2002 Doculabs, 1201 West Harrison Street, 3rd Floor, Chicago, IL 60607, 312-433-7793, info@doculabs.com. Reproduction inwhole or in part without written permission is prohibited. Doculabs is a registered trademark. All other vendor and productnames are assumed to be trade and service marks of their respective companies.

Executive Overview of

TOWER IDM

August 2002

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Table of Contents

Executive Summary ................................................................................... 3

Functional Assessment of TOWER IDM ................................................... 4Vendor and Product Overview.......................................................................4

EDMS Capabilities ..........................................................................................5

Architecture.....................................................................................................7

Key Strengths and Challenges ....................................................................11

Product Snapshot..................................................................................... 12

Conclusion................................................................................................ 13

Appendix: About Doculabs ..................................................................... 14

EXECUTIVE OVERVIEW OF TOWER IDM 3

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EXECUTIVE SUMMARY

The typical business transaction consists of many different pieces ofinformation—from paper documents and faxes to e-mail and Web forms—thatmust each be integrated into an organization’s standard business processes.Financial services, government, and healthcare markets in particular engage incomplex business processes that involve an array of documents and span multipleusers. Mortgage processing, for example, requires extensive paperwork; involvesthe participation of internal and external users such as brokers, underwriters, andloan processors; and crosses business units and geographic boundaries.

To conduct these transactions faster and more efficiently, organizations needintegrated, high-volume content and process management solutions specificallydesigned for production environments. These systems must combine imaging andcapture, document and records management, workflow, and COLD/ERMcapabilities, as well as Web content management, e-mail archiving, and onlinetransaction processing. They must also integrate with other critical businessapplications that are already in place, and be compatible with multipletechnologies.

TOWER Technology is one of the few vendors to address the high volumedocument management requirements of large organizations. With TOWER IDM,the vendor’s integrated electronic document management software (EDMS),TOWER offers an enterprise-scalable processing system and content repositoryfor managing unstructured business information, including images, forms,computer-generated reports, statements and invoices, office documents, e-mailand Web content. The vendor combines these capabilities into a unified platformthat enables enterprise users to manage documents throughout the transactionlifecycle, within a single content repository and from a common interface.

TOWER commissioned Doculabs, an independent research and consulting firm,to conduct an independent evaluation of TOWER IDM. This overview discussesthe product from a functional and technical perspective, identifies its majorstrengths and areas for enhancement, and includes a detailed product snapshot.

Doculabs found TOWER IDM to be a solid solution for large organizations thatrequire an industrial-strength, high-volume document and content processinginfrastructure.

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FUNCTIONAL ASSESSMENT OF TOWER IDM

This section provides Doculabs’ review of TOWER Technology’s approach fordelivering an integrated EDMS offering. Note that Doculabs did not conduct ahands-on product evaluation for purposes of this review. Our strategic reviewfocused on the following categories:

• Vendor and Product Overview• EDMS Capabilities• Architecture• Key strengths and challenges

Vendor and Product Overview

Founded in 1987, TOWER Technology is a privately held companyheadquartered in Boston, Massachusetts, with global operations in Europe andAustralia. At the time of this review, the vendor employed approximately 350people worldwide.

TOWER Technology markets TOWER IDM, an enterprise-scaleable, Web-enabled, document processing system and content repository for managing allforms of unstructured business information—images, forms, computer-generatedreports, statements and invoices, office documents, e-mail, and Web content.Targeted toward key high-volume vertical markets such as insurance, financialservices and government, TOWER IDM is commonly used for transaction-oriented applications that include new business underwriting, insurance claims,mortgage processing, annuity and pension management, land recordsmanagement, and customer service.

In addition to developing software, TOWER has system integration capabilitiesand a qualified professional services staff. The company also partners with severalintegration firms, including EDS in Australia and Siemens, EDS, and ICL inEurope.

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EDMS Capabilities

TOWER IDM includes imaging, COLD/ERM, document and recordsmanagement, workflow, e-mail management, e-mail archiving and Web capturecomponents. TOWER’s unique approach utilizes unified case folders that can belocated and routed using a single database query, retrieved from a single contentrepository, and displayed in a single universal viewer. The product includes thefollowing functional components:

• Production Imaging and Forms ProcessingTOWER offers strong high-volume image and object storage capabilities,enabling businesses to capture information from paper and electronic formsand convert it into digital information. IDM e-Forms technology allows directdata capture from Dynamic HTML or PDF forms posted to the Web. Thisautomatic capture of data is fast, more accurate, and reduces the costsassociated with traditional paper-based data capture methods.

• Report Management and Distribution, Report Mining, and e-StatementPresentmentThe IDM Report Manager provides capabilities for capturing, storing, andpresenting electronic report data, including internal computer reports, bills andstatements from computer print streams. Report data is indexed and storedelectronically in the IDM repository for easy storage and retrieval. Using theIDM Report Link tool, users can mine, link or export data to create dynamic,customized reports comprised of disparate types of report data.

• Collaborative Document and Records ManagementIn addition to standard library functions, TOWER IDM provides dynamicdocument rendering capabilities and conversion tools, including integrationwith the Microsoft Desktop and other MS Office programs. Users can searchfor files using meta data, query by example (QBE), or the text search tool.TOWER also offers basic records management functions like retention anddisposition, and is DoD5015.2 certified.

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• Workflow Case ProcessingIDM Flow Manager is a production-level workflow engine that runs on thehighly scalable IDM repository and provides rules-based routing andprocessing of documents, batches, and case folders. Its administration andsecurity capabilities allow organizations to define role sharing, work queueswith priorities, deadlines and escalation, and integrated work forms. Inaddition to IDM Flow Manager, TOWER’s own workflow, the productintegrates with workflow engines from Plexus, Staffware, and Fujitsu.

• IDM e-Mail Capture and ArchivingTOWER IDM provides the ability to capture, store, index and archive e-mails.As e-mail becomes the primary form of communication between businessusers, the ability to store and retrieve e-mails and their attachments isnecessary for operational efficiency.

• WebCapture Online Transaction Recording, e-Forms Processing,Enforceable Transaction InfrastructureIDM’s WebCapture provides recording, indexing, storage and retrieval of e-business transactions for “instant replay” of online transactions in the samecontext in which they were originally viewed. Via a Web browser, businessmanagers, customer service representatives, auditors, and customers canreplay any online transaction step-by-step, for audits, legal compliance,dispute resolution, customer service, and customer self-service.

• WCM: Web Content PublishingIDM’s Web Content Publisher helps eliminate the “Webmaster bottleneck” byplacing publishing power into the hands of business users. This componentprovides tools that facilitate publishing content to the Web, including stylesheets and templates, file conversion tools, index creation tools, linkmanagement, and an auto-update scheduler. These tools enable users tomanage the publishing, updating, and expiration of all Web content, includingimages and links.

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Architecture

TOWER IDM is designed for enterprise applications requiring high-performance,production EDMS. This section highlights some of the key factors that contributeto its suitability for such applications.

• Broad platform supportTOWER IDM supports a broad array of computing platforms. The productruns on Sun Solaris, IBM AIX, HP/UX, Compaq Tru64, Microsoft NT andWindows 2000 operating systems. Database support includes Oracle, IBMDB2/UDB, Microsoft SQL Server, and TOWER Classic. In addition,TOWER IDM supports Apache, iPlanet, Microsoft IIS and BEA Web servers.

The client platform includes an IDM Desktop Client, IDM Browser Client,IDM Case Management Client, custom business application clients, anintegrated Windows client, and a Citrix Client. TOWER IDM also supports avariety of client APIs, including ActiveX, Java, DDE, VB, COM, ASP, EJB,SOAP and JSP.

• Common logical repository to integrate core EDMS functionsThe core of IDM’s architecture is its IDM Repository, a unified database andlogical repository for unstructured information that integrates the corefunctions of imaging, e-mail and document management, report management,and Web content recording into a single package. Such unification is difficultfor vendors that blend disparate EDMS products because the back-endservices are so different. For example, ERM requires a parsing and conversionengine, document management requires library services, and imaging requiresindexing and viewing capabilities. The trick is to eliminate duplication andsimplify by standardizing on common services and profiling schemes. Thisapproach is increasingly common, but is difficult to execute in very large,high performance deployments. Thus, many vendors adopt either a unifiedrepository strategy—which cannot be adequately implemented in performanceproduction applications—or employ multiple repositories, one for documentmanagement and another for high performance imaging applications.

TOWER, on the other hand, offers a unified repository approach that canhandle the stringent requirements of high performance production imagingapplications. The IDM repository enables the capture, storage, managementand retrieval of documents, in native format, from a single logical back-endserver running under Windows or UNIX.

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• Common user interface for all EDMS functionsWhether an interface is a client application or browser-based, it should be thesingle point of entry into a system. This is critical for usability and userproductivity, as users should not have to know or care where a documentresides, or what format it takes. TOWER IDM offers a common user interfacethat serves as a single point of access to all documents and EDMS-relatedfunctions associated with the IDM Repository. With IDM Desktop Clients,IDM Browser Clients or Citrix terminals, users can collect and assemble allrelated business content into logical folders, associate these folders withrelated business transactions, and find folders and retrieve content anddocuments using relevant business identifiers.

• Development, customization, and integration flexibilityProduction EDMS applications require significant flexibility and integrationwith other systems. Therefore, such a system should provide integration withthird-party applications, using APIs or higher-level interfaces such as EJBs orActiveX controls. The goal is to provide integration flexibility whilesimplifying the development process.

TOWER eProcess Objects are reusable objects that implement specificrepository, workflow and case management functions. They enable enterprisesto rapidly deploy new integrated document and content processingapplications that can exchange data with existing legacy applications andprovide support for large numbers of concurrent users in high-volumeproduction environments. TOWER eProcess Objects are XML based EJBswhich run in J2EE application servers. Supported workflow engines caninclude TOWER’s IDM Flow Manager or Plexus FloWare, Fujitsu iFlow andStaffware. TOWER combines these middleware components and businessobjects with pre-built back-end processes, customer-specific business rules,legacy systems integration, and the TOWER Document Portal to producecomplete case management applications for insurance and financialinstitutions and government agencies.

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TOWER’s focus on Java and J2EE is particularly significant. EDMSapplications cannot technically achieve J2EE compatibility. Rather, they areimplemented using J2EE APIs, services, and specifications such as EJBcomponents and JSP frameworks. They must also run on top of a J2EE-compatible application server. Products that are implemented in such a wayare platform-, application server-, and database-independent. They also inheritthe strengths of the J2EE-compatible application server, includingperformance, database connection pools, caching, session management, loadbalancing, fault tolerance, interoperability, and security. For scalability, J2EEallows more application servers, databases, and Web servers to be added tothe production environment on an as-needed basis.

• Distributed architecture for scalability and reliabilityTOWER provides the scalability and reliability necessary for enterprisesystems. The IDM Repository supports geographically distributed productionenvironments, in which a single archive and database server is interconnectedwith multiple remote cache servers over wide area networks. Intelligent,distributed caching technology is used to mitigate the inherent delays ofretrieving information over a WAN. A cache simply stores copies of contenton the magnetic disk of a local server that is closer to the user than the mainarchive server. Retrieving content from a local cache incurs far less networktraffic and retrieval time than going over the WAN. This enterprise-scalablearchitecture ensures sub-second page retrieval times regardless of the numberof users or retrievals, or the locations of the users.

The IDM Repository’s object model is a key design factor that provides suchscalability. It uses an object-oriented model to store and retrieve documentand content objects. Each object is retrieved directly using a 64-bit Object FileNumber (OFN) and IP sockets or mapped URLs instead of remote procedurecalls or network file system utilities. The result is that documents can begeographically located on servers throughout an enterprise or anywhere on theWeb without the need for corporate firewall reconfiguration. In a distributedenvironment, multiple repositories and remote cache servers are viewed andaccessed as a single logical repository. Any document or content object can beretrieved to any location, regardless of where it is stored, completelytransparent to the user.

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• Centralized, graphical administrationWith unified administration from one location, administrators can configureall EDMS system services and manage users, groups, roles, permissions, andworkflows. Managing one system instead of multiple systems lowers the costof ownership. Ideally, the system should also leverage operating systemservices and directories.

The IDM Graphical Administration System is accessed from the MicrosoftManagement Console (MMC), which makes it easier for administrators tomanage multiple systems in a familiar environment. IDM administrationcomponents, called snap-ins, run in the MMC framework and include Startupand Shutdown, Configuration Management, User Management, StorageManagement, Applications, System Monitoring, Output System and Backupand Recovery. The IDM User Management component is used to add, modify,delete or copy configuration files for users and to set up or change userpasswords. It is accessible only to users who have been assigned to administerthe whole system or selected groups in the system. This allows anorganization’s system administrator to delegate specific administration tasksto other users.

• Robust system securityTOWER provides a customizable and flexible security model to accommodatedifferentiated levels of security and document access. IDM Repository offersmany advanced security features that offer protection within the organizationas well as the extended enterprise. For user names and passwords, TOWERIDM has a built-in user attributes database maintained through the IDM UserManagement module of the Graphical Administration System. Alternatively,user names and passwords may be validated against any external LDAP(Lightweight Directory Access Protocol) Directory Service, such as MicrosoftActive Directory, Novell LDAP Services or SLAPD. User attributes are alsoretrieved from this directory, ensuring that this information does not need tobe maintained in multiple applications. Through integration with a corporatedirectory service using LDAP, TOWER IDM simplifies the end-user loginprocess, reduces the administrative effort required to maintain user accounts,and can easily conform to corporate IT standards and infrastructure.

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Key Strengths and Challenges

The following table summarizes the key strengths and challenges of TOWERIDM:

Strengths Challenges

• Stable, profitable company with astrong customer base

• High-volume imaging, COLD/ERM,and document managementprocessing for high-ROI, mission-critical applications

• Architected for high scalability,performance, security, and businesscontinuity

• eProcess Objects middleware includesan EJB abstraction layer for severalworkflow engines, EJB business logicfor access to IDM Repository andEJBs for pre-built IDM CaseManagement applications

• Supports workflow engines PlexusFloWare, Fujitsu iFlow, Staffware,and IDM Flow Manager for workflow

• Provides comprehensive casemanagement applications forinsurance and financial institutions

• Targets very large implementations,so smaller deployments probably notas well served – includingconservatively phased ordepartmental implementations inlarge enterprises

• Should provide advancedcollaborative workflow capabilities(such as real-time, project-centriccollaboration among internal andexternal users)

Table 1 – Key Strengths and Challenges of TOWER IDM

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PRODUCT SNAPSHOT

Vendor Background Product Background

Contact information TOWER Technology Inc.617-236-5500www.towertech.com

Product/version evaluated TOWER IDM

Year founded 1987 Product positioning Production imaging, formsprocessing, check processing,COLD/ERM, EDM, casemanagement

Number of employees 350 Product pricing Named users or concurrentconnections pricing model.Server and client licensing.

Public or private Private

2001 revenues (if public) Client platform support Windows 2000/ 95/98, Citrix

Products/services revenuesplit (%)

70/30 Server platform support Windows 2000, Sun Solaris,IBM AIX, HP UX, CompaqTru-64

Sales channel Direct worldwide (with largeintegrators outside of USA)

Database support Microsoft SQL Server, Oracle,IBM, TOWER Classic. ODBC

Key customers Knights of Columbus, ADP,U.S. Treasury, West BendInsurance, Columbian Financial,American Scandia, State ofConnecticut

Architecture/object modelemployed

ActiveX client toolkit, servertoolkit, document portal toolkit(COM, Java or EJB)

Strategic partnerships EMC, Oracle, HP, EDS, BEA,Microsoft, Captiva, RRI,Cardiff, Citrix, Stellent

Installed base (inproduction)

350+ installations; 180,000-200,000 users

Evaluation Category Description Analysis

Applicationrequirements

The key features and capabilities specific to thetechnology or product category (including the userexperience)

High-volume document and content processing;focus on applications for insurance, financialservices, and government. Desktop or browserclient with unified folder and single viewer.

IT requirements Architecture, platform and database support,appropriateness of design, standards compliance,integration capabilities, scalability, security, etc.

Distributable repository and database replicationfor performance, disaster recovery and businesscontinuity. Scalable, high performance.

Developmentrequirements

The complexity of development, and flexibilityprovided

ActiveX client toolkit, server toolkit, documentportal toolkit (COM, EJB or Java) andworkflow development APIs.

Resource requirements The resources that would be required to implementand maintain the system

Single repository and administration system

Key Strengths Key Challenges

• Stable, profitable company with a strong customer base

• High-volume document content processing for high-ROI,mission-critical applications

• Multiple platforms

• WebCapture for recording online transactions

• Targets very large implementations, so smallerdeployments may not be well served

• Needs Web content management beyond Stellent

Quick Take

Good solution for large organizations that require industrial-strength, high-volume document and content processing, particularlyfor government, insurance, and financial services industries.

Table 2 – Product Snapshot: TOWER IDM

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CONCLUSION

TOWER Technology is one of the few vendors to address the high-volumeEDMS requirements of large organizations. With TOWER IDM, the vendor’sEDMS, TOWER offers an enterprise-scalable processing system and contentrepository for managing unstructured business information, including images,forms, computer-generated reports, statements and invoices, office documents, e-mail and Web content. The vendor combines these capabilities into a unifiedplatform that enables enterprise users to manage documents throughout thetransaction lifecycle, within a single content repository and from a commoninterface.

Overall, Doculabs finds that that TOWER IDM’s capabilities and architecturemake great sense for large organizations that require an industrial-strength, high-volume document and content processing infrastructure.

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APPENDIX: ABOUT DOCULABS

Doculabs, Inc., is an independent industry analyst firm specializing in e-businesstechnologies. We are guided by the principle that both end-users and vendorsbenefit from impartial feedback about product strengths and limitations to makeboth strategic and tactical business decisions. Founded in Chicago in 1993,Doculabs is the only industry analyst firms to ground its research, end-user andvendor advisory services in unbiased, reality-based product assessment results.

We use our product assessment methodology, combined with trend and marketanalysis, to help our clients make the right technology investment decisions and tohelp vendors attack new market opportunities. Doculabs’ core researchmethodology builds a truly credible information bridge between end-user businessneeds and vendor product development.

Doculabs has a growing staff of analysts dedicated to research, advisory services,and market analyses. We specialize in emerging technology solutions that drive e-business, including technologies for e-content, e-commerce, e-fulfillment anddelivery, and e-business infrastructure components.

Doculabs’ analysts are regular speakers at industry conferences, and continue toauthor numerous articles in industry journals such as Information Week, NetworkComputing, Windows NT, KM Magazine, Group Computing, and Transform, toname a few.

Doculabs’ service offerings include advisory and consulting services, assessmentservices, and publications (reports and annual subscriptions). Because Doculabsdoes not resell products, we remain completely objective in our research and ourrecommendations.

For more information about Doculabs, visit our Web site –http://www.doculabs.com.

1201 West Harrison Street, Third FloorChicago, IL 60607

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