RFP 11711 - Technical Proposal_FS

COVER LETTER October 16, 2008 Kansas Division of Purchases Proposal #11711 Closing Date: October 17, 2008 2:00 PM 900 SW Jackson Street, Room 102N Topeka, KS 66612-1286 RE: State of Kansas Request for Proposal 11711 – Consulting Services, eDiscovery Dear Sir or Madam: Tricom Document Solutions is pleased to submit this proposal in response to State of Kansas Request for Proposal 11711 – Consulting Services, e-Discovery. We are confident that this proposal demonstrates our exceptional capability and methodologies for meeting the State‘s requirements for an e-discovery and consulting services. Tricom Document Management, a division of Tricom India Ltd., provides electronic management of legacy and current documents for its global clientele. As experts in e-discovery outsourcing services, Tricom specializes in data capturing and processing services including Electronic Data Discovery; Indexing; OCR and Cleanup; Litigation Coding and Attorney Review. Since June of 2000 Tricom has provided uncompromising solutions 24x7 within its well-designed facilities and its commitment to enhancing customer satisfaction by consistently providing services that reflect quality, reliability, speed, versatility, confidentiality and adaptability. Tricom‘s US operations are conducted from its facility in Friendswood, TX and the company has offices in Omaha, NE; Chicago, IL; New York, New York and a corporate office in Fremont, CA. Each of Tricom‘s three operations facilities in India have been certified under ISO 9001 and ISO 27001 for the highest levels of quality and data security. Tricom Document Management facts:          Wholly Owned Subsidiary of Tricom India Limited Tricom India is listed on major stock exchanges of India and also on Luxembourg Stock Exchange Revenues in excess of $12 million BPO operations since June 2000 95% clients from USA ISO 9001:2000 certified ISO 27001:2005 certified 3200 Current full-time employees Featured in DNB‘s India‘s Top ITES and BPO Companies 2006 & 2007. Our subcontractor Focus Solutions is also dedicated to providing expert electronic discovery solutions that enable effective and efficient management of electronic evidence through the entire litigation lifecycle. The goal of Focus Solutions is to meet litigation demands with appropriate and defensible methodologies, giving the client confidence in their ability to equip them with the tools they need for a successful case. We have found Focus Solutions to be:    CLIENT-ORIENTED: we are committed to making you feel like their #1 client. CONSISTENT: client‘s demands are met on time and within budget, and their solutions are 100% repeatable. KNOWLEDGEABLE: surprises are a natural part of this industry, but both Tricom and Focus Solutions employ a team of experts that are ready to engage them at a moment‘s notice. -2- State of Kansas RFP# 11711 - Consulting Services, eDiscovery  INNOVATIVE: both Tricom and Focus Solutions are always watching for more efficient and cost-effective ways to assist you in overcoming unique eDiscovery challenges. For services that are not offered directly by Tricom, Focus Solutions‘ legal, technical, and litigation process expertise in electronic discovery is unsurpassed in the industry. Focus understands the intricacies of electronic evidence and through Tricom would bring to the State of Kansas a consistent track record of success to prove it. Since 2000, Focus has delivered its services to clients nationwide, including major law firms, governmental agencies and Fortune 50 corporations. They have processed multiple terabytes of data, generated tens-of-millions of TIFF images, and delivered over 15 million printed pages. Both Tricom and Focus Solutions technology infrastructure are rapidly scalable. Again, thank you for your favorable consideration. The Tricom team is very confident in our ability to provide the services and exceed in meeting the expectation of The State of Kansas. Please feel free to contact me with any questions. Sincerely, Donna Colley, Esq. Director of Legal Services Tricom Document Management th 900 South 19 Street Omaha, NE (402) 933-0084 Office (512) 264-5992 Cell Technical Proposal For RFP # 11711 – Consulting Services, eDiscovery Submitted by Tricom Document Management, Inc. 2450 Peralta Blvd, Suite 222 Freemont, CA 94536  (510) 494-7800 www.tricomdata.com Omaha office 900 South 19th Street Omaha, NE  (402) 933-0084 Office  (512) 264-5992 Cell -4- State of Kansas RFP# 11711 - Consulting Services, eDiscovery TABLE of CONTENTS COVER LETTER............................................................................................................. 1 VENDOR RESPONSE CHECKLIST............................................................................... 5 ACKNOWLEDGEMENT OF ADDENDUM ........ERROR! BOOKMARK NOT DEFINED.6 CERTIFICATION REGARDING IMMIGRATION ............................................................ 7 SIGNATURE SHEET ...................................................................................................... 8 SUPPLIER DIVERSITY FORM ..................................................................................... 10 TAX CLEARANCE........................................................................................................ 13 TRANSMITTAL LETTER .............................................................................................. 14 VENDOR INFORMATION ............................................................................................. 15 QUALIFICATIONS ........................................................................................................ 22 TIMELINE AND METHODOLOGY ............................................................................... 39 REFERENCES .............................................................................................................. 40 TECHNICAL LITERATURE .......................................................................................... 41 -5- State of Kansas RFP# 11711 - Consulting Services, eDiscovery VENDOR RESPONSE CHECKLIST The following items are provided to assist bidders in ensuring all requirements are met and all required submissions are included with the bid. Vendors are instructed to utilize this list and include it with their bid submission. In order to ensure fair and accurate evaluation, page numbers indicating the location of your response within your bid shall be included, where indicated. Bidders must complete the page numbers required below. Response Page No. 7 Signature Sheet Response Page No. 8 Supplier Diversity Survey Form Response Page No. 10 Tax Clearance Response Page No. 7 Response Page No. 13 Response Page No. 33 Response Page No. 33 Response Page No. 17 Response Page No. 17 Response Page No. 34 Response Page No. Response Page No. (RFP page 2) (RFP page 3) (including individual subcontractor information) (RFP page 5) Certification Regarding Immigration (RFP page 6) Transmittal Letter (RFP Response Section) Timeline (RFP Response Section) Methodology (RFP Response Section) Experience (RFP Terms and Conditions Section) Qualifications (RFP Response Section) References (RFP Response Section) Subcontractor information, if applicable (RFP Response Section) Exceptions to RFP noted, if applicable (RFP Instructions Section) The following items have been submitted, as required: Literature submitted as required Proper number of copies submitted Cost and Technical packets separate Proprietary/Confidential information in separate packet Media on separate CD/disks, if applicable Cost Sheet (RFP Response Section) (RFP Response Section) (RFP Response Section) (RFP Instructions Section) (RFP Response Section) Quarterly Report Contact Information (See RFP Specifications Section) Contact Person for Quarterly Report Issues: Sameer Sheth Company Name: Tricom Document Management Address 2450 Peralta Blvd, Suite 222 City & State Fremont, CA Toll Free Telephone E-Mail Local 510.494.7800 ssheth@tricomdata.com Zip Code 94536 Cell: 510-579-8565 Fax 510-494-7802 -6- State of Kansas RFP# 11711 - Consulting Services, eDiscovery ACKNOWLEDGEMENT OF ADDENDUM ADDENDUM NONE A signed copy of this Addendum must be submitted with your bid. If your bid response has been returned, submit this Addendum by the closing date indicated above. I (We) have read and understand this addendum and agree it is a part of my (our) bid response. NAME OF COMPANY OR FIRM: Tricom Document Management SIGNED BY: Donna S. Colley TITLE: Director of Legal Services DATE: October 16, 2008 -7- State of Kansas RFP# 11711 - Consulting Services, eDiscovery CERTIFICATION REGARDING IMMIGRATION REFORM & CONTROL All Contractors are expected to comply with the Immigration and Reform Control Act of 1986 (IRCA), as may be amended from time to time. This Act, with certain limitations, requires the verification of the employment status of all individuals who were hired on or after November 6, 1986, by the Contractor as well as any subcontractor or sub-subcontractor. The usual method of verification is through the Employment Verification (I-9) Form. With the submission of this bid, the Contractor hereby certifies without exception that Contractor has complied with all federal and state laws relating to immigration and reform. Any misrepresentation in this regard or any employment of persons not authorized to work in the United States constitutes a material breach and, at the State‘s option, may subject the contract to termination and any applicable damages. Contractor certifies that, should it be awarded a contract by the State, Contractor will comply with all applicable federal and state laws, standards, orders and regulations affecting a person‘s participation and eligibility in any program or activity undertaken by the Contractor pursuant to this contract. Contractor further certifies that it will remain in compliance throughout the term of the contract. At the State‘s request, Contractor is expected to produce to the State any documentation or other such evidence to verify Contractor‘s compliance with any provision, duty, certification, or the like under the contract. Contractor agrees to include this Certification in contracts between itself and any subcontractors in connection with the services performed under this contract. ____________________________________________ Signature, Title of Contractor ______________________ date -8- State of Kansas RFP# 11711 - Consulting Services, eDiscovery SIGNATURE SHEET Item: Agency: Consulting Services, eDiscovery Various Agencies Closing Date: October 17, 2008 By submission of a bid and the signatures affixed thereto, the bidder certifies all products and services proposed in the bid meet or exceed all requirements of this specification as set forth in the request and that all exceptions are clearly identified. Legal Name of Person, Firm or Corporation Tricom Document Management Mailing Address 900 S. 19 Street, Suite 312 City & State Omaha, NE Toll Free Telephone Tax Number 37-1430836 Local Cell: E-Mail dcolley@tricomdata.com Fax th Zip Signature Typed Name Donna S. Colley, Esq. Date October 16, 2008 Title Director of Legal Services In the event the contact for the bidding process is different from above, indicate contact information below. Bidding Process Contact Name Same as Above Mailing Address Toll Free Telephone E-Mail Local City & State Cell: Zip Fax If awarded a contract and purchase orders are to be directed to an address other than above, indicate mailing address and telephone number below. Mailing Address Same as Above Toll Free Telephone E-Mail Local City & State Cell: Zip Fax Pricing is available to political subdivisions of the State of Kansas. (Refusal will not be a determining factor in award of this contract.) Agencies may use the Business Procurement Card for contract purchases. (Refusal will not be a determining factor in award of this contract.) Yes _X_ No ___ Yes ____ No _X_ -9- State of Kansas RFP# 11711 - Consulting Services, eDiscovery SUPPLIER DIVERSITY FORM State of Kansas Department of Administration Division of Purchases Supplier Diversity Survey Form Current statutes governing the activities of the Kansas Division of Purchases do not include preferences or set-asides for Small Business Enterprises (SBEs). The Division of Purchases is interested in determining to what extent purchase orders and contracts are awarded to SBEs under existing work efforts. Please Note: You shall submit this form with each proposal opportunity. Persons or concerns wishing to receive a Purchase Order or Contract Award resulting from this proposal opportunity shall provide the information contained in this document before the award is made. To help expedite this procurement, it is requested that you submit this form with your proposal. Legal Company Name Tricom Document Management Doing Business As (if applicable) Federal Tax ID Number / FEIN 37-1430836 Diversity Program Contact Name Title Phone Number 402-933-0084 Fax Number 402-933-0084 E-Mail Address dcolley@tricomdata.com Company Web http://tricomdata.com Address 900 South 19 Street, Suite 312 City Omaha Legal Structure: Signature State NE Zip Code th Donna Colley Director of Legal Services X Corporation Date: COMPANY DIVERSITY DATA (A) Business Classification (See Appendix A for definitions): Is your business a Small Business Enterprise (SBE) as defined by the SBA? ■ No □ Don‘t Know Check all that Apply: □ Disabled (DIS) □ SBA-Small Disadvantage Business (SDB) □ Veteran-Owned (VBE) □ Women-Owned (WBE) □ Service-Disabled Veterans-Owned (DVBE) □ African American □ Native American □ Minority-Owned Business Enterprise (MBE) □ Hispanic American □ Asian Pacific American □ Disadvantaged Business Enterprise (DBE) □ Asian Subcontinent American □ Other: __________________________________________________________ Yes (B) Has your Business Classification Status been certified by a state, municipal, federal or other certifying agency? □ ■ No Yes Certifying Entity: Other State of Kansas Resources for Small Business Enterprises (SBE) Kansas Department of Commerce Office of Minority/Women Business Development http://www.kansascommerce.com/IndexPages/Pgm01.aspx?rscId=996008588532 - 10 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery SUPPLIER DIVERSITY FORM State of Kansas Department of Administration Division of Purchases Supplier Diversity Survey Form Why is the Division of Purchases requesting this information? Current statutes governing the activities of the Kansas Division of Purchases do not include preferences or set-asides for Small Business Enterprises (SBEs). The Division of Purchases is interested in determining to what extent purchase orders and contracts are awarded to SBEs under existing work efforts. Please Note: You shall submit this form with each proposal opportunity. Persons or concerns wishing to receive a Purchase Order or Contract Award resulting from this proposal opportunity shall provide the information contained in this document before the award is made. To help expedite this procurement, it is requested that you submit this form with your proposal. COMPANY DATA Legal Company Name Focus Legal Management, LLC Doing Business As (if applicable) Focus Solutions, LLC Federal Tax ID Number / FEIN 20-1801532 Diversity Program Contact Name Keith Gregerson Phone Number (877) 495-9800 E-Mail Address kgregerson@focussolutions.com Address 222 S 15 Street, Suite 1005 City Omaha Legal Structure: Signature State NE Zip Code 68102 th Title Business Development Director Fax Number (402) 344-8686 Company Web www.focussolutions.com □ Corporation □ Partnership □ Non-Profit □ Sole Proprietorship X LLC Date: October 16, 2008 COMPANY DIVERSITY DATA (A) Business Classification (See Appendix A for definitions): Is your business a Small Business Enterprise (SBE) as defined by the SBA? □ No □ Don‘t Know Check all that Apply: □ Disabled (DIS) □ SBA-Small Disadvantage Business (SDB) □ Veteran-Owned (VBE) □ Women-Owned (WBE) □ Service-Disabled Veterans-Owned (DVBE) □ African American □ Native American □ Minority-Owned Business Enterprise (MBE) □ Hispanic American □ Asian Pacific American □ Disadvantaged Business Enterprise (DBE) □ Asian Subcontinent American □ Other: __________________________________________________________ X Yes (B) Has your Business Classification Status been certified by a state, municipal, federal or other certifying agency? X No □ Yes Certifying Entity: Other State of Kansas Resources for Small Business Enterprises (SBE) Kansas Department of Commerce Office of Minority/Women Business Development http://www.kansascommerce.com/IndexPages/Pgm01.aspx?rscId=996008588532 - 11 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery State of Kansas Department of Administration Division of Purchases Supplier Diversity Survey Form Appendix A Definition of Terms Small Business Enterprise / Concern (SBE) SBEs are businesses that do not exceed the size standard for the product or service it is providing as measured by its employment and/or business receipts in accordance with the U.S. SBA numerical size standards. These standards are defined as FAR 52.219-8, 13 CFR Part 121 and 13 CFR 121.410. Disadvantaged Business Enterprise (DBE) DBEs are defined as a business which are (a) owned by socially disadvantaged individuals who have been subjected to racial or ethnic prejudice or cultural bias because of their identity as a member of a group without regard to their individual qualities; or (b) owned by economically disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished opportunities to obtain capital and credit as compared to others in the same line of business who are not socially disadvantaged. Disabled Business Enterprise (DIS) DIS businesses are at least 51% owned and controlled by one or more U.S. citizens who has a physical or mental impairment which substantially limits one or more of such person‘s major life activities. Small Disadvantage Business Concern (SDB) SDB businesses are certified by the SBA as meeting the following criteria: (1) they are small business concern and (2) shall be at least 51% owned and controlled by one or more U.S. citizens who are socially and economically disadvantaged. African Americans, Asian Pacific Americans, Asian Subcontinent Americans, Hispanic Americans and Native Americans are presumed to qualify as being socially disadvantaged. Other individuals can qualify if they show by a preponderance of the evidence that they are socially disadvantaged. In addition, the personal net worth of each eligible owner applicant shall be less than $750,000, excluding the values of the applicant‘s ownership interest in the business seeking certification and the owner‘s primary residence. Successful applicants shall also meet applicable size standards for small businesses in their industry. SDB regulations can be found in FAR 52.219-8 and 13 CFR parts 121 & 124. Veterans-Owned Business Concern (VBE) VBE businesses are at least 51% owned and controlled by one or more U.S. citizens who are Veterans of the U.S. Armed Forces. In the case of any publicly owned business, at least 51% of the stock is owned by one or more veterans and one or more veterans shall control the management and daily business operation. The term ―Veteran‖ means a person who served in the active military, naval or air service and who was discharged or released there from under conditions other than dishonorable. VBE regulations can de found in FAR 52.219-9 & 38 USC 101 (2). Service-Disabled Veterans-Owned Business Concern (DVBE) DVBE businesses are at least 51% owned and controlled by one or more U.S. citizens who are service-disabled Veterans of the U.S. Armed Forces. In the case of any publicly owned business, at least 51% of the stock is owned by one or more service-disabled veterans and one or more veterans shall control the management and daily business operation. The term ―Veteran‖ means a person who served in the active military, naval or air service and who was discharged or released there from under conditions other than dishonorable. The term ―ServiceDisabled‖ means a veteran of the U.S. Military Service has a service-connected disability with a disability rating of 0%-100%. In the case of permanent or severe disability, the spouse of caregiver of such a service-disabled veteran may control the management and daily operations. DVBE regulations can be found in FAR 52.219-9 & 38 USC 101 (2) & USC 101 (16). Women-Owned Business Concern (WBE) WBE businesses are at least 51% owned and controlled by one or more U.S. citizens who are female gender. In the case of any publicly owned business, at least 51% of the stock is owned by one or more women and one or more women shall control the management and daily business operations. For Federal contracting regulations see FAR 52-219-8. Minority-Owned Business Enterprise (MBE) MBE businesses are at least 51% owned and controlled by one or more U.S. citizens belonging to certain ethnic minority groups. In the case of any publicly owned business, at least 51 % of the stock is owned by one or more minorities, and one or more minorities shall control the management and daily business operations. ―Ethnic Minority Groups‖ are people of Asian Pacific American, Asian Subcontinent American, African American, Hispanic American and Native American descent.  African Americans: People whose origins lay in any of the Black racial groups of Africa.  Asian Pacific Americans: People whose origins lay in Brunei, Burma, China, Guam, Indonesia, Japan, Kampuchea (Cambodia), Korea, Laos, Malaysia, Northern Mariana Islands, Republic of the Marshall Islands, Federated States of Micronesia, Republic of Palau (U.S. Trust Territory of the Pacific Islands), the Philippines, Samoa, Singapore, Taiwan, Thailand and Vietnam.  Asian Subcontinent Americans: People whose origins lay in Bangladesh, Bhutan, India, Pakistan, Sri Lanka or Nepal.  Hispanic Americans: People whose origins are in the South and Central America, Mexico, Puerto Rico, Cuba or the Iberian Peninsula (including Portugal).  Native Americans: American Indians, Inuit (Eskimos), Aleuts, and native Hawaiians of Polynesian ancestry. Date of Last Update: March, 2007 - 12 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery TAX CLEARANCE Per KSA 75-3740-(c), the Director of Purchases may reject the bid of any bidder who is in arrears on taxes due the State of Kansas. The Division of Purchases will confirm tax status of all potential contractors and subcontractors prior to the release of a purchase order or contract award. The State of Kansas reserves the right to allow a bidder an opportunity to clear tax status within ten (10) calendar days, or to proceed with award to the next lowest responsive bidder, whichever is determined by the Director of Purchases to be in the best interest of the State. Potential bidders are encouraged to contact the Kansas Department of Revenue directly (and on a regular basis) to confirm current tax status and to clear up any outstanding liabilities. The Secretary of Revenue is authorized to exchange such information with the Director of Purchases as is necessary to determine the bidders tax clearance status, notwithstanding any other provision of law prohibiting disclosure of the contents of taxpayer records or information. Instructions on how to check Tax Clearance Status can be found at the following website: http://www.ksrevenue.org/taxclearance.htm Information about Tax Registration can be found at the following website: http://www.ksrevenue.org/busregistration.htm Contact Information: Please provide the attached contact information for use should the State of Kansas need to contact the appropriate officials within your company to discuss your tax clearance / registration status. CONTRACTOR Contact Person for Tax Issues: Sameer Sheth Company Name: Tricom Document Management Address 2450 Peralta Blvd, Suite 222 City & State Fremont, CA Toll Free Telephone E-Mail Local 510.494.7800 sshet@tricomdata.com Zip Code 94536 Cell: 510-579-8565 Fax 510-494-7802 SUBCONTRACTOR- SEE NEXT PAGE Contact Person for Tax Issues: Company Name: Mailing Address City & State Toll Free Telephone E-Mail Additional pages may be added, as required, indicating the same information for multiple subcontractors. Tax Number: Zip Code Local Cell: Fax - 13 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery TAX CLEARANCE Per KSA 75-3740-(c), the Director of Purchases may reject the bid of any bidder who is in arrears on taxes due the State of Kansas. The Division of Purchases will confirm tax status of all potential contractors and subcontractors prior to the release of a purchase order or contract award. The State of Kansas reserves the right to allow a bidder an opportunity to clear tax status within ten (10) calendar days, or to proceed with award to the next lowest responsive bidder, whichever is determined by the Director of Purchases to be in the best interest of the State. Potential bidders are encouraged to contact the Kansas Department of Revenue directly (and on a regular basis) to confirm current tax status and to clear up any outstanding liabilities. The Secretary of Revenue is authorized to exchange such information with the Director of Purchases as is necessary to determine the bidders tax clearance status, notwithstanding any other provision of law prohibiting disclosure of the contents of taxpayer records or information. Instructions on how to check Tax Clearance Status can be found at the following website: http://www.ksrevenue.org/taxclearance.htm Information about Tax Registration can be found at the following website: http://www.ksrevenue.org/busregistration.htm Contact Information: Please provide the attached contact information for use should the State of Kansas need to contact the appropriate officials within your company to discuss your tax clearance / registration status. CONTRACTOR Contact Person for Tax Issues: Terra Asta Company Name: Focus Legal Management, LLC Mailing Address 222 S 15 Street, Suite 1005 City & State Omaha, Nebraska Zip 68102 Fax (402) 344-8686 th Tax Number: 20-1801532 Toll Free Telephone (877) 495-9800 Local (402) 344-8020 Cell: E-Mail tasta@focussolutions.com SUBCONTRACTOR(S) Contact Person for Tax Issues: Company Name: Mailing Address City & State Toll Free Telephone E-Mail Additional pages may be added, as required, indicating the same information for multiple subcontractors. Tax Number: Zip Code Local Cell: Fax - 14 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery TRANSMITTAL LETTER To: Kansas Division of Purchases Proposal #11711 900 SW Jackson Street, Room 102N Topeka, KS 66612-1286 Re: RFP Number 11711 – Transmittal Letter We hereby certify and submit: (a) that Tricom Document Management is the prime Contractor and Focus Solutions will be a subcontractors to RFP #11711. (b) that Tricom Document Management is a corporation incorporated in State of California ; (c) that no attempt has been made or will be made to induce any other person or firm to submit or not to submit a proposal; (d) that Tricom Document Management does not discriminate in employment practices with regard to race, color, religion, age (except as provided by law), sex, marital status, political affiliation, national origin or disability; (e) that no cost or pricing information has been included in the transmittal letter or the Technical Proposal; (f) that Tricom Document Management presently has no interest, direct or indirect, which would conflict with the performance of services under this contract and shall not employ, in the performance of this contract, any person having a conflict; (g) that the person signing the proposal is authorized to make decisions as to pricing quoted and has not participated, and will not participate, in any action contrary to the above statements; (h) that there is a not a reasonable probability that Tricom Document Management is or will be associated with any parent, affiliate or subsidiary organization, either formally or informally, in supplying any service or furnishing any supplies or equipment to Tricom Document Management which would relate to the performance of this contract. Further, if at any time after a proposal is submitted, such an association arises, Tricom Document Management shall obtain a similar certification and authorization and failure to do so shall constitute grounds for termination of the contract at the option of the State; (i) that Tricom Document Management agrees that any lost or reduced federal matching money resulting from unacceptable performance in a Contractor task or responsibility defined in the Request, contract or modification shall be accompanied by reductions in state payments to Contractor; and (j) that Tricom Document Management has not been retained, nor has it retained a person to solicit or secure a state contract on an agreement or understanding for a commission, percentage, brokerage or contingent fee, except for retention of bona fide employees or bona fide established commercial selling agencies maintained by Tricom Document Management for the purpose of securing business. For breach of this provision, the Committee shall have the right to reject the proposal, terminate the contract and/or deduct from the contract price or otherwise recover the full amount of such commission, percentage, brokerage or contingent fee or other benefit. Sincerely, Donna S. Colley, Esq. Director of Legal Services Tricom Document Management - 15 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery VENDOR INFORMATION Following are the details about Tricom Document Management (Vendor) as per requirements specified in the RFP# 11711. (a) (b) (c) Date established - June 2000. Ownership (public, partnership, subsidiary, etc.) - Corporation Number of personnel, full and part time, assigned to this project by function and job title: Sameer Sheth, Vice President Mr. Sheth has more than 10 years of experience within the Business Process Outsourcing field and has acted as an account representative on numerous accounts throughout the United States. He will assume direct responsibility for assuring that all services are provided as required by the State of Kansas. Donna Colley, Director of Legal Services Ms. Colley was a nation-wide litigation attorney for more than 20 years prior to specializing in the document management industry. She has acted as lead trial attorney in more than 20 U.S. Federal District Courts before becoming an electronic discovery consultant for one of the largest top-tiered ediscovery providers in the U.S. She has experience in bring quality and service to many Fortune 500 companies throughout the United States and will be available to the State of Kansas 24-7 for any and all e-discovery and consulting needs. Mark Van Riper, Vice President US Operations for Tricom Document Management Mark Van Riper has been in the litigation support business for over 23 years. Mark began his career with Exxon as a Computer systems analyst where he initially supported mainframe Data Entry Systems and Document retrieval systems in support of Exxon‘s Law Department. With the evolution of client server architectures, Mark led the effort to implement the economies of document scanning and imaging technologies to real time Litigation Support Document Retrieval systems. In partnerships with third party vendors, Mark has developed and managed several commercial EDD, Data entry, and Data retrieval systems. Mark holds a Bachelor in Petroleum Engineering from Texas A&M University. Rajesh Khanna, General Manager – Systems Mr. Khanna is a ―technocrat‖ with over 21 years‘ experience in the areas of Strategic Planning, Operations Management, Project / Process Management, System Design & Implementation, IT Infrastructure Management and Resource Planning & Control in 24*7, multiple time zone and highpressure environment. He is a strategic planner with expertise in managing & leading teams for running successful process operations & experience of developing business continuity plans, procedures, service standards for business excellence. In addition, Mr. Khanna possess broad competence in strategic management of technical matters with the distinction of launching and driving new IT initiatives, re-designing IT infrastructures and achieving organizational objectives. An effective leader with distinguished abilities in end-to-end project management, custom designing business solutions and motivating team members to maintain deliverables as per SLAs negotiated with clients. - 16 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Jon Thompson – Computer Operations Technical Manager Mr. Thompson has been working in the Litigation Support Industry for 10 years. Jon began his career as a Data Entry operator, moved quickly to the position of Data Entry Supervisor, and then shifted his focus to operations specialist. Jon has held positions in several large Litigation Support Firms in the position of Technical Operations Support Manager. (d) Resources assigned to this project and the extent they are dedicated to other matters; Tricom has employees and data processing resources located in the USA & India providing onsite as well as offsite support in the areas of e-discovery including litigation coding, electronic discovery processing, and document review. This resource pool is extremely mobile to adapt to the client needs and project schedule. Tricom will allocate whatever resources necessary to complete the projects. (e) Organizational Chart: Further vendor qualification information is provided in the QUALIFICATIONS section of this response. Subcontractors: The only subcontractors intended to be used in work for the Sate of Kansas are those described herein. In general, Tricom uses several different sources for recruiting employees. These include:  Referrals  Advertising  Internet search and job posting  Ownership of an extensive resume database  Vast recruiting network At this time, we are confident that we will be able to meet State of Kansas staffing requirements using these sources. Off-Shore Sourcing: Tricom Document Management is headquartered in Fremont, CA. We have a data processing facility in Friendswood, TX and employees throughout the United States. We screen, qualify and create a superior talent pool from a wide range of sources from around the world, including our own employees, their professional networks, referrals, independent subcontractors and so on. These exceptional resources can then be rapidly matched and deployed for client projects onsite. We will perform all our contracted services at a site directed and approved by State of Kansas and these sites will be located in the United States. We further confirm that we will not perform any contracted services outside the United States without prior knowledge and approval of State of Kansas. - 17 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Tricom Document Management’s Organizational Structure Above chart shows the Senior Management structure for Tricom Document Management We pride ourselves on providing a management team, which is comprised of professionals that have extensive experience in managing and staffing large projects for major corporations, law firms and State and Federal Government. This team has experience and insight as to staffing expectations of our clients. Their insight has guided and directed the development of the company‘s internal process so that we continually exceed our client‘s expectations. - 18 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Following are the details about our subcontractor Focus Solutions, LLC, as per requirements specified in the RFP# 11711. (a) (b) (f) Date established; April 4, 2000 Limited Liability Company Ownership (public, partnership, subsidiary, etc.); Number of personnel, full and part time, assigned to this project by function and job title: We plan to ensure that this project will be supported based on the project‘s needs. We will provide part-time support by a Project Manager, eDiscovery Solutions Group Director, Technical Services Director, Case Management Director and other related support staff. The team is able to increase to full-time should the need arise. Rob Powers, Project Manager – Rob has spent the last 12 years in the hospitality industry focused on Training, Customer Service and Information Technology. During his career he has dedicated most of his time in the IT environment to training material development, class facilitation, online documentation management and project management. At Focus, Rob utilizes his experience to assist in the implementation of customer support processes and problem-solving techniques. Rob is currently pursuing Help Desk Analyst and CompTIA A+ certifications. Certifications: iCONECTnxt End User & Administrator, Six Sigma Green Belt Olivia Gerroll, eDiscovery Solutions Group Director – Sixteen years of experience in litigation technology support and practice support management has given Olivia an in-depth knowledge of the litigation process and attorney expectations. She is highly knowledgeable in all litigation support products with a proven track record of improving efficiency and productivity through solution development, automation, technology implementation, and data management. Bill Hemmingson, Technical Services Director – Bill brings nine years of information management experience and a Bachelor of Science in Management Information Systems to the team. He is well versed in Concordance, Summation and IPRO, and experienced in management of metadata through SQL Server. Bill is a creative thought-leader at Focus, and he has played a key role in streamlining the company‘s eDiscovery processes. Chad Kemp, Case Management Director – Chad brings ten years of experience in technical and customer support to Focus Solutions. In addition to that, he now has years of experience working in our Electronic Discovery division. His understanding of the ED workflow and personal ED project management coupled with his ability to create and setup efficient static or native review databases makes him invaluable to the Focus team. CERTIFICATIONS: iCONECTnxt End User & Administrator, Microsoft Certified Professional - 19 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery (d) Resources assigned to this project and the extent they are dedicated to other matters; We draw from a pool of 47 professionals with diverse credentials, including Consultants, Electronic Discovery Software Specialists, Project Managers, Document Specialists, Web Developers, Programmers and Software Engineers. A number of our professionals have provided expert witness testimony, supporting cases with clear analysis and illustrating findings determined by the most advanced in litigation technology. Currently, our team is focused on an average of 15 cases per month, some much larger than others. Subcontractors: At this time, we are confident that we will be able to meet State of Kansas staffing requirements without the use of subcontractors. (e) Organizational Chart: Dan Warnock CEO s d a d s f Sherry Ruffner Business Services Center S Dan Warnock CEO D a n W a r n o c Matt Heelan k Bret Cain Strategic Alliances e r r K B R Keith Gregerson O Olivia Gerroll Rob Williams John Gabriel & y e Peng Welstead r l o eDiscovery Business Managing Partner Managing Partner i Solutions e i b Development R Kansas City Omaha IT Development C Group Director t t v u E h i W f O C a i f G a l n Dan Warnock is a 26-year veteran of the utility industry with extensive executive leadership r i G l e experience, having previously led several US and international companies to achieve e n e i r notable records of growth, profitability and operational integrity. g r a S r m Be t Bret Cain is responsible for driving the o company‘s Strategic Sales and Marketing Alliance. r s u r He served as president and CEO of Focus Solutions froms April of 2000 to September of l s a M 2007. l io t a n n e n Keith Gregerson has been an employee of the company for 7 years. He has participated e e g the company has made. Historically, he has been instrumental in B a with every key decision s D i u had accumulated fifteen years g the operational decisions of the company. Before Focus, he s i c s i of management experience in businesss operations and startups. He is an initiator and is i n well fitted for the Business Development role. S c A n g e o l e r Olivia Gerroll has 16 years of extensive background in litigation technologyPsupport and v l s v practice support management. She is highly knowledgeable in all litigation support products e i s a i with a proven track record of improvingrefficiency and productivity through solution a r c development, automation, technology implementation, and data management. She has an y n D t e in-depth knowledge of the litigation process and attorney requirements. c e n e v e C s e r e l n o O t p m e m a r e h n a t M a t t H e e l a n M a n a g i n g P a r t n e r K a n s a s C - 20 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Rob Williams has been an employee of the company for 3 years and has been involved in the document management industry for 30 years. Previously, Williams provided management and consulting to Fortune 500 clients and government agencies in records, mail, fulfillment, print and facility management. Matt Heelan has 11 years of experience in the litigation support field, as well as an extensive background in client services, sales and business development. As the Director of Client Services and as a part of a senior management team, he helped another litigation support company achieve record growth. John Gabriel has been with the company for over 7 years and worked in a variety of capacities in litigation support and technology development. He has extensive knowledge of the electronic discovery process as well as a solid background in information technology and software development. John has been heavily involved with the execution of several largescale data collections, managed client projects and co-architected several of the electronic discovery software applications used by Focus Solutions. Peng Welstead has worked with the company for 4 years. Her education in Business Management and Management Information Systems, coupled with her practical experience in leading eDiscovery projects, has been invaluable in the development of Focus‘ Claredy™ software platform. The recently released version of Claredy™ Processing was developed under her guidance. - 21 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery FOCUS SOLUTIONS HISTORY Focus Solutions initially embraced the litigation support industry by assisting Omaha-area attorneys with their copying, imaging, coding, time stamping and exhibit preparation needs. These were very conventional services, not requiring much more than a few software applications and some dedicated individuals with a keen eye for detail. By 2003, word had spread quickly about the company, and more calls and inquiries were coming in from law firms across the nation. At the same time, founder and former CEO Bret Cain started to recognize a change in the industry. An increasing reliance on electronically stored information was creating a number of new challenges in the courtroom, and clients were requesting more advanced services and products to meet those challenges. Data collection, for example, demanded an expert knowledge of computers and servers, and the risk of spoliation of evidence was too high for many attorneys to feel 100% comfortable performing the task on their own. Cain felt an urgent need to offer electronic discovery to his clients. He realized that expanding the company‘s services in this way would require a level of technical savvy and financial investment unlike any previous venture, but the opportunity far outweighed the requirements. With this in mind, Cain hired a team of qualified experts to transform Focus Solutions into a technology company virtually overnight. This team worked quickly to ensure that Focus Solutions would be able to compete with already well-established electronic discovery vendors. From the very start, Focus Solutions was committed to being on the leading edge of this market. In order to compete with the best, they understood that they would not only need a superior shell (precision, customization, responsiveness, attentiveness), but they would also need a reliable infrastructure to support the functionality of the shell. The Focus team specifically selected partnerships with companies that are the leading force in their industry, setting the trends for security, software, hardware, networking and storage. During this time of transition, Focus Solutions encountered significant limitations in thirdparty software applications. They tried several electronic discovery applications, but none matched the level of accuracy and customization that clients had learned to expect with the rest of Focus Solutions‘ services. Continuing with third-party applications threatened to jeopardize the reputation they worked so hard to achieve, so Focus hired a team of software engineers to design and implement the company‘s first proprietary eDiscovery application. The application enabled Focus to better examine and organize the layers of electronically stored information. The software engineers were brought on full-time to maintain the eDiscovery software they created, and to respond to new client needs at a moment‘s notice. This resourcefulness and ingenuity set the company apart in the industry. They became a solutions-oriented company, as opposed to a packaged, over-the-counter service provider. Thanks to this team of software developers, Focus has been able to develop more applications, with a proprietary review tool scheduled for release later this year. Focus Solutions is committed to not only using the best technology, but also hiring the best people in the industry. The company‘s technology unit has grown into six departments, and every department has a large pool of highly educated and experienced professionals to draw from. These departments continue to grow with people who, along with their high qualifications, bring a commitment to the innovative and customer-first mentality that brought Focus Solutions to where it is today. - 22 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery QUALIFICATIONS The following response follows the format of “section 4: specifications.” Litigation planning, analysis and design Identification of ESI (Electronically Stored Information) – Working with counsel and client IT personnel, we will identify all sources of ESI. Once all sources have been identified, we will build a collection strategy to ensure compliance with the case requirements and preservation order issued in this matter. Data Mapping – FS will index all electronic documents collected and provide a report containing the total number of files, file types and sizes. This will provide [firm] with a high-level understanding of the collected data set and assist in identifying additional file types that may not need to be processed. E-discovery services Please refer to litigation planning, data reduction, culling, data hosting, data processing & other services. Paper discovery services Hard Copy Document Collection – We will systematically collect paper documents from each identified custodian. Local imaging vendors will be interviewed and sub-contracted where appropriate due to location-specific demands, to image each document and organize on the custodian level. We will employ a three-part paper document tracking system that will ensure accurate return of all documents collected to the exact location from which they were collected. Copying – We are ready to reproduce your documents at a moment‘s notice, and no job is too big or too small. Our uncompromising quality control specialists inspect every image against the original, guaranteeing the integrity of your originals and a copy set that is an exact replica, tailored to your specific requests. And speaking of requests, no matter how specific the job instructions are, we are committed to getting it done right the first time. We are more than equipped to meet your deadline, regardless of the size or complexity of your project, and we can return the finished product to your office or ship it to any location worldwide. Bindery – We have everything you need to apply a professional, crisp look to your depositions, exhibits and other printed materials. Aside from standard binding elements and 3-ring binders, we offer ACCO, DEPO, COIL, GBC and VELO binding. We also offer padding and saddle stitching. Most projects can be bound within 24 hours, and there are no contracts or minimum orders. Our wide range of bindery solutions should meet the needs of any firm, but if you require a more personalized look, our Account Managers can arrange to special order from an even greater variety of binding colors and cover styles. - 23 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Oversize – Utilizing the latest digital technology in every level of print service from black and white to full-bleed color, we can produce high-impact, large-format prints scanned from your original documents or electronic images. We are well equipped to produce your oversize trial exhibits such as pictures, charts and other visual aids. We understand that graphics, poorly presented, can detract from the message that drives your case, so we take painstaking care to ensure that the reproductions you request are professionally mounted and finished with clear images and sharp text. Should your existing graphics need enhancement; our professional graphics department can enlarge, edit, or modify your originals, creating dramatic and detailed presentations that are relevant and graphically rich. Imaging, coding Hard Copy Document Scanning – Each page will be scanned to create single page Group IV tiff images. Each scanned document will be quality checked against the original to ensure each page is an accurate representation of the original. Hard Copy Document Unitization – Unless otherwise specified, we will logically unitize the documents collected per custodian. Logical unitization is the process by which highly trained coders identify and insert electronic document breaks to accurately define the beginning and end of each document. This is a valuable process as documents may then be managed individually rather than on the page level and searches will be much more accurate. Hard Copy Document Coding – We will initially objectively code Authors, Recipients, Document Titles, Document Types and Dates. We will code more fields upon request. Legal team personnel will be able to subjectively code documents in a litigation support review application of their choice. Optical Character Recognition (―OCR‖) – Each scanned document will be routed through the OCR process. OCR is the methodology by which searchable text files are created per page. The inclusion of this process will enable the end-user to search for specific words within the scanned document population. Image Identification – Each image will be assigned an internal bates number containing a prefix specific to the matter in the database. Production bates numbers will not be burned onto the images until the legal team has identified documents they wish to produce. All internal and production bates numbering schemes will be discussed with the client and approved prior to assignment. Data Reduction, Culling For more information, please refer to data processing. Through filtering we can identify documents with specific features that make them qualify as potentially responsive documents, thus excluding subsets of documents that otherwise would require lots of time in parsing them to find out that they are not responsive at all. Our filters sift through the timeline of every document, uncovering the absolute time stamp values, email addresses, and key words that fit your specific query request, saving you valuable research time. We can give the filtered data to you and you're free to run your own set of queries, or we can provide additional value running more complex search terms. - 24 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Data hosting - document storage and data repository w/ 24-hour access We are a licensed iCONECTnxt Application Service Provider. iCONECTnxt is a web based document review application that will allow you to review documents anywhere you have an internet connection. Counsel will be able to efficiently review documents for responsiveness, privileged and key values in preparation for production, privilege log generation, depositions and trial preparation. Documents, metadata, coded information and OCR will be organized into databases agreed upon with the client. The standard turnaround time for new data loading is between 24 to 72 hours. Legal team members will be issued a user name and password per your instruction and permissions will be given that only allow a specific user access to what you want them to see. The legal team can then log into iCONECTnxt and review documents. Additional functionality:  Foldering Documents  Tagging Documents  Redaction Tools  Editing Documents in the database  Privileged Log Creation  Find Related Documents (find documents related by any field in the database)  Reports  Multiple Viewing Options  Sorting  Advanced Searching  Save Searches  Full Printing  Process and link native email and other electronic documents E-discovery project management The Project Managers are responsible for the planning, coordination and successful completion of all projects. In addition to managing the entire project life cycle, Project managers are tasked to recommend solutions for various challenges that may arise in complex projects. Key responsibilities:  communicate with client: project requests, scope and deadlines  coordinate with departments at every stage of the project to ensure successful completion  forecast needs and schedule resources related to his/her projects  identify areas that need improvement in order to meet our client‘s requirements with excellence Data Processing Using our processing software (Claredy™ Processor), we will extract specified fields of Metadata from each email and electronic document. As part of this process, we will create an MD5 hash code (a unique code based on the document‘s values) for each document we process. We will de-duplicate documents based on their MD5 hash value. As we process data, each subsequent occurrence of the same document will be deactivated and not published to your review database. We are able to provide [firm] with a report showing the duplicate documents extracted from the initial data set which can be customized based on client requirements. Capacity & Scalability – We have twenty machines dedicated to processing. The raw processing of 400 GB of data would typically take less than forty-eight hours. Additional hardware could be installed to boost this response time and our processing capacity could be more than doubled within one week. - 25 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Foreign Language – English, Japanese and other Unicode character sets are supported. We can process, segregate & OCR specified Unicode character sets. Embedded Documents – We have the ability to extract embedded documents; however some limitations apply considering the application used to embed the file. Scope of Metadata Fields – We process virtually any field of metadata we can recognize in an attachment. We maintain all parent/child document relationships for email, which includes a reference within the review tool to move between parent and child. Exception Reports – Once the data has been processed, we will examine any unknown file types and corrupt or password protected files. We will submit a report containing the file names of password protected files per custodian and an exception report for files that would not process with the reason they would not process. Search Terms – Many times the client will identify the need to run a set of search terms against the processed collection to narrow the collection for relevancy and review. We will test the search terms created by counsel against key sets of documents and report the metrics to the legal team. The legal team can then adjust the terms as needed. We can run responsive terms first and then run privileged terms against the results of the responsive query to segregate potentially privileged documents prior to review. Forensics Generally a forensic capture is required when the media itself has evidentiary value or bad behavior is suspected; this involves a search of deleted, temporary, and/or "slack" file space for evidence. We will work with a location-specific certified forensic examiner to create a complete evidence image on the bit level for each identified media source (i.e. laptop, workstation, server). Other services Targeted Data Collection – A targeted collection is executed by having the client identify where potentially responsive data is located to include corporate workstations, laptops, custodian-related home computers, PDAs, BlackBerry devices, allocated network space, etc. This process occurs during the custodian interview. We will collect only the specific materials identified by the custodian. If required, hard drives can be forensically imaged for preservation so we will never have to go back to the custodian in the event additional documents are needed at a later date. Pre-Processing Filters – There are three filters we recommend be employed prior to processing the data into a searchable database. These filters are designed to accurately reduce the amount of data to be considered for processing.  A date filter will allow for the exclusion of any documents that were created outside the scope of the agreed upon time frame to be considered for discovery (enter date(s)).  The exclusion of files that do not meet a specified list of potentially responsive file types.  The exclusion of system files that may have been collected, but were not created by end-users. - 26 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Document Production – We will facilitate all document productions. Once the legal team has identified all documents they wish to produce, we will copy a set of the images, endorse them with sequential bates numbers and deliver the production in paper, image or native format to the requesting party. We will then format the documents and data as agreed to in the production protocol. Privileged Logs – We will create two editable fields in the document databases: Privileged Description and Privileged Designation. The legal team will be able to query the privileged tag and then edit each privileged record with the description, designation and any other fields they have agreed to produce on the privileged log. Once complete, we or your legal team can export all fields they agreed to produce on the privileged log to a Microsoft Word or Excel file for production in paper or electronic format. Data Deliverables – Should [firm] choose to receive the responsive data files (images, coding, OCR) for loading to a third party review application, we will ensure that load files meet the application specifications by performing load tests and QCing all deliverables. - 27 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery DATABASE ADMINISTRATION RESPONSIBILITIES Describe your capability to organize and segregate documents in multiple ways Data can be segregated into batches by range of documents, custodian or however the client wants it to be segregated. We then create the folders for the sets and mass folder those for the client. Describe your capability to provide a customer usable load file for in-house review. We can provide any custom output format. We have provided load files for Concordance, Summation, Ringtail, iCONECTnXT and IPRO. What firewall ports are needed to be opened for access? Describe your process for handling and hosting data and images. Detail the steps for the process of receiving, loading, and hosting data. The internet connections that are used for the hosting site are coming from 2 redundant backbones to the internet. Redundant firewall and routing equipment is available and on site as well. Please describe the image viewing and markup capabilities. Discuss electronic document printing options and capabilities. Users are able to use the annotation tools to redact, highlight, stamp or add sticky notes to any image in the database. Once this work is saved, the user can make annotations and redactions transparent by using the crosshatch feature. We have the capacity to batch print 10,000+ pages to paper per hour. End users are able to run batch prints, and the output speed would vary depending on the capabilities of their printer. We would not recommend printing more than 1,000 pages at a time. We have the ability to put separator sheets between documents with 5 fields of metadata on each sheet. Describe the method used to document handling of client electronic documents through your internal process, from receipt of media to production of final work product and/or media return. - 28 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery A chain of custody form is started prior to our arrival at the collection site, and it accompanies the data to our facilities. All data, stored on a number of storage devices, is transported by our Project Manager or Collection Specialist from the point of collection to our facilities in Omaha, NE. If original data enters our custody, a forensic copy of the data is made to ensure full data integrity. Essentially, this form illustrates a timeline of responsibility showing who oversaw the data from collection to disposition. The collection date, time and method of acquisition are recorded for each piece of media. Each time the documents move from one person to another, the individual releasing the media must provide the date and time of the release as well as their signature and the individual receiving the media also provides a date, time and signature. Describe the process you use to convert electronic documents. Do you use conversion software that you have created or do you use a third party product? If you use a third party product, please identify the product and whether you use the product ―as is.‖ How do you ensure that metadata is not altered? iCONECTnXT uses iView to view the tiffs and jpegs as well as to convert native files to static format. iView is able to convert 350+ native file types to static format for review purposes. One click. We utilize Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Outlook, Microsoft Access, Redemption, Oracle Outside In Technology, Adobe Acrobat and Lotus Notes to extract metadata from a file. Our proprietary application, Claredy Processor, does not alter the metadata. However, if we receive an OST email file, the eDiscovery Department usually converts the file to PST prior sending to Claredy. Claredy is able to highlight any file that needed to be converted. We are using Oracle Outside In Technology to identify file during processing. If the file cannot be identified, this is referred to as a problem file, and Claredy will generate a report for further analysis. Identify file types you cannot process. How are these identified and tracked? Do you offer a manual processing option for these files? We cannot process IM Communications or previously translated languages, and we do not currently offer a manual processing option for these files. - 29 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Include a flowchart with the workflow steps that shows the typical steps you recommend and follow for processing electronic documents upon receipt of electronic data. All documents will be hosted in a single uniform image format. Describe your capability to capture and save all Metadata in situations where native files have been converted to images Our processing preserves all metadata fields as well as file system creation and modification dates. The standard metadata fields provided are as follows: Begdoc, Enddoc, Begattach, Endattach, Custodian (if applicable), Application (Microsoft Word, Microsoft Excel, etc.), Doc Type (email or edoc), File Name, Author (from for emails and primary author for edocs), Sent Date, Received Date, Creation Date, Modification Date, To, CC, BCC, Subject, Attachment (if sending native files), and Body. - 30 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Identify proper backup procedures. We have defined five tiers of disaster and outlined coordinating chains of response. Our two distant locations give us the ability to function out of one location should the other encounter disaster. We are currently determining a new cold site for backup hardware and warm site for backup data, specifically for the Omaha, NE location. Once the new site is negotiated, all client data will be backed up at least every twenty-four hours. Currently, all critical business data is backed up to tape routinely. All data is stored on redundant storage technologies (RAID 1,3,5) and redundant servers. Backups in our hosting site are done daily, with full backups done every 2 weeks. These backups are done to a tape library; the tapes are then moved to another offsite facility for safe keeping until they are needed. They are then rotated out twice a month. The data can be restored within 1 day of a total loss. Please describe and demonstrate your capability for access controls, security capability and auditing procedures for the facility, server, database and user security Our Project Managers schedule, coordinate, evaluate and record details for each stage of discovery, overseeing the Chain of Custody from identification to presentation. All challenges, exceptions and extensive discourse with the client concerning data are assembled in reports. We host the on-line review tool at a data center: - Designed to handle 200+ mph winds - Dry moat surrounding the data center - Back up power provided by three (3) diesel generators with 6,750 gallons of fuel on site. - Over 100 cameras surround the facility - Primary computer areas require card key and biometric (Iris Scan) authentication - Security Guards on site 24/7/365 We can set up view, full or no access to records and fields in the database. We can also set up rights where a user can only see a particular set of documents within the database. Nearly everything can be locked down based on specifications per user. Access can simply and easily be restricted by case, database, user or field. Other abilities: - lock an entire database, certain fields or specific documents - create a filter based on a search query (e.g. only give access to docs that respond to the search NOT “Jimmy Dean”) - track user activity We are able to set up the review in any way the user wants as long as it is feasible within the software. nd For example, we can create a new database that is an exact replica of the original database for 2 level nd review team. We can also place security on tags and folders that will allow the 2 level review team st access to review tools, but exclude the 1 level review team. Are the servers used to process electronic documents different than the servers you use for your enterprise systems or for hosting your repository systems? Does the data reside on the same internal network? We use a separate server for hosting. This data resides in an offsite data center (described above). - 31 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery ELECTRONIC FILE PROCESSING CHAIN OF CUSTODY The Project Manager engages the client to determine project scope and understand specific project needs. These needs are communicated to all department heads involved in the matter at Focus Solutions, and the Project Manager is responsible for ensuring that these needs are not compromised in any step of the project. The Project Manager will monitor and ensure compliance by all parties (the Tricom team, the client, Outside Counsel, our subcontractor Focus Solutions, any 3rd Party Vendors) with all standards for chain of custody and project organization, as detailed below. Data – A chain of custody form is started prior to our arrival at the collection site, and it accompanies the data to our facilities. All data, stored on a number of storage devices, is transported by our Project Manager or Collection Specialist from the point of collection to our facilities in Omaha, NE. If original data enters our custody, a forensic copy of the data is made to ensure full data integrity. Essentially, this form illustrates a timeline of responsibility showing who oversaw the data from collection to disposition. The collection date, time and method of acquisition is recorded for each piece of media. Each time the documents move from one person to another, the individual releasing the media must provide the date and time of the release as well as their signature and the individual receiving the media also provides a date, time and signature. Third Party Relationships – The client information will exist only within our production center. If we are providing on-site services or operating through a third party vendor, the information will not cross boundaries set by the client. No thirdparty vendor will be used by Tricom or our subcontractor Focus Solutions without the client‘s consent. Focus Solutions and Kansas approved third-party vendors must sign a contractor confidentiality agreement, meet our standards for quality, and follow our standards for chain of custody. - 32 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery REVIEW OF DOCUMENTS There is no limit to the number of simultaneous users. Any database will slow down when a larger number of users are searching or making changes to the database. We allow up to three free training sessions that will go over the functions of iCONECTnxt and how the client can better use this tool to maximize performance for review. A training session typically lasts 1 – 2 hours. Hours of operation: 24/7/365 We provide the same level of Account Management, Project Management and Development Support to all clients, based on their individual needs. Onsite Support is available, and client is responsible for FS travel expenses. A definition of travel expenses is available upon request. Most of our support can be provided over phone, but occasionally we will provide internet support to the client‘s IT department. Printing and Document Production are available to the client, and can both be customized to meet any specific need. iCONECTnxt uses 9 levels of security. Complex passwords to access the case can also be set up. More information on these levels of security is available upon request. Document Reviewers Tricom also has a document review division. The Director of Legal Services for Tricom is stationed in the United States and has practiced law for more than 20 years. Tricom also has a US trained and licensed attorney stationed in our India facility. Prior to coming to Tricom our Manager of Offshore Document Reviews and Training initiated and implemented a training program for another team of offshore document reviewers and prior to that services, Tricom's Offshore Manager performed QC, management and document review services for a number for AMLAW 40 Law Firms in the United States. Tricom uses a team of more than 200 U.S. attorneys, each of whom has been subjected to an intensive and extended background review. In addition, many of our attorneys have document review experience, including QC experience, on more than fifty high-risk litigation matters with the top law firms across the United States. Our domestic attorney review capabilities include more than 10 languages. The Tricom offshore team also possesses impressive review credentials. In addition to their training and graduation from top law colleges in India, our attorneys have completed several months of document review training and substantive U.S. law studies before being assigned to a client's project. At Tricom we know that there is never a "one size fits all" solution for a particular client or for a specific matter. That's why we insist on maintaining a close working relationship with our clients from the outset of each relationship. Our Director of Litigation Services works closely with our clients to devise specific protocols to insure on-going relationships that strive to include standardized review coding templates and associated processes, procedures and workflows; establish consistent and effective lines of communication with all involved parties; foster good relationships with other service suppliers and affiliates; implement a client-centric continuous improvement program; demonstrably leverage the streamlining of processes and economies of scale to the benefit of the client. - 33 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery TECHNICAL ARCHITECTURE - FACILITIES Backup power supplies for hosting facility – Our hosting facility is equipped with Dual power grids from the local power company with capacity for 4 megawatts of power at transformers. All power components are 100% redundant (2N). All power components reside inside of building, including diesel generators. The facility is equipped with a Rotary based UPS in 2N configuration (no batteries). It contains 3 diesel generators for self-generated power, each generator capable of 1200 KVA. 6,750 gallons of fuel are on site with refueling contracts. All power cabling on floors has waterproof casing with waterproof connectors to all equipment. Hosting facility redundant power supply – All data is stored on redundant storage technologies (RAID 1,3,5) and redundant servers in multiple locations. Dual power feeds to each cabinet in the hosting facility from two different power systems – We have two redundant power feeds from two separate grids to our servers, and each of our servers have redundant power supplies—one plugged into each circuit. HVAC environmental control including air conditioning and humidity control – The data center manages the HVAC and all other environmental systems. Humidity control, cooling and fire suppressant systems are in place. Air temperature under floor is delivered at 69° ± 3° with humidity at 40% ± 5%. Carbon dioxide and fire suppression and detection systems – The data center has smoke sensors above and below raised floor. A dry pipe system requires alert from two sensors to activate pipe fill and a final stage, which activates when the temperature exceeds thresholds. Geographical location to be within the United States – The data center is located in Omaha, NE. Physical security of the facility – Our facilities are guarded and monitored around the clock. Security guards are stationed at every main entrance and only authorized personnel with a building access card may enter the building after hours. Our eDiscovery data center has proximity card readers at every doorway into the facility and 24 hour camera surveillance. Vital hard drives and backup tapes are secured in safes, behind locked doors. We also limit employee access to sensitive client data. All employees go through a detailed background check involving multiple investigators. They also sign non-disclosure agreements to ensure our clients‘ confidentiality. Our offsite data storage facility is hosted by a 3rd party company. The facility is built one story below ground level and is designed to withstand severe weather. This facility contains biometric (iris scan) and proximity card access, as well as 24/7/365 computer and human monitoring. Other relevant attributes – The datacenter is managed 24/7/365 by a security team with no less than two guards on duty at any time. We manage all of our own systems and use the data center as a co-location and backup system (annual contract with data center). - 34 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery TECHNICAL ARCHITECTURE – SUPPORT Unlimited 24x7x365 helpdesk support is available for operational needs. We have a number of problem management processes in place. Hardware maintenance and component upgrades are scheduled and affected clients are warned in advance. Project managers and technical support coordinators are on call 24x7x365 to immediately address any emergencies that may arise. TECHNICAL ARCHITECTURE – BACK UP Focus Solutions has defined five tiers of disaster and outlined coordinating chains of response. Our two distant locations give us the ability to function out of one location should the other encounter disaster. We are currently determining a new cold site for backup hardware and warm site for backup data, specifically for the Omaha, NE location. Once the new site is negotiated, all client data will be backed up at least every twenty-four hours. Currently, all critical business data is backed up to tape routinely. All data is stored on redundant storage technologies (RAID 1,3,5) and redundant servers. Backups in our hosting site are done daily, with full backups done every 2 weeks. These backups are done to a tape library; the tapes are then moved to another offsite facility for safe keeping until they are needed. They are then rotated out twice a month. The data can be restored within 1 day of a total loss. - 35 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery TECHNICAL ARCHITECTURE – MONITORING SERVICES Real-time monitoring of the network, operating system, firewalls, web servers, database servers, network routers and switches – Using up to date software we monitor every aspect of our systems, receiving immediate notification of any issues in some cases before it affects the end user. Proactive and Predictive Server Fault Management / Monitoring – Our monitoring software would make us aware of a problem before it happened, based on pre-defined thresholds. We use RAID 5 to reduce the chance of data loss if a hard disk were to fail, and we keep replacement parts onsite for immediate replacement if failure occurs. Basic Server Monitoring to include CPU, Disk Space, Memory, Ping, Operating System Services – rd We use a 3 party software to monitor all of the above items. This software is set up to monitor certain thresholds, and if a threshold is exceeded or gets within X% it will send an email to the Focus Solutions technician responsible for determining the best course of action based upon the unique circumstances. Database Monitors – rd We monitor the health of our database servers in our production facility using 3 party monitoring software. Our software will notify us when thresholds have been exceeded or violated. HTTP & SSL Port Monitor – rd We monitor both HTTP and HTTPS (SSL) using 3 party monitoring software. Our software will notify us when thresholds have been exceeded or violated. URL & Content Match Monitor – rd The 3 party monitoring software we utilize tests the URL by checking for specific content to be returned in a reasonable time and notifying us when thresholds have been exceeded or violated. Internet utilization monitor – rd Our 3 party software monitors internet utilization at our facility and at the data center, notifying us when thresholds have been exceeded or violated. End-user performance monitoring (e.g., Keynote) – iCONECTnXT easily monitors productions, exports, and other user activity with built-in reports (e.g., identify the number of documents viewed or edited, and the average number of documents reviewed per hour). - 36 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery SECURITY SERVICES Network access is monitored 24-7-365, and the server room locked at all times and is only accessible by our Information Technology Director, Information Technology Specialist, Information Systems Director and Technical Services Director. We employ a directory service called Active Directory to authorize and audit system access and client data. Active Directory also provides system access tracking. We utilize an enterprise class antivirus with daily updates and real time monitoring. We have received electronic documents directly from the client via an FTP site. Speed of transmission depends upon the client‘s broadband speed, but during the normal course of business at Focus, we see speeds between 150 and 200 kb / sec. If network intrusion is suspected, this activity is recorded by our Cisco Enterprise Firewall. We utilize WSUS for security patch deployment, extra firewalls are on-hand for immediate replacement, and we perform an annual penetration test via a third party service provider. We have passed all tests. METADATA PRESERVATION All data to be processed will be copied to our server using a copy utility that preserves the metadata and date fields. Before processing, a local copy of each file is copied to the processing server, which will effectively maintain the integrity of the original data to be processed. SOFTWARE TRAINING We allow up to three free training sessions that will examine the key functions of iCONECTnXT and how the client can better use this tool to maximize performance for review. A training session typically lasts 1 – 2 hours. These training sessions are open to any relevant staff assigned by the client—including review team members, project managers and system administrators. Rarely, from our experience, do clients need to purchase any additional training. Topics covered: centralized management of document review ability to designate documents redaction tracking local batch printing - 37 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery QUALITY CONTROL Each involved department is responsible for QCing their segment of the project, but our Project Management team is ultimately responsible for ensuring that this happens. They bring an exacting eye to the data and the results of every stage of discovery to ensure the project is being handled as the case demands. They also partner with the technology team to examine any exceptions in processing and review search results. If any inaccuracies are identified by a Project Manager, the appropriate department is engaged immediately. Our quality control personnel review each converted image to verify exact representation of the original. If any image was not properly converted by our proprietary processing application, our software engineers are employed full time to make adjustments at a moment‘s notice when necessary, or to handle any variables in the data. Documentation includes exception reports, processing results, and print error percentages. For any project, these reports will be available at the client‘s request. ONGOING LEGAL EDUCATION Instructed by experts in each respective field, our training courses are designed to give participants a working knowledge in various areas of electronic discovery. The courses are not exclusive to attorneys; they could also prove beneficial to companies and organizations intent on pursuing any corrective action or litigation based on electronic evidence. We would also encourage IT personnel to participate, as it will help them in recognizing and preventing vulnerabilities. No prerequisites are necessary to attend the courses – we meet you at your level. We have trained firms both locally and nationally, and they each have had a varying degree of knowledge in electronic discovery. Topics previously covered: - Writing an RFP - The Computer - Intro to Forensics - E-Discovery (Filtering, Processing, Searching, Conversion) - Other Considerations in E-Discovery (ethics, etc.) - Review & Production - Data Preservation - Review - 38 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery MISCELLANEOUS Recent Awards, 2007 – 2008 Socha-Gelbmann Top Electronic Discovery Provider in Capacity - 2008 In the Socha-Gelbmann 6th Annual Electronic Discovery Survey, Focus Solutions was ranked as a top 20 provider in the capacity category. In 2008, George Socha and Tom Gelbmann surveyed over 100 vendors and almost 50 law firms or corporations and rated each provider in terms 350 qualitative and quantitative factors. They ranked top providers in terms of each stage of their EDRM model for electronic discovery as well as experience and capacity. Follow the link to read more about the Socha-Gelbmann survey. USLBA Best of Omaha: Copying Services - 2008 The United States Local Business Association selected Focus Solutions as the Best of Omaha for Copying Services. The Best of Local Business is awarded in cities throughout the country to companies that invest in the positive image of business through ―service to their customers and community.‖ To read more, download the USLBA Best of Omaha press release. Inc. Magazine's 100 Fastest-Growing Urban Companies in America - 2007 Focus Solutions is ranked #26 on the list of the fastest growing inner-city companies in America for 2007. This is their second consecutive year on the list. Check out the details at Inc. Magazine's website. - 39 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery TIMELINE AND METHODOLOGY Generally, in most cases we require one week to assess your needs, ensure our understanding of the project scope and develop a workflow design that meets your deadlines. Our service model is designed to guide you through a logical step-by-step approach that delivers a predictable client experience. It lays out a process that ensures we work together in the most efficient and productive way possible. The list below highlights some of the more critical points in your project‘s life cycle. Objectives and Solution Design In this phase, we will work with you to review your business objectives and ensure that our solutions address your needs. Our team will review the project requirements in order to confirm the best approach for reaching your goal. Because of the unpredictable nature of electronic data, we also spend time in this phase documenting and reviewing assumptions. We will identify potential additional team members who are experts in a particular aspect of your project (e.g. collections, review strategy, etc.). Our team will refine the approach and provide you with a final project scope and budget, which we will review with you and your team for approval. Kick-Off Once the proposal is approved, we will conduct a kick-off meeting at which we will review roles, responsibilities, communication protocols and how we will work together as a team. Confirmation of Findings and Recommendations Once we collect the identified electronic materials, we will complete a data analysis using our data inventory tools. We will review the outputs of this analysis with you and discuss additional ways in which we might maximize efficiency and minimize costs for your overall project. Execution and Proactive Status As your project progresses, your Project Manager will ensure that it is executed in a way that meets your needs and proactively keeps you apprised of the status. - 40 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery REFERENCES Perkins Coie LLP David P. Chiappetta Ph: (415) 344-7008 Cell: (415) 990-9398 Western Union, LLC David Fallek, Head of Litigation Ph: (415) 912-4046 Shook Hardy and Bacon Lauren Butler, Director of Project Management Ph: (816) 559-2392 - 41 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery TECHNICAL LITERATURE Q & A - COLLECTION How many engineers/technicians are directly employed by your organization to do on-site collection of ESI? Please list the relationships/strategic partnerships you have with other collection services and the number of engineers for each such relationship or partnership. Do your collection technicians/engineers undergo a certification process? What certifications? Have your directly employed engineers/technicians testified (via deposition, affidavit, or court room) about an ESI document collection project? Is yes, how many times? We employ five collection technicians. N/A We have collection technicians certified with EnCE and CCE. We have provided both forensic and E-Discovery expert reports. We have testified in front of the Department of Justice (―DOJ‖) and Federal Trade Commission (―FTC‖), and assisted project managers in crafting affidavits. We have testified in front of the US Department of Health and Human Services (―DHHS‖), had consultants assigned as E-Discovery coordinators by Administrative Order in the Middle District of Tennessee, and been called as 30(b)(6) witnesses. Our staff has been called to testify approximately seven times. Are your company and directly employed engineers prepared to certify to the efficacy of the ESI collection process? What hardware tools do your directly employed engineers/technicians bring on-site to perform ESI collections? What software tools do your directly employed engineers/technicians bring on-site to perform ESI collections? Do your directly employed engineers/technicians modify data or metadata in the ESI collection process? Describe in detail how your on-site collection team documents their collection activities. Approximately how many on-site electronic collections has your company performed in the past year? In the past three years? In the past five years? We are more than prepared to certify the value of our collection process. Depending on the collection, we bring hardware writeblocking kits, MD5 Logicube and acquisition workstations. We utilize EnCase Forensic, Access Data FTK, software write-blockers and our proprietary collection utility. Depending on the collection, we have specific third-party applications for specific tasks. No. The software we utilize is forensically sound and we do everything in our power not modify any data or metadata. We use chain-of-custody forms to document who was assigned to the collection, when the collection was done and what the original hardware was. We photograph all original hardware. Within the last year: 100; within the last three: 130; within the last five: 150. - 42 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery How many international ESI collections have you conducted? Please list all countries where you have conducted such ESI collections. For the international ESI collections, please indicate whether your technicians/engineers are U.S.-based or whether they are foreign-based. If they are foreign-based, are they certified? Do you outsource your international ESI collections? Please list the relationships you have with foreign-based ESI collection companies. Describe your chain-of-custody tracking processes? We have performed ESI collections in Canada, Scotland and Norway. Our directly employed engineers collect on-site internationally. N/A We use chain of custody forms for all types of media received to ensure that all media is accounted for and also to indentify the custodians of the media throughout the project. When we receive data from clients; we create a copy of the original data and return the original data to the client. This copy of the data is stored in a secured room. For an additional fee, clients have the option to store their original data in a fireproof safe. A detailed media inventory sheet is created and maintained to keep a log of all data received. Describe your file collection cataloging and inventory procedures. Please provide us with examples (in electronic form) of your firm‘s chain of custody tracking procedures and your collection cataloging inventory procedures. EnCase collects files and groups them into clusters referred to as evidence files. We can then run logs based any number of values of the files collected for the client, i.e. file type, file size. See appendix A for a copy of a sample of our chain-ofcustody form. - 43 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Q & A - PROCESSING What backup tape formats/types can your company restore with its internal resources? Describe the hardware used to process ESI, If you are using desktops/workstations, how many are available for processing at each facility? What software do you use to process ESI? How many GB of data can your process on a daily basis? We have restored data from LTO1,2 and 3 as well as DLT. Upon necessity, drives can be acquired for specific restorations for specific projects. We have twenty workstations dedicated to ESI processing. Adding additional hardware is always an option if the project necessitates. We have a proprietary processing tool. We can process up to 500 GB during a 24 hr period if we dedicate all of our current servers. If more capacity is necessary, additional hardware can be added. Items that may restrict/limit this capacity are: · A high number of attachments or embedded documents within individual documents. · Abnormally large files with large amounts of metadata. · · Errors or corruption of files. Unique requests from the client. Do you perform a virus scan on ESI as part of your processing? If viruses are detected, can you clean the virus without modifying data or metadata? How do you handle password protected files? Each file processed is scanned. Is it never our practice to modify data or metadata, however, cleaning a virus, on occasion, demands it. Depending on the size and complexity of the password used, the amount of time needed to perform a dictionary or brute force attack can be too great. In these cases a password is first obtained from an easier source like the operating system or the registry, which will hold all passwords saved for Internet Explorer. In most cases, users use the same password for most things. In the case where a password is too complex and the other means are not fruitful, a plaintext attack can be used. Encrypted file archives such as ZIP files are very prone to this attack. With an encrypted ZIP file only one unencrypted file from the archive can be used to unencrypt the entire file. List the file types you process ? Explain your procedures and processes for processing that ensures preservation of original data and metadata throughout the entire process. Can you cull files by file type? Can you cull system files? If yes, list file types that are culled as system files. Can the list of system files be customized? Please refer to Appendix B for a list of supported file types. Prior to processing, certain email file types require conversion to another file type: OST to PST, GroupWise to PST, or Outlook Express DBX to PST. All data to be processed will be copied to our server using a copy utility that preserves the metadata and date fields. Before processing, a local copy of each file is copied to the processing server, which will effectively maintain the integrity of the original data to be processed. We can cull by file type during processing or collection. We use the National Software Reference Library‘s Reference Data Set to determine system files. The list of system files can be customized with proprietary software for the client. - 44 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Can you cull files using metadata values? Which metadata values and how many? We can cull by virtually any metadata value stored by a file, including, but not limited to, creation date, modify date, sent and received date, author, sender and recipient. There are no restrictions on how many. We also can filter on custom fields within an NSF database. We can cull using search terms and Boolean logic can be applied. Can you cull files using search terms? If yes, can Boolean logic be applied as part of the culling search terms? Explain any limitations of your culling for foreign language documents. Does your process allow automated culling of exact duplicate files? Describe in detail your process for identifying and culling exact duplicate files (distinguish between OS files and documents). Include your definition of an exact duplicate -- including whether definition applies only within a given custodian's files, or can be applied across multiple custodians. Include the criteria and methodology used to identify exact duplicates, and the reports/audits generated regarding duplicates. Describe any and all options for the treatment of exact duplicate documents, including options for culling, expunging, and resurrecting exact duplicates; options to track and reinsert exact duplicates as necessary to ensure accurate, complete production from each custodian's files. English, Japanese and other Unicode character sets are supported. We can process and segregate specified Unicode character sets. Yes. De-Duplicating Email: By default, we use 7 standard fields that must be identical before de-duplication occurs: Attachment, Author email, Sent to, Sent on, Subject, CC, and BCC. This list of email de-duplication criteria can be altered by adding other fields of Metadata or removing 1 or more of the standard fields. De-Duplicating Electronic Documents (non email): De-duplication occurs only if electronic documents have the exact same MD5 hash code and file name. Our electronic discovery software calculates the unique MD5 hash value for each document we process. If the client requests it, the file name can be removed from consideration for de-duping. Global or Custodian De-Duplication: De-duplication can be applied on the custodian level (batch) or applied across an entire project (globally). In either case, a document is kept when it is encountered for the first time, and all duplicates detected afterward will be deactivated from the database created during processing. We have the ability to reactivate and process items that have been de-duped if necessary If de-duped by custodian, each document will occur only once within that custodian‘s data, but it may occur in another custodian‘s data within the same project. If de-duped by project, each document will occur only once within the entire project and the documents that are kept are based on which custodian‘s documents were processed first. Can your processing identify near duplicates? Yes. - 45 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Describe in detail the ability to identify near duplicate documents. Include your definition of a near duplicate -- including whether definition applies only within a given custodian's files, or can be applied across multiple custodian. Include criteria and methodology used to identify near duplicates, and the reports/audits generated regarding near duplicates. Can your processing maintain an association between a cover document/cover email and all of its attachments, including where there are multiple attachments of varying types associated with the cover document/cover email, and/or where the attachments themselves contain additional attachments. When processing emails, is the file folder structure captured (what folder within the e-mail file did the e-mail come from)? Additionally, do you capture information relating to the FILE that is loaded into the system such as the NAME of the PST file, the modified date on the PST, and the Custodian Name? For emails, list the metadata fields that your processing software can provide. We have two solutions for near de-duplication. Our basic option groups similar documents together for the client to review. Our more complex option allows the user to specify a similarity threshold. It also has multi-lingual capabilities and can deconstruct files into logical parts. We maintain all parent/child document relationships for both email and electronic files. File folder structure is always captured, along with the ―views‖ with NSF databases. When processing, we can provide any information related to the database metadata and always relate records to the given custodian. Please refer to Appendix C for a list of fields that we can extract and their descriptions. These can be renamed for review or production purposes to fit the client‘s needs. If requested by the client, other fields can be populated with information provided by the client. We capture both the alias and friendly name in separate fields. For emails, can your processing software capture both the alias and friendly names (e.g., johndoe@focussolutions.com and John Doe) and save them to separate fields? Do you capture email threads? If so, describe your methodology. Do you capture unique IDs for each email? Explain your time zone handling. Can you specify time zone settings for email processing? For email attachments or loose electronic files, list the metadata fields that your processing software can provide. Our software does not currently support email threads. Yes. We capture Entry ID for PST and Universal ID for NSF. We have the capability to process data in any time zone that is available through Microsoft Windows. Each case is setup so that whether processing or printing, all documents will be processed in the desired time zone. Time zones can be set at the case or custodian level. If we can identify the file type, we can extract virtually any metadata field and provide those fields. - 46 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Describe any and all automated settings used when processing MS Office Files, i.e. MS-Word, MS-Excel, MS-PowerPoint, Describe any and all automated settings used when processing email files, i.e. MS-Exchange / Outlook, Lotus Notes Mail, etc. Describe any and all automated settings used for other electronic files not listed in EP23-EP24. How do you handle documents embedded within other documents (e.g. Excel chart embedded within Word document)? Does your processing have a protocol for handling files where the directory path is too long for the operation system‘s environment, without losing the data contained in these files? Does your processing identify any file/attachment/document that cannot be converted, and create an ―error log‖, and, for e-mail attachments, insert an ―Attachment will not open‖ placer sheet where the attachment would normally be located. Can certain information be normalized in advance (e.g., metadata indicating file formats of "Excel 2000," "Excel 2002," and "Excel 4.0" is normalized to "Microsoft Excel")? If not, can it be normalized after import using a batch editing process? Can you deliver native files with a database load file containing metadata? Can you deliver data in a Ringtail load file? If yes, have you previously delivered data in a Ringtail load file? For which client? Can you remove password protection from native files prior to delivery? Can duplicate documents be repopulated during the delivery phase? Our customizable settings include page orientation, expanding rows and columns, revealing hidden cells, printing revisions, notes and comments, removing filters, wrapping text, among others. Complete list available upon request. Our settings include, but are not limited to, TIFF orientation, email conversion to HTML, text and MSG, for PST files. We can capture special or non-standard fields and provide them as a single field or separately. We have the ability to insert ―No Print‖ pages for nonprinter friendly file types, such as media files as well as corrupt or other ―junk‖ files. We have the ability to extract embedded documents, however some limitations apply considering the application used to embed the file. Our software is not limited by directory path length issues in Windows. Yes. We identify and log all errors and insert ―No Print‖ pages. At the request of the client, either specific descriptions or normalized descriptions can be provided. Yes. We can provide native files and database load files. Yes. We have a Ringtail certified technician on staff and have previously delivered data in a Ringtail load file. Password protection is not removed prior to delivery. Yes. Duplicate documents can be repopulated. - 47 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Can you deliver parent and child documents or email threads together (e.g., child documents would automatically be delivered with their parents, even if not specifically selected for delivery)? Can the native files being delivered be renamed to use a sequential document ID to be referenced in the database load file? Can you assign alpha prefixes to the document IDs? If so, is there a limit to the number of characters Can document IDs begin with a particular number? If so, is there a limitation on that starting number? Can your delivery process pad (aka zerofill) the document ID to a specified number of digits? If so, is there a limit to the number of digits Can you deliver files in Group IV TIFF format? Can you name the TIFF files using sequential control numbers referenced in the database load file? Are your capabilities in naming the TIFF files any different than those described in questions EP36-EP38 above? Can you brand control numbers or other text on the TIFF images? What areas of the TIFF image can be branded with specified text (e.g., bottom right, top left, etc.)? Can users modify the font styles, types or effects of text to be "burned" on production images? If so, indicate which options are available. What is you delivery capability in terms of TIFFs delivered per day for processing electronic files? Yes. Parent and child document relationships are maintained and delivered together. When native files are delivered, the original file name is maintained for the file itself. Each record in the database is assigned a Document ID and references are made to the native files which are placed in a folder named for the Document ID. This allows numbering to be done at a document level yet attach all native files associated with the document. We can assign alpha prefixes. There is no limit to the number of characters. Yes and there is no limitation. Yes and there is no limitation. Yes. Yes. The capabilities are the same. Yes. Bottom left, center and right. Top left, center and right. Yes. All typical Microsoft font options are available. We can convert native files to TIFF or PDF format at a rate of up to 2 million pages per week. - 48 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Q & A – REVIEW Does your company provide an on-line document review tool? If not, skip this section. Do you host the on-line review tool yourself or do you partner with another party, if a partner, please name it. Yes. We host the on-line review tool at a data center: - Designed to handle 200+ mph winds - Dry moat surrounding the data center - Back up power provided by three (3) diesel generators with 6,750 gallons of fuel on site. - Over 100 cameras surround the facility - Primary computer areas require card key and biometric (Iris Scan) authentication - Security Guards on site 24/7/365. What is the name of your on-line review tool? What is the back-end infrastructure of your review tool (e.g. SQL, Oracle, etc.)? What type of search technology is your review tool utilizing? What technology is used to allow reviewers to connect to your review tool (e.g. Terminal Server, Web Browser, etc.)? What browsers and platforms are supported by your review tool? What software (including ActiveX controls, add-ins, plug-ins, scripts, etc.) is required to run your review tool? Describe your review tool‘s security architecture and technology Other than a username and password, does your review tool support other authentication methods (e.g. RSA SecureID, Biometric, etc.)? Can rights be assigned for controlling user access to databases, documents, document ranges, fields, organization tools (e.g., tag sets), images, collaborative tools or other levels of granularity? If so, describe all available options, including which rights can be assigned (e.g., read, write, etc.). iCONECTnxt Oracle Boolean, wildcard, proximity, phonetic, stem Web Browser iCONECTnxt uses Internet Explorer. It can be accessed with other web browsers; however, for optimum performance, IE should be used. Java iCONECTnxt uses 9 levels of security. Complex passwords to access the case can also be set up. More information on these levels of security is available upon request. Not available within iCONECTnxt at this time, but other authentication methods are available We can set up view, full or no access to records and fields in the database. We can also set up rights where a user can only see a particular set of documents within the database. Nearly everything can be locked down based on specifications per user. Access can simply and easily be restricted by case, database, user or field. Other abilities: · lock an entire database, certain fields or specific documents · create a filter based on a search query (e.g. only give access to docs that respond to the search NOT “Jimmy Dean”) · track user activity - 49 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery We are able to set up the review in any way the user wants as long as it is feasible within the software. For example, we can create a new database that is an exact replica of the original database for 2nd level review team. We can also place security on tags and folders that will allow the 2nd level review team access to review tools, but exclude the 1st level review team. Can rights be assigned for controlling user access to specific features (e.g., printing, document production, editing, annotating, etc.)? If so, describe all available options. Describe any limitations as to number of simultaneous users, including effect on the review tool‘s performance. Describe your service options for the following, including days and hours of operation: ► Account Management ► Project Management ► Development Support ► Onsite Support ► Telephone Support ► Internet Support ► Premium Support Levels ► Printing Services ► Document Production Services Describe your review tool‘s available documentation, including demonstration cases, demonstration software, testing sites and online help. We can control distribution of data by restricting exporting, printing and production options to specific users. There is no limit to the number of simultaneous users. Any database will slow down when a larger number of users are searching or making changes to the database. Hours of operation: 24/7/365. We provide the same level of Account Management, Project Management and Development Support to all clients, based on their individual needs. Onsite Support is available, and client is responsible for FS travel expenses. A definition of travel expenses is available upon request. Most of our support can be provided over phone, but occasionally we will provide internet support to the client‘s IT department. Printing and Document Production are available to the client, and can both be customized to meet any specific need. iCONECTnxt has extremely thorough online help, and all documentation for the review tool is available to users. The FS iCONECTnxt Administrator is available to help users find documentation that is relevant to their specific needs. Case demonstration and software demonstration is available upon request. - 50 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Describe your company's training program, including any train-the-trainer offerings. We allow up to three free training sessions that will go over the functions of iCONECTnxt and how the client can better use this tool to maximize performance for review. A training session typically lasts 1 – 2 hours. BEYOND iCONECT: Instructed by experts in each respective field, our training courses are designed to give participants a working knowledge in various areas of electronic discovery and computer forensics. The courses are not exclusive to attorneys; they could also prove beneficial to companies and organizations intent on pursuing any corrective action or litigation based on electronic evidence. We would also encourage IT personnel to participate, as it will help them in recognizing and preventing vulnerabilities. No prerequisites are necessary to attend the courses – we meet you at your level. We have trained firms both locally and nationally, and they each have had a varying degree of knowledge in electronic discovery. Topics previously covered: - Writing an RFP - The Computer - Intro to Forensics - E-Discovery (Filtering, Processing, Searching, Conversion) - Other Considerations in E-Discovery (ethics, etc.) - Review & Production - Data Preservation - Cell Phone Forensics - Review Briefly describe your review tool‘s user interface. Provide relevant screen shots or a demonstration of the review or a demonstration web site. We currently utilize iCONECTnxt. From iCONECT‘s website: ―iCONECTnxt enables firms to search, organize, and review electronic and document discovery information - including e-mail, native files, and images - from anywhere in the world.‖ For more details and relevant screenshots, please visit: http://www.iconect.com/content/products/iconectnxt/ Are any elements of your screen layouts customizable by end users (e.g., multiple tiled windows, font types/sizes/colors, preview screens, tabbed layouts, tree structures)? If so, please describe the level of customization. Describe all of the ways users can display a record or dataset (e.g., single record view, tabular view, hierarchical view, etc.). Does the review tool remember and retain all user-defined preferences and other settings between sessions? Users are able to customize the colors of the redactions, highlights and any other annotation tool. Reports can be tailored to the client‘s specific needs, with a wide range of customization options available. Nearness settings are also definable by the user. More customization will be available with iCONECT‘s latest release (release date coming soon, TBA) Save time with image syncing which displays images automatically as you navigate from record to record. View multiple images in a thumbnail view or in a list view. The review tool remembers and retains all user-defined preferences and other settings between sessions, but it doesn‘t remember searches or where the user left off. - 51 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Briefly describe your tool‘s data review feature set. - Templates for optimizing your review display - Automated document organization, based on review designations - Ability to pick up where you left off: search and retrieve ―not-reviewed‖ documents. - Database concatenation - Keyboard shortcuts - Email attachments: ‗Find Related Documents‘ feature - Near duplicates: ‗bulk review‘ and ‗comparison‘ features - Coding: multi-column editing and quick-edit features - Seamless integration features for use with leading eDiscovery tools - Review Statistics and User Metrics reports Does your review tool allow for the review of scanned paper documents? Briefly describe all your data organization options (e.g. folders, categories, etc.). Can users perform searches and add the search results to a data organization set? Can users perform searches and delete the search results from a tag set? Does your review tool have a dynamic data organization option (e.g. saved search)? How does the review tool display parent/child relationships such as emails and their attachments? How does the review tool display parent/child relationships such as documents embedded as objects within other documents? Describe the available methods for dividing data into review sets. Describe how users can determine whether a record has already been reviewed, either by themselves or by other users. Can users determine which other users have reviewed a record? If so, how? Can users review file metadata and its associated image(s) at the same time? Is document content (i.e., full text) displayed in its own field? If not, how is it accessed? Briefly describe your image viewer's feature set. Yes. The user is able to create parent folders and subfolders to whatever depth necessary. The same applies to parent tags and sub-tags. Yes. Yes. Users are able to create folders (public or private) and folder documents individually or batch folder. Users can find parent / child relationships by identifying the attachment range. The new version of iCONECTnxt will enable users to see relationships in document view with the click of a button. Same as above. Also, the new version of iCONECTnxt will include embedded documents in the list of attachments. A folder allocation option allows users to split records into equal sets per reviewer, or FS can perform this task for the user. A review tab provides the user with this information. FS can also set up a ―not reviewed‖ search for the user. This is only possible if the records are split into reviewerspecific folders. Yes. Yes. iCONECTnxt displays images and native files, and the user is able to annotate, redact and adjust image display with a full suite of image tools. Also, the crosshatch feature allows an authorized user to temporarily make redactions transparent. - 52 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Does the viewer remember and retain the last page orientation (i.e. ―sticky zoom‖)? Describe your redaction and annotation features. Not at this time. Users are able to use the annotation tools to redact, highlight, stamp or add sticky notes to any image in the database. Once this work is saved, the user can make annotations and redactions transparent by using the crosshatch feature. Yes. The crosshatch feature enables users to temporarily make redactions transparent, if they are authorized to view hidden text. Can redactions or other annotations be set to a translucent mode that displays the redaction but allows viewing of the underlying text? Does your review tool utilize a native, tiff, or both review model? When conducting a native review, does your review tool allow users to ―Tiff-onthe-fly‖? Both. At this time, iCONECTnxt does not have the capability to convert native documents to TIFF images on the fly for redaction purposes. We would recommend tagging documents for redaction and, once the review is complete, we can execute the conversion and upload the TIFFs to iCONECTnxt for redaction purposes. IMPORTANT NOTE: Users can view native files without having to install the native program or special plug-ins. iCONECT provides this feature by creating and displaying an image of the native file "on-the-fly" in its image viewer. What image format does your review tool utilize (e.g. Tiff, PDF, etc.) Can field editing be restricted by associated pick lists or input masks? Can field editing be set such that users have the option (but are not required) to use associated pick lists or input masks? Can global editing (i.e., search and replace) be conducted on a specific document range or on tag sets, saved folders or other data organization tools? Can global editing (i.e., search and replace) be conducted on specific words or phrases? Can the contents of data organization tools (e.g., tag sets, chronologies, etc.) be transferred to selected data fields? If so, how? Are calendar popup boxes available for selecting and editing dates? Can users reunitize improperly unitized documents (e.g., by removing pages, by reordering pages, by adding pages)? If so, how? TIFF and JPG Yes. Yes. Yes, but only by FS. Yes, but only by FS. Yes, but only by FS. FS will pull folder names and / or tag names, and load these names into fields. Yes. No. - 53 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Briefly describe your review tool‘s searching feature set. Is full text searching available? If so, please describe how it works (e.g., single-word or phrase search box, queryby-form, query-by-example, built-in browser search functionality). Is keyword searching available? If so, please describe how it works (see above question). Is logical (Boolean) searching available? If so, please describe the available operators. Is proximity searching available? If so, please describe the available operators. Are numerical and date searching available? If so, please describe the available operators. Is metadata searching available using the search parameters outlined in the above questions? Is searching with wild card characters available? If so, describe the wild cards. Does your review tool offer concept searching, data clustering or data mining technologies? If yes, describe briefly which technologies are being used and how they work. Does your technology utilize word proximity or word distribution processes? If so, is this customizable by the reviewer? Does your technology filter and/or prioritize non-relevant or mass market emails? Is this done through a folderbased system? How is metadata used in this filtering process? Is it used to segregate or organize the search results? Please describe the specific means of analyzing and segregating email messages and associations (e.g. by date, concept, content analysis, key word searching, message threads, visualization etc.?) iCONECTnxt provides the user with an intuitive search form backed by a powerful Oracle engine. Even the novice user will be able to build complex, focused searches and then organize search results into folders. Yes. This is available through a single-word or phrase search box. A search box (―Quick Search‖) allows the user to find key words within the database. Also, in advanced searching, the user can search for a key word within specified fields. Users are able to run searches using AND, OR and BUT. They can use 6 at a time and combine previously executed searches after they are run. Users are able to run searches for words that are adjacent or near one another within a proximity of 1 to 100+. Yes: ≤ < = > ≥ Yes. Users are able to run wildcard searches, but should limit it to two wildcards per search. To perform a wildcard search, simply substitute an asterisk for a missing word within a key phrase. We do not support concept searching within our data hosting service, but we do have the ability to perform concept searches in the preloading / processing phase. Data mining is not available at this time. N/A Yes. Users can specify the number of words between key words (1 to 100+). Not at this time. N/A iCONECT allows the user to sort by and search for many different types of data. This enables the user to segregate emails and attachments. - 54 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Does your technology allow for subclassifying or sub-clustering as a means of organizing the data? How are the search results displayed? How are data sets organized? By custodian, author, recipient? etc. Does your technology segregate foreign language emails from English language emails? Yes. iCONECT allows for sub-tagging and sub-foldering as a means of organizing data. Search results are displayed in the order that records appear in the database, but the user can sort results based on any field or oracle scoring. FS can segregate foreign language emails from English language emails in the pre-loading / processing phase. iCONECTnxt does note segregate, but it will display foreign language native files with no special processing required. Available languages include Japanese, Mandarin, Russian and Arabic. For native files that are imported into iCONECT as extracted data, full-text searching is also available for Germanic and Latin languages such as French, German, and Italian. If so, can it identify and classify the type of language? What are the minimum number of foreign language characters needed to tag a document as a foreign language document? Does your technology have the ability to translate programmatically identified foreign language documents? Is fuzzy searching available? If so, describe how it works. Is stem searching available (e.g., search hits for "eat" will include "eats" and "eating")? Can an index/dictionary or thesaurus be modified by users? Is there a "stop words" index? If so, can it be modified by users? Are there any limitations in searching fielded or full text data? If so, describe them. Is a count of search results displayed, either with or without the search terms? If so, how (e.g., "1 of 215," "'john within5 smith' -- 57 hits")? Can search results be sorted? If so, how (e.g., ascending/descending, by field, by record number)? Is a history of searches retained throughout a session for user review? If so, can users combine previous searches by using this history? In the pre-loading / processing phase, FS can identify and classify the type of language. There is no minimum number of characters needed to tag a document as a foreign language document, unless the user requests such. We recommend setting up filters to prevent the excessive tagging. (i.e. to avoid tagging English documents that only have a Japanese signature, for example) No. Users are able to search using fuzzy misspellings. We also have the ability to perform fuzzy searches in the preloading / processing phase. Yes. In both pre-loading/processing and review. No. Yes, but it can only be modified by the iCONECTnxt Administrator at FS. Yes: Six (6) operators and two (2) wild cards. However, multiple searches can be combined. Yes. The number of documents is provided. For each document, the search name and the number of hits per document is also provided. Yes, by up to three (3) fields and in ascending or descending order. A history of searches is retained, and users are able to combine previous searches. - 55 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Can searches be further refined based on initial search results? If so, describe how. Can searches be performed by using lookup tables that are based on the current content of the database (i.e., the values of a particular populated field make up the lookup table)? Can searches be changed by users with the addition of parentheses or brackets that force certain criteria to be searched before others? Can searches be conducted based on tags, folders/categories, chronologies, boundaries/levels (e.g., specific boxes), or notes/comments? Can saved searches be combined to create a new search result? How do search results display themselves on records' associated images (e.g., are the search terms/results highlighted on the images)? Does your review tool support the review of foreign language documents? If yes, which languages? Does your review tool allow searching in foreign languages? Are any of the search features unavailable when searching foreign language documents? If yes, which ones? Can database records be printed without their associated images? If so, can users select the fields they wish to print? Can full text be printed? If so, are there any limitations? Does the review tool have the capability to batch printing images? If so, describe in detail. Can batch printing be set to print to a local printer? If not, where does the job print and how long does it take for the job to be delivered? Yes. The user is able to modify a previous search to be as broad or as modified as they need it to be. Yes. Yes. Searches can be conducted based on tags, folders and categories, but not on chronologies at this time. Yes. Text in the fields of metadata is highlighted, but not within the actual image or native file. Yes. It will display foreign language native files with no special processing required. Available languages include Japanese, Mandarin, Russian and Arabic. For native files that are imported into iCONECTnxt as extracted data, full-text searching is also available for Germanic and Latin languages such as French, German, and Italian. All search features are available when searching most foreign language documents. NOTE: Unicode recognition will be available with the latest release of iCONECT (release date TBA). Stem and phonetic searching might not work on all non-English languages. Yes, and users are able to select the fields they wish to print. Yes. No limitations. Yes. Users are able to burn in up to six (6) different fields per image, and five (5) different fields per slip sheet. Yes, but the speed of printing will vary based on the capacity of the local printer. - 56 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Can users specify text from fields to be printed on their associated images? If so, indicate the number and types of fields that can be specified, as well as the text placement options (i.e., bottom left of the page, top middle of the page, etc.). Can users enter custom text that is not from a field to be printed on their associated images? Can users select particular font styles, types and effects for the text that is printed on images? Can users print slipsheets that separate printed documents? If so, can the slipsheets be pulled from separate trays? Can slip sheets be printed with text from the database, text entered by users or "system" fields such as date and time? If so, describe the various options. Can users narrow an image print request to a specific document or specific pages from a document? If so, must the pages be contiguous? Can users specify whether image annotations are printed? If so, describe all printing options with respect to annotations. Can data organization information (e.g., tag sets, saved folders, etc.) be printed on or after their respective images? Can users send a large print job to multiple printers? Can the review tool print documents in user-selected order (e.g., by date, by document ID, by author, etc.)? If so, what options are available? Briefly describe your review tool‘s tracking and auditing feature set. What tracking information does the review tool maintain (e.g., user name, date, time, case, etc.)? Does the review tool track database record additions, modifications and deletions, including any global search/replace operations? Yes. Users are able to burn in up to six (6) different fields per image. Any type of limited text field may be specified, but the user is limited to three (3) placements at the top of the image, and likewise on the bottom. Yes. Not at this time. Yes, but slip sheets cannot be pulled from separate trays. Users are able to burn in up to five (5) different limited text fields per slip sheet. Limited text fields can hold up to 4,000 characters. Yes, and the pages do not have to be contiguous. Yes. Users can turn on or off any annotation options when printing. Only if the info is already in the specified field. Not at this time. Yes. The user simply sorts the documents prior to printing. Tracking and auditing are kept in logs by the FS iCONECTnxt Administrator. These logs record user IDs and documents that have been tagged or changed. iCONECTnxt maintains the user name, date, time and document Yes, but the user cannot delete any of this information. - 57 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Does the review tool track data organization (e.g., tag sets, saved folders) additions, modifications and deletions, including any global search/replace operations? Does the review tool track document productions? Does the review tool track the opening (i.e., review) of specific documents? Does the review tool track the annotation of images? Does the review tool track any or all print jobs? Does the review tool track users' search history? Does the review tool track the importing or exporting of data? Does the review tool track the amount of time users' are logged on to a database? Does the review tool track administrative additions, modifications and deletions, including any global search/replace operations (e.g., adding groups, assigning rights)? Does the review tool provide statistical data on any or all of the above? Briefly describe your review tool‘s reporting feature set. What file format can reports be generated in (e.g. Excel, Word, HTML, PDF etc.)? Can reports be designed based on any combination of a document range, a search result, a data organization tool (e.g., tag sets, saved folders) or a document production? If so, please describe all available options. Can reports be designed by selecting database fields to include? If so, is there a limit to the number of fields selected? Can reports be designed to include a documents‘ production number? Can users format a report such that the contents of multiple entry fields are separated by hard returns or specified delimiters? If so, describe the available options. Yes. Yes. Not at this time. Yes. Yes. iCONECTnxt tracks batch printing and quick printing. Yes. Yes. Yes. Yes. Yes, on all of the above. iCONECTnxt easily monitors productions, exports, and other user activity with built-in reports (e.g., identify the number of documents viewed or edited, and the average number of documents reviewed per hour). Reports can be generated in Excel, PDF or tab delimited text files. Yes. Reports can be run on a search set, folders, tags or any document specified by the user. Yes. There is no limit to the number of fields selected. Yes, but only if it is written back to the database. No, but the contents of multiple entry fields can be separated by the delimiters used in the database. - 58 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Can users specify that parent and/or child documents be included in a report, even if those documents were not included in the original data set? If so, describe the available options (e.g., flagging original data, embedding child documents within the parent document data, etc.). Can reports be previewed before printing, saving or exporting? Can report designs, including all formatting and other user-specified settings, be saved as report templates and used again? If so, describe all available options. Can full text, metadata and other fielded data be exported to other formats? If so, describe the available export formats. Can case lists, user lists, security access lists and other administrative data be exported to other formats? If so, describe what can be exported and into what formats. Can database field structure/modeling information (e.g, pick lists, input masks, field types, date formats, etc.) be exported to other formats? If so, describe what can be exported and into what formats. Can individual images or image sets be exported to other image formats (e.g, from TIFF to PDF, from single-page to multiple-page, from color to grayscale, etc.)? Can information about image annotations (including redactions) be exported (e.g., a text file that includes the image number, redaction status, sticky note text, embedded text, etc.)? If so, into what formats? Can users export data and images or must any exports be handled by your services group? Does your review tool offer a calendar? Does your review tool offer a task list? Does your review tool offer a contacts list? Yes. The user could run a search based on related documents, and they could run the desired report based on those search results. Yes. Yes. The user is not limited by options. Every report can be saved as a template. Yes. The available export formats are tab delimited text files, CSVs and dat files. Not at this time. Yes. All field information and pick lists can be exported into text files. Individual images and image sets can be exported from color to grayscale. Information about image annotations can be exported into an ANT file. Users are able to export data and images. Yes. Yes. Yes. - 59 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Does your review tool offer chat or instant messaging (that is not externally provided by MSN, AOL, etc.)? Does your review tool offer document posting (aka bulletin board) functionality (e.g., training or other administrative documents not related to a particular database)? Does your review tool offer broadcast messaging (e.g., that a server will be down for maintenance during certain hours)? Is there any level of integration between the various collaborative tools and Outlook/Exchange? If so, please describe this integration, including whether it is or can be made bidirectional. Can your review tool download or replicate a subset of documents and/or images to allow remote, offline review? If so, describe this process. Yes. Yes. A filings area allows collaborators to post and share work product. Yes. Yes. The user is able to export and import to and from Outlook. Yes. The user is able to export executables via iCONECTsololite. - 60 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Briefly describe your review tool‘s administration feature set. The easy-to-use Administration Program allows for setting of security and database options. - Load industry standard data files using an import wizard. - Create or adjust database structures and field properties through an easy-to-use interface. - Save time by duplicating existing database structures, importing structures from CSV templates, or using iCONECT‘s one-step XML import feature. - Manage imagelink tables within iCONECT. Change document breaks, merge or split documents, add pages, revise path names, and more. - Perform global updates with extensive find-and-replace features. - Create templates for security settings, delimiters for imports or exports, and folders. - Export data to delimited files or XML files for easy transfer to other systems or applications. Can essentially all features and functions be administered by user representatives? If not, describe which ones must be administered by your services group. Are there multiple of levels of administrator? If so, describe those levels. Briefly describe your review tool's document production feature set. No. User set up and certain security features are administered by FS. No. Every job receives the same level of expert attention and administration. - Customize headers and footers on any image to brand productions. - Complete batch printing support, including thumbnails of documents before printing and slip sheets with custom notes and selected data. - Burn to CD/DVD and track productions using a simple Production Wizard. In what formats can documents be produced (native, Tiff, PDF, etc.) If producing native files, can the files be names using unique production numbers? If producing native files, is all of the original metadata left intact and produced? Can the review tool run a production based on a search result, tag set, saved folder or other data organization tool? If so, describe all available options for selecting document sets for production. Can users specify a sort order for the production using one or more database fields (e.g., document ID, date, custodian, etc.)? If so, can the order be ascending or descending? Natives, TIFFs and PDFs. The user is able to change the name of each file, but iCONECTnxt does not currently provide an automated renaming feature. Yes. FS can run a production based on any search result, but the production must be ran immediately following the search, unless the user folders each search. Yes, and the order can be ascending or descending. - 61 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Can a production be set to keep parent and child documents or email threads together (e.g., child documents would automatically be produced with their parents, even if not specifically selected for production)? If so, describe how this process works. Can duplicate documents be repopulated during the production process? Yes. Users can pull parent and child docs together, using a ―find related‖ option. Yes. Productions that are ran by the FS eDiscovery department on any population of records in iCONECT will allow us to repopulate duplicate documents throughout the production set. If the production is ran from iCONECT, that production would have to be ran on a per folder basis in order to repopulate duplicate documents in a production set. Can your production process assign alpha prefixes to production Bates numbers? If so, is there a limit to the number of characters? Can your production process begin with a particular production Bates number? If so, is there a limitation on that starting number? Can your production process pad (aka zero-fill) the production Bates numbers to a specified number of digits? If so, is there a limit to the number of digits? How is a production tracked in your application's database (e.g., beginning and ending Bates numbers populate selected fields, special production tracking field is populated, etc.)? Can a document be produced multiple times, each time with it‘s a unique production number? If yes, are all the production numbers captured and can all of the review tool‘s features (searching, reporting, etc.) be applied to them? Are production numbers tracked in such a way that for a supplemental document production, the next production number is automatically defined? Aside from beginning and ending Bates numbers, can productions be given descriptive names that can be viewed and searched? Yes: 10 characters. Yes: 8 characters. Yes: 8 characters. Production numbers can be written back to a production field using the beg / end bates, user name, date or redacted / un-redacted. This is not available through iCONECTnxt, but FS has other software on hand to accomplish this (e.g. IPRO). Not at this time. Yes. The user is able to give each production a name and save the name for searching. - 62 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Can productions be tracked by date, production manager or other usedspecified criteria? If so, please indicate what information can be tracked. Can production settings be saved, given names and be used for future productions? Can users specify text from database fields or user-entered language to be "burned" onto a production document? If so, what fields are available and what limitations exist (e.g., number or lines of text, number of characters, etc.)? What areas of a page can be populated with user-specified text (e.g., bottom right, top left, etc.)? Can users modify the font styles, types or effects of text to be "burned" on production images? If so, indicate which options are available. Can redactions or other annotations be "burned" onto a production document? If so, what annotations are available and what limitations exist? What text options are available for redactions (e.g., user-defined language, other fields from database, name of redaction set, etc.)? Can slip sheets that indicate document breaks be printed along with production documents? If so, can the slipsheets include custom or field-based text? Can production sets be locked at a certain point to prevent inadvertent changes by users before a production is run? How does the application handle the need to add pages within a production set after that production has been run (e.g., adding a missed page in the middle of a 30-page document)? Can production number suffixes be added? Does the application contain a privilege log wizard or process? If so, describe it in detail. Yes. Dates, users and bates ranges can be tracked. Yes. Yes. Users can burn any limited-text field onto a production document. The limit is 4,000 characters. Six (6) positions: top left, top center, top right, bottom left, bottom center, bottom right. Not at this time. Yes. The user is able to turn on or off any annotation for production. Redactions are able to be stamped with preset words, and a text box is available for user-defined language. Not at this time. Not at this time. No production suffixes can be added. iCONECTnxt would have to rerun the production. The user is able to create a privilege log by using CSV Export. Simply select the desired fields and create a CSV. - 63 - State of Kansas RFP# 11711 - Consulting Services, eDiscovery Can users export production images or native files themselves, or can that only be done by your service group? What is the turn around time required for document productions handled by your service group? Do you have the means to host documents internationally in the event that foreign laws prevent their transfer to the United States? If you have experience s in such scenarios, describe them. Users are able to export production images or native files themselves. This depends on the complexity of the request and the size of the production. Small to medium-sized jobs will take 24 hours. Larger jobs can take up to 48 hours. If the situation presents itself, arrangements will be made. We have not had the opportunity to host documents internationally, but we have managed forensic data collections in Norway, Canada and the U.K.