M12S02 - ERM Software: Historic Timeline, Lessons Learned, Current Issues, Future Focus

Cohasset Associates, Inc.

NOTES

2012 Managing Electronic Records Conference 2.1

ERM Software

Historic Timeline, Lessons Learned, Current Issues,

Future Focus

The End Goal of EDRMSIn Order for Disposition to Work

2. We assign official retention policies

1. We organize our company into business activities.

Corporate Repository

Business Activities

retention policiesto business activities.

3. We must somehow matchdocuments to business activities correctly.

Admin Operations

Delete after8 years

Delete after15 years

Delete after5 years

HR MfgAccounting

p p y

1991 – The Beginning

ForeMost and PS Software from Canada The Very first ERM Software

Focus on electronic

ERM Repository

Principle of Declaration

Electronic Classification

TRIM from Australia Paper-Based

Later to adopt electronic capability


NOTES


1997 – US DoD 5015.2 Emerges

US Gulf War Syndrome Legal and reputation loss for DoD

Strong impetus for electronic recordkeeping

A New Standard ECM Vendors HAD to complyp y

DOD obligation, industry-wide de Facto

Certification Testing Program Wide Adoption

ECM Players had to play ball

5015.2 Certifications

There are only 15 unique vendors

(6) are Monster ECM Vendors ECM

HP

TRIM, Autonomy (Being Purchased by HP) IBM

Content Manager

FileNET OpenText

Oracle

Microsoft (With GimmalSoft Compliance Suite Plug-in)

(4) are plug-in one-time “Special Projects” Northrup Grumman (Documentum)

SAP (NetWeaver)

IIUI (Lotus)

Iron Mountain (Accutrac)

(5) Remainder are boutique (small) ECM/RM products Feith

Wareitis

Infolinx

Alfresco

SystemWare

2002 – the Breakout

Major Players make their move IBM (Tarian)

OpenText (PS Software)

Documentum (ForeMost/TrueArc)

TRIM goes it alone Adapts to become a RM-oriented ECM Vendor

FileNet goes it alone Nobody left to acquire


NOTES


2005 – ERM Software Disappears

ERM now a Feature Set of ECM Plug in module

New set of features

The end of “awkward Integrations”

Big Players all have it Big Players all have it IBM

FileNET

Documentum

OpenText

TRIM keeps going

EDRMS = ECM + RM

ECM Repository

Place to store records

Search/Retrieval

Security Control

RM Retention Schedule

What to delete, when?

Apply retention rules to all documents

Legal Holds

Who sees what?

Version Management Tracking document production/versions

Collaboration Who does what to the document?

Workflow Defined Process for document

creation/approval

Apply holds as required

Declaration “Lock Down” document to prevent

deletion

Delete only via retention process

Classification Right Retention rule applied to

documents

Disposition Delete records per approved retention

schedule

Maintain supporting Audit trail

2005 – Where are we?

Choice of RM software goes away Buyers “inherit” ERM not Choose it

RM comes along with ECM Platform

The buyer changes From RM to IT

Unwitting buyer = IT

Vendors now have standard “recipe” for RM

RM component = extra-$$ add-on

RM practitioners become “passengers” of ECM!


NOTES


Suddenly….

“LOTS” of ERM “success”

Definition of success ECM Sold & Installed with RM function

Big assumption Sold = deployed and (presumably) adopted Sold = deployed and (presumably) adopted

RM Practitioners not happy Could not deploy RM Capabilities

Could not understand the software

Focused on the Retention Schedule

ECM Usage without RM usage The new reality

2005 What We Accomplished

All major ECM platforms have RIM capability Even Oracle and HP, and boutique

players

The end of “Awkward Integrations” Seamless RM within ECM platformsSea ess t C p at o s

Email Integration The most important source of e-records!

Thanks to 5015.2

Standard capabilities in all products Per 5015.2

We learned what and how to measure

Do we use it? Another story…

2005-2011 Questionable “Success”

Fuzzy definition of “success” Better retrieval

Reduced Risk of litigation

Lower document storage cost

No way to measure successy

People Using ECM, but not Achieving RIM goals

Points of failure No Change to user attitudes to RIM

No means of measurement

Classification accuracy too low for disposition to take place

RIM Practitioners cannot wrestle control of the software


NOTES


Barriers The “Big Four”

1. Organizational/Cultural Change Need to achieve a change in business practice

2. Classification Accuracy Need to maintain 85% or better

3 RIM Admin Proficiency3. RIM Admin Proficiency RIM Practitioners need to understand and

control the software

4. Measurement No way to measure project success or failure

Beware…..User Reluctance is extreme… Beyond Anything You Can Imagine

It’s MY document This is too much

work It’s not my job

Declare that Document!

It s not my job It takes too long I have a better

way I Don’t need this

“Filing a document into a records repository is an unnatural act”R. Medina, 2000

Declaration = Q + C + MQualify/Classify/Metadata (QCM)

Classify

WIP

A

A1

A11 A11

A2

Field 1

Field 2

Field 3

Field 4

Field5

Copyright RIMtech 2012

Qualify

y

Record

Reference

Metadata


NOTES


Classification Errors

Errors Rapidly Accumulate!

No way to correct

MUST maintain accuracy above acceptable threshold

Right WrongMon 5,000 70% 3,500 1,500Tue 5,000 80% 4,000 1,000Wed 5,000 60% 3,000 2,000Thu 5,000 70% 3,500 1,500Fri 5,000 75% 3,750 1,250

17,750 7,250

Cumulative Effect of Classification ErrorsClassificationsDeclared

RecordsAccuracy

%Day

Cumulative Total

Effect of Classification Accuracy

100

120

DispositionConfidence

itio

n Confidence Range

0

20

40

60

80

0 20 40 60 80 100 120

DispositionConfidence

% C

on

fid

en

ce

in

Dis

po

s

Classification Accuracy (%)

2007- 2012 Microsoft Goes for RM

2007 – Big Miss 10% of minimum needed

2010 – Near Miss 72% of minimum needed

What was Missed? What was Missed? Disposition

Case File Handling


NOTES


SharePoint vs F1000 vs 5015.2

US DoD 5015.2(168)

Fortune 1000(105)


SharePoint Out Of Box(72)

Case Vs Subject

Travel RequestsDelete After 4 years

02/1102/1002/0902/0802/0702/06

Delete

Subject File


Contract / Safe -TeeDelete 2 years after contract end

02/0802/0702/0602/0502/0402/03

Delete

Case File

Deletion vs Disposition

Deletion

Machine-Driven

Everything assumed to be perfect

No Authoritative Source

Disposition

Process-Driven

Human Oversight Assumed

Authoritative Source = Retention Schedule No Authoritative Source

Delete when 2 years old

Initiation by machine

Retention Schedule What is approved by Whom

Initiation by People


NOTES


SharePoint gets Rescued

3rd-Party Plug-ins Canada X 2

Collabware

Orangutech

USA X 1 GimmalSoft 5015.2 certified!

Australia X 2 RecordPoint

I5

Will SharePoint 2014 Get there? 5015.2 – Not Likely

Minimum Requirements - Likely

ERM Our Achilles Heel

Classification Accuracy Need to hit 85%+ Need to hit 85%+

Little Progress to date

Major point of failure

Understanding RIM(Records & Information Management)

(5) Huge Changes1. New Place to store documents

No More File Servers!

2. How we Store documents Fill out a form – every time!

3. How we Find documents

4 Documents get Deleted4. Documents get Deleted

5. Things are Organized Names, Places Rules are enforced

Disruption More time/work to store a document

Documents Disappear!

New rules What to store, where to store

New Software to learn ECM


NOTES


Barrier 1 Organizational/Cultural Change

Accomplished to Date Greater Awareness

IM and RM Linking

What We Need to Achieve Management Engagement

More than just passive “Support”

70%+ of project $$/Resources dedicated to organizational/Cultural change

RM and IM as a seamless unit

We are Here

Need to beHere

Typical Attitude

Recordkeeping is not important

This does not involve me

This is just (another) ignored

Target Attitude

Recordkeeping is very important to us

I will do my part

Transform Users Perception of RIM

This is just (another) ignored policy

It does not matter if I ignore this

Nobody else cares, why should I?

I will do my part

The organization is serious about this

There are consequences if I ignore this

Others seem to care about this!

Changing the Perception4 Contributors

1. Raise RIM Visibility Permanent – Not going away!

2. Management Participation Active, participative engagement

3. Marketing Program Education

This is what EDRMS Means…

Messaging Our New Way of doing Business!

4. Policy Backstop Non-Negotiable. These are our business

rules We have to do this. Not an option.


NOTES


Barrier 2 Classification Accuracy

Accomplished to Date Retention Schedule Simplification/Consolidation

SAC Software gaining traction

What We Need to Achieve Lean Mean Retention Schedules

Commercial Adoption of SAC

We are Here

Need to beHere

Safety

Inspections

Incidents

Finance

File Plan

Retention Rule 2

Retention Rule 4

Retention Rule 5

Retention Rule 6

Retention Rule 1

Retention Rule 3

Retention Schedule

Rule 1

Rule 3

Classification

Doc 1

Doc 2

Doc 3

SafetyInspections

SafetyPolicy

SafetyInspections

Budgets

Audits

Travel

Requests

Reports

Retention Rule 6

Retention Rule 7

Retention Rule 8

Retention Rule 9

Retention Rule 10

Retention Rule 11

Retention Rule 12

Rule 1

Rule 5

Rule 8

Rule 8

Doc 4

Doc 5

Doc 6

p

Budgets

TravelReports

TravelPolicy

Classification AccuracyHow to Measure

Statistical Sampling

Delegate to departments Aggregate organizational total

Classification Accuracy Sample Sizing

2% 5% 10% 15%100 2 5 10 15500 10 25 50 75

1,000 20 50 100 1505,000 100 250 500 750

10,000 200 500 1,000 1,500

Sample SizeClassification Accuracy Sample Sizing

Declared


NOTES


(SAC)System Assisted Classification

Content Analysis Based on Sophisticated Content Search

technology

Goal Zero User Input

Faceted Taxonomies Faceted Taxonomies Based on sophisticated data mapping and

analysis technology

Goal Minimum User Input

Substantial Pre-Implementation Configuration/Setup is Required!

Content Analysis SAC

How it Works Compute what document is about

Seek file plan match

Suggest category

Two Examples OpenText Auto-Classification

Integro IEM

Requires EXTREME setup 10-20 docs/category

Does not handle case files OpenText Auto-Classification


0


NOTES


OpenTextAutomatic Classification

Faceted TaxonomySAC

How it works Name + Role + Content Type +

metadata

Uses thesaurus

Adds content and context “facets” to docs as metadata Derived from pre-defined rules of

business activitiesbusiness activities

Facet = metadata elements describing the document. Opposite of hierarchical taxonomy

Search and navigate the facets with Thesaurus assist

Used to assign best-fit classification for RM

Requires EXTREME Setup

Barrier 3 RIM Administrator Proficiency

Accomplished to Date Nothing!

What We Need to Achieve Better Vendor Training

3rd-Party Training

Software access for RIM Practitioners Software access for RIM Practitioners

Books/Seminars/Courses

We are Here

Need to beHere


NOTES


RIM AdministrationSomeone has to Fly This Plane…

Who’s in Charge? Two pilots (ECM, RIM)

IT flies the ECM, RM flies the RIM

Some common control…

RIM Responsibilities Key decisions on Declare/Classify Key decisions on Declare/Classify

Load in File Plan

Configure all aspects of Recordkeeping capabilities

Ongoing measurement of (3) measures

Carry out Disposition

Go-To resource for all things RIM Product related Deep product RIM know-how

Two Control Columns

ECMRIM

Mastering the RIM Capabilities168+ capabilities

TWO types of training What buttons to push – not helpful

How to apply – helpful!

Can you handle it?

There is a LOT to learn for “master” level 5 days training for RM admin

10 days trial-by-fire

Cannot rely on software vendors Cannot rely on software vendors Few true RM specialists

This is secondary learning only!

There are no books!

Rely on outside help to supplement internal deficiencies

Only a live implementation will make you proficient

Plan/budget for training + Learning time

You also have to learn the ECM as well (although not as deep)

Learn by doing

The RIM Learning RoadMap

1. Elements of file plan/Retention Schedule

2. Import/Export

3. Declare/Classify methods and capabilities

4. Security and Configuration

5. Metadata configuration and setup

6 Auditing6. Auditing

7. Lifecycle Management, Codes, Phases

8. Search Queries

9. Legal Holds

10. Disposition

11. Physical Records Management (PRM)

12. Reporting

Invest in Learning


NOTES


RIM Effort/ContributionDo You Have Sufficient Time?


Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec1 Project Governance 12 Corporate Policies 1 2 1 1 0.53 Perception Transformation 0.5 0.5 1 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.54 Plan/strategy 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.55 Records Foundation 0.5 0.5 0.5 0.5 0.56 RIM Administration 1 1 1 1 1 4 2 2 2 2 1 17 Business procedures 0.2 0.2 0.2 0.2 0.2 0.2 0.28 Repository Governance 0.5 0.19 Sandbox 1 2 2 2

10 Declaration 1 1 1 111 End User Training 1 112 Pilot 0.5 0.5

4.7 4.7 4.2 4.7 4.7 4.7 4.3 5 5 5 4.5 4.5TOTAL

RIM Effort (Days/Week)

Organization

Procedures

Technology

Step#Stage

Changing the RIM Job Role

New Skills Evangelize the Project. Be out front and highly visible Project Management contribution Be the EDRMS RIM Software “Ninja”. Be the expert. How best to Declare/Classify

New Responsibilities Manage the critical numbers (Qualification, Declaration

rate, Classification Accuracy) Set the acceptable standard Measure and Publish them

Influence Auto-Delete Decisions Motivate end users Keep executive team motivated and updated.

New Tasks Keep the (3) critical numbers healthy Regular status reporting Conduct Disposition of electronic records

Divest Divest all aspects of prior responsibilities that cannot be

carried any longer

Barrier 4 Measurement

Accomplished to Date We know the (3) measures

Qualification Rate, Declaration Rate, Classification Accuracy Rate

We’re not using them!

What We Need to Achieve Software Measurement Tools

Relentless Daily Measurement

Standards Adoption (5015.2, ISO….)

We are Here

Need to beHere


NOTES


Measurement MetricsCritical to Project Success

1. Qualification Rate Are users selecting the right documents to manage as records?

Are we seeing an appropriate quantity?

2. Declaration Rate Once qualified, are users storing them as managed records?

3 Classification Rate3. Classification Rate What % of declared records have the correct retention rule assigned?

We MUST achieve all 3 metrics!We need to measure all three! Entire project “rolls up” to these three metrics!

Managing the Metrics

Finance

target

target

Actual

Actual

Declaration

Classification


Target Actual Target Actual Target Actual Target ActualQualification 5% 4.0% 5% 4.1% 10% 11.4% 50% 36.2% 15%Declaration 90% 88.0% 95% 85.0% 80% 74.0% 90% 91.0% 86%Classification 95% 88.0% 75% 66.0% 80% 72.0% 95% 97.0% 83%

Corporate Average

DepartmentMetric

Finance HR Engineering Legal

target

Actual

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Qualification

Where to From Here?

Need progress on the Big Four

Start with Measurement

ARMA is contributing Book

Webinars Webinars

RM and IT Need to come closer together

Microsoft SharePoint Getting Better

Could be significant game changer

3rd Party Plug-ins are kingmakers right now


NOTES


Reaching Our GoalsDisposition

Disposition – The End Game Goal This cannot be done unless the bottom (3) layers happen!

Declare the Records

Classify Them (correctly)

Second

Third

How are we going to get 1,000 users to do this, reliably and consistently?

How do we make sure classification accuracy rate > 95%?

Qualify First Which Documents are Records?

Three Stage Strategy

Te c h n o lo g y Implement the new procedures in the EDRMS

Third

B u s in e s s P ro c e d u re s

C o rp o ra te P o lic y

Mandates / Regulations

First Change the rules of our Business

Change our Business Procedures to fit the new rules

Second

A New Approach to ERM Implementation

Stage 3 - Technology

12. Pilot11. User Training

10. Declaration9. Sandbox

4. Plan/Strategy3. Perception Transformation

2. Corporate Policies1. Project Governance

Stage 2 – Procedures

8. Repository Governance7. Business Processes

6. RIM Administration5. Records Foundation

Stage 1 - Organization


NOTES


Stakeholder Role – RIM Practitioner

Achieve Product Proficiency Uphill Struggle Presently

Pressure the Vendors Get the software!

Need More Training

Grab the Stick! RIM must drive…

Work more closely with IT Define roles clearly

EDRMS = a New Job New roles, responsibilities, tasks

Stakeholder Role – Vendors

SAC Bring to commercial viability

Administrator Training Substantial development needed

Become better trainers

Development metric measurement tools

Make the software available to RIM Practitioners Simple Installation

Full capability

Pre-Purchase

Stakeholder Role – Sr. Management

Measurement Metrics must guide Projects

Combine RIM and IT

Embrace organizational/Culturalorganizational/Cultural Change A permanent Change, NOT a

project!

RIM Personnel need more resources, not less


NOTES


Stakeholder Role – IT Managers

Recognize – RIM Controls the “Stick” IT keeps it in the air

Recognize – Out of Box does not work!

Embrace measurement metrics Then work backward to develop

tools to support the measures

Get the software to the RIM practitioners They need to learn!

A permanent change – not a Project!

Build effective declaration techniques To support metrics

We will get there! Accomplished to Date

1. Software has everything we need

2. SAC coming along

3. Greater awareness

4. Leaner Retention Schedules

What We Need to Achieve1 RIM Admin Proficienc1. RIM Admin Proficiency

2. Application of measurement metrics

3. Organizational/Cultural Change

4. 85%+ Classification accuracy

We are Here

Need to beHere

Bruce [email protected]

www.rimtech.ca

613-226-8468

M12S02 - ERM Software: Historic Timeline, Lessons Learned, Current Issues, Future Focus

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Transcript of M12S02 - ERM Software: Historic Timeline, Lessons Learned, Current Issues, Future Focus