability (e.g. secure remote sharing of data with other agencies and expert witnesses).		x
	Administration, Performance, and Other
277	Users should be able to begin using the application productively after a 2 hour initial training class.	x
278	Provide an in-application Help guide		x
279	Run as a web-based application with web interface only (no installation required on end users machines)		x
280	Support HTML 5		x
281	Provide a security splash screen to provide system updates to users	x
282	Send list of logged in users a message or alert that will pop up on their screen.		x
283	Build a new case off of a template. Once template is created, case creation should be simple, requiring minimal data entry.		x
284	Allow a high number of custom fields in the database. Vendor must describe the limits or constraints.		x
285	Allow a system administrator to add fields to and otherwise reconfigure the database without locking out users.		x
286	Allow a system adminstrator to customize the user interface (e.g. eliminate tabs or parts of the display that are less important to the SEC, and change displayed names of items).		x
287	Set user preferences across all cases.		x
288	Allow users to customize view to sort on particular field(s) when a list of documents is presented (default sort).		x
289	Allow users to export selected fielded information for a group of records to Excel.	x
290	Export selected fielded information for a group of records to delimited file without limitations of fields.		x
291	Export selected fielded information for a group of records to delimited file without limitations of records.		x
292	Create hyperlinks to internal documents (e.g. hyperlinks to transcripts, exhibits or other documents within the application).		x
293	Allow system administrator and data loading teams to perform global database field editing.		x
294	Allow end-user selective database field editing.		x
295	Provide "Undo" or back button action of previous function(s) performed.		x
296	As an administrative function, support privileged document removal (used for claw backs). Quickly locate and remove all aspects of a document (e.g. database record, native files, images, and all references to the document) identified as privileged using a list of Bates numbers or hash values,	x
297	Support multiple client sessions running at once.		x
298	Identify impact contemporaneously of loading, OCR processing, image creation, endorsing, and other back end tasks on end-user performance, and scale resources automatically to meet performance requirements.		x
299	Perform loading, creating images, OCR processing, searching, tagging, and creating productions simultaneously while meeting performance requirements for each function.	x
300	Automatically monitor application performance and send alerts to system administrators when resource utilization exceeds or drops below a threshold.		x
301	Real-time, integrated resource monitoring (e.g. available storage)		x
302	Real-time, integrated server monitoring (e.g. available CPU/memory)		x
303	Track status of tasks/processes affected by system interruptions (e.g., server reboot, partial network outage)		x
304	Change priority of task types (e.g. reprioritize productions over data ingestion or vice versa)		x
305	Change priority of running processes/tasks		x
306	Track the progress of processes/tasks	x
307	Track the progress of processes/tasks across the entire environment via dashboard/portal.		x
308	Pause and resume all jobs performed within the application. Pausing a job should preserve all progress made on a particular task, even if paused before and restarted after multiple system restarts.		x
309	Allow customizable and automated reporting for administrators (processing, production, system usage, etc.)	x
310	Allow customizable reports by end-users.		x
311	Provide a dashboard/portal for reporting, task management, and workflow.		x
312	Provide graphical reports; i.e., offer options for bar charts, pie charts, and other visualizations of report data.		x
313	Gather and report on performance metrics that will be configurable and filterable based on job-type, case, date-range, and other criteria.		x
314	Configure and save audit logs (e.g., who viewed, updated, tagged, untagged, or deleted a document; what searches were conducted by whom; who created and deleted tags; who performed TIF-on-the-fly or produced out what documents with timestamps, when documents were loaded to the system and login histories).	x
315	As an administrator function, allow audit logs to be customizable (e.g. to be turned on or off, set by duration or size)		x
316	Hold and maintain up to 20 TB of data (databases, images, native documents) with growth of approximately 1 TB per month in the pilot phase. Vendor must provide their application's upper limits, including scalability.	x
317	Hold and maintain up to 500 TB of data (databases, images, native documents) with growth of approximately 10 TB per month after full enterprise deployment. Vendor must provide their application's upper limits, including scalability.	x

&A &BSEC Confidential&B Page &P eD3 RFP Non-Functional Reqs

Requirement ID	Requirement Description	Category
NFR-0001	The web-based solution shall comply with WCAG 2.0 AA guidelines that include Section 508 technical standards (1194.22) Web-based Intranet and Internet information and applications as stated in Section 508 of the Rehabilitation Act of 1973. Refer to Section508.gov for the latest specifications.	Accessibility
NFR-0002	The solution’s visual presentation of text and images of text shall have a contrast ratio of at least 4.5:1. Refer to Section508.gov for the latest specifications.	Accessibility
NFR-0003	Without use of any assistive technology, a user shall be able to resize the solution's text up to 200% without loss of content, readability, or functionality.	Accessibility
NFR-0004	The solution shall provide ways to help users navigate, find content, and determine where they are.	Accessibility
NFR-0005	The solution’s headings and labels shall describe the topic or purpose of the respective section, row, columns, or information.	Accessibility
NFR-0006	The solution’s keyboard operable user interface shall have a mode of operation where the keyboard focus indicator is visible.	Accessibility
NFR-0007	The solution’s screens shall appear and operate in predictable ways.	Accessibility
NFR-0008	The solution shall have navigational mechanisms that are repeated on multiple screens and that occur in the same relative order each time they are repeated, unless a change is initiated by the user.	Accessibility
NFR-0009	The solution shall provide an alert mechanism to help users avoid and correct mistakes.	Accessibility
NFR-0010	The solution's end user product support documentation shall be 508 compliant.	Accessibility
NFR-0011	The solution's mobile application(s), if applicable, shall be Section 508 compliant, per the guidance provided at Section508.gov.	Accessibility
NFR-0012	The solution shall provide a text equivalent for every non-text element.	Accessibility
NFR-0013	The solution shall support voice user-interface navigation for all controls and information.	Accessibility
NFR-0014	The solution shall not leverage color as the sole means of distinguishing between information or controls, and it shall support grayscale usability for color-blind users.	Accessibility
NFR-0015	The system must provide more than one way to locate a Web page within a set of Web pages unless the Web Page is the result of, or a step in, a process.	Accessibility
NFR-0016	The solution shall be fully compatible with the SEC's current IT architecture and security infrastructure.	Architecture
NFR-0018	The solution shall allow Admin Users to search audit data for combinations of any or all of the following: specific actions, data categories, users, roles, groups, date/time, or date/time intervals/ranges.	Audit and control
NFR-0019	The solution shall capture and log any attempted violations of access permissions (i.e. a user attempts to access a document/record to which they are denied access).	Audit and control
NFR-0020	The solution shall allow Admin Users access to audit data at the fully detailed level (i.e. each individual record access, including record identifier, time, date, and user).	Audit and control
NFR-0023	The solution shall maintain an unalterable audit log of any action taken on solution data with information about:

- User performing the action.

- Date and time of the action.

- Any change to any retention and disposition schedule.

- Access permissions modifications.

- Email, export, download, transfer, and print of a data.

- Copy of a data.

- Deletion/destruction of a data.	Audit and control
	NFR-0024	The solution shall maintain an unalterable audit log system events, at a minimum:

- Failed login attempts, log on and log off events

- Changes/deletions to user groups, roles, or system accounts

- Password changes

- Attempts to escalate access privileges

- Use of administrative privileges

- Modification of global system settings or parameters

- Modification of system software

- Additions, deletions and modifications to audit log parameters	Audit and control
	NFR-0025	The solution shall log all error conditions and failures, including date, time, action being performed at time of error, records being acted on, and user information.	Audit and control
	NFR-0038	The solution shall ensure that all records can be read and accurately interpreted as long as they are stored in the solution.	Data
	NFR-0039	The solution shall comply with SECs secured data disposal policy(ies) when disposing of records.	Data
	NFR-0040	The solution shall not permit disposition through destruction, deletion or eradication of records categorized as ‘permanent’ in the solution.	Data
	NFR-0041	The solution shall have an "About" display that appropriately credits third party licenses based on the third party product licensing terms.	Deployment
	NFR-0042	The solution shall include an Admin User guide and an end-user guide in the following formats:

- hard copy

- digital.	Documentation
	NFR-0043	For on premise solution components, including Commercial-Off-the-Shelf (COTS) software, the use of Kerberos or a Lightweight Directory Access Protocol (LDAP)-compliant capability is required for user integration with AD.	Identity Management
	NFR-0044	External and third-party systems, such as cloud-based solution components, shall support federated identity services that are compliant with Microsoft’s Active Directory Federation Services 3.0 (ADFS 3.0), which includes support for standards such as SAML 2.0 for exchanging authentication and authorization data.	Identity Management
	NFR-0045	The solution shall provide an Application Programming Interface (API) to enable integration with other business applications and systems.	Interoperability
	NFR-0047	The solution shall be certified as compatible with Windows 10.	Interoperability
	NFR-0049	The solution shall provide access to the solution's home screen or user's personalized page within 5 seconds of a user successfully logging in.	Performance
	NFR-0053	The solution shall support patchable updates that comply with the latest security patches/upgrades for core solution and any third party products used within the solution (e.g., Java, web services, databases).	Security / Privacy
	NFR-0055	The solution shall allow an Admin User to maintain:

- User groups

- User roles

- Access profiles

- Users.	Security / Privacy
	NFR-0059	The web compoents of the solution shall support TLS 1.2 standard.	Security / Privacy
	NFR-0061	The solution shall provide the ability to support data at rest using FIPS 140-2 validated (cryptographic) encryption methods.	Security / Privacy
	NFR-0062	The solution shall protect audit data from unauthorized access, modification and deletion.	Security / Privacy
	NFR-0063	The solution shall allow an administrator to define a set of user roles, which control the assignment of rights to specific functions or groups of functions.	Security / Privacy
	NFR-0064	The solution shall not limit the number of user roles or groups that can be configured.	Security / Privacy
	NFR-0067	The solution shall allow an administrator's to use permissions to:

- Restrict access to specific files or records.

- Restrict access to particular features and functions (e.g. read, update and/or delete specific metadata elements).

- Deny access after a specified date.

- Allow access after a specified date.	Security / Privacy
	NFR-0069	The solution shall have FEDRAMP authority to operate at time of award.	Security / Privacy
	NFR-0070	The solution shall include customizable role-based access.	Security / Privacy
	NFR-0071	The solution vendor shall provide an incident and problem resolution mechanism.	System Administration
	NFR-0072	The solution vendor shall offer reporting on errors, bugs, problems, and incidents.	System Administration
	NFR-0073	If Simple Network Management Protocol (SNMP) is used, the solution shall support SNMP v3.	System Administration
	NFR-0074	The solution shall integrate into the existing architecture with respect to routing, encryption and redundancy.	Architecture
	NFR-0077	The solution shall allow upload, download, and view of files up to 5GB in size.	Capacity
	NFR-0079	The solution shall support records management in compliance with statutory and regulatory requirements that govern federal agency record keeping including, but not limited to:

- 44 U.S.C. 3101 et seq;

- 44 U.S.C. 3506;

- 36 CFR Chapter XII, Subchapter B;

- 36 CFR 1236 Subparts (B)(C);

- 36 CFR 1236.14(3) – Metadata Preservation;

- 36 CFR 1236.20(B) – Functionalities necessary for electronic recordkeeping;

- 36 CFR 1236.22 – E-mail preservation requirements;

- Presidential Memorandum (M-12-18), “Managing Government Records Directive,” August 24, 2012;

- E-Government Act of 2002 – Electronic Records Management Initiative;

- OMB Circular A-130, par. 8a1(j) and (k) and 8a4 – Information system design, development, and implementation.	Compliance
	NFR-0080	The solution shall maintain a link between records and their metadata through conversion or migration, including capture of all relevant associated metadata at the point of migration (for both the records and the migration process), pursuant to 36 CFR 1236.14(3).	Data
	NFR-0081	The solution shall be accessible via the following methods:

- desktop shortcut

- hyperlink on the Intranet.	Deployment
	NFR-0083	The solution shall execute queries from other business applications and systems to retrieve information from the solution.	Interoperability
	NFR-0084	The solution's mobile application, if applicable, shall be responsive to mobile device view points, shall support both Mobile and Tablet breakpoints, and shall support the current and previous 3 versions of Android, Safari, and iOS browsers.	Interoperability
	NFR-0085	The solution's mobile application, if applicable, shall be backwards-compatible with the previous three versions of the required mobile web browsers.	Interoperability
	NFR-0086	The solution shall support the current and previous three versions of the following browsers:

- Edge

- Chrome	Interoperability
	NFR-0087	The solution vendor shall be a member of the Technical Support Alliance Network (TSANet), which works to resolve complex hardware and software problems across multiple vendors.	Interoperability
	NFR-0088	The solution shall allow expansion of existing document repositories or addition of new repositories without negatively impacting system availability, response time, or logged-in users.	Maintainability
	NFR-0089	Cloud-based elements shall provide for geographically-distributed operations with little-to-no performance degradation or latency across the continental United States.
NOTE: 77 milisecond latency to west coast should be accounted for.	Performance
	NFR-0090	The solution shall cache static data to reduce the network latency of static web pages.	Performance
	NFR-0091	The solution's client applications shall be configurable to work in a server-based or terminal-only, non-persistent desktop environment, where initial views are web-based and do not require a full download of the document or image.	Portability

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