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THERE’S A LOT TO PROCESS IN  MANAGING THE BUSINESS OF LAW WE’RE HERE TO GUIDE YOU  THROUGH EVERY STEP
<ul><li>RM Software A to Z </li></ul><ul><li>Grant W. James </li></ul><ul><li>Sr. Project Manager </li></ul>
Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Sof...
Definition <ul><li>Forrester Research defines RM System as….. </li></ul><ul><li>“ Software for managing long-term document...
Records to RM System RMS Physical Files Records Retention /Classification Rules
RM Software Functionality <ul><li>Manage physical records </li></ul><ul><li>Setup file plan / retention schedule </li></ul...
File Plan Builder Screen
File Plan Builder (cont’d)
RMS Screen Folder Folder Folder
Enhanced Search <ul><li>The ability for an end user to choose the properties they wish to display in result lists and to c...
Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Sof...
DoD 5015.2 Certification <ul><li>Originally intended to test & certify RM Systems for us by US defense organizations – it ...
Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Sof...
RM Software – Recent History DM  System E-mail System Create Assign  Retention Final Disposition Declare Edit / Maintain R...
DM Purchase of Existing RM System <ul><li>A few examples : </li></ul><ul><li>Open Text (Hummingbird) acquired LegalKey </l...
RMS Vendors (some..not all)
Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Sof...
RMS Architecture Models <ul><li>Single Repository </li></ul><ul><li>Replicated </li></ul><ul><li>Delegated (Federated) </l...
Single Repository Model RMS <ul><li>Comments : </li></ul><ul><li>Application integration difficult </li></ul><ul><li>Movin...
Replicated Model RMS <ul><li>Comments : </li></ul><ul><li>Records are copied </li></ul><ul><li>Additional storage capacity...
Delegated [Federated] Model RMS <ul><li>Comments : </li></ul><ul><li>Source application must be able to accept an applicat...
Before RMS Purchase <ul><li>Organization should be mature.  Align roles, responsibilities as it relates to RM, budget, own...
Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Sof...
RM System Selection Process <ul><li>Research / Identify RM System candidates </li></ul><ul><li>On-line demos </li></ul><ul...
RFP Format – Section 1 <ul><li>Cover page </li></ul><ul><li>Provide objective, company / firm background </li></ul><ul><li...
RFP Format - Section 2  <ul><li>General Questions </li></ul><ul><li>Pricing Questions </li></ul><ul><li>E-mail Questions <...
RFP Questions – General (1) <ul><li>Request org chart </li></ul><ul><li>Planned implementation team? </li></ul><ul><li>Maj...
RFP Questions – General (2) <ul><li>Provide information on vendor partners for hardware & complimentary software </li></ul...
RFP Questions – General (3) <ul><li>What initiatives are being planned for the management of electronic records in future?...
RFP Questions – Pricing (1) <ul><li>Provide pricing for software, hardware, & professional services </li></ul><ul><li>Prov...
RFP Questions – Pricing (2) <ul><li>Vendor should guarantee professional services & training will not increase for one yea...
RFP Questions – Email (1) <ul><li>What e-mail platforms are supported? </li></ul><ul><li>What changes are made to the e-ma...
RFP Questions – Email (2) <ul><li>Is it possible to link Outlook folders to folders in RM software? </li></ul><ul><li>Is i...
RFP Questions – Email (3) <ul><li>Can e-mails be declared in batches? </li></ul><ul><li>Provide limitations on single / ba...
RFP Questions – DMS Integrations (1) <ul><li>What systems to you integrate with? </li></ul><ul><li>How is security applied...
<ul><li>Describe functionality available to end-users via web browser </li></ul><ul><li>Any functionality other than e-mai...
Consolidate & Compare Proposals   DLL Plug In     LegalKEY installs several DLL files and then adds in two toolbar buttons...
Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Sof...
Next Steps <ul><li>On-site demos (provide outline for the vendor to follow) </li></ul><ul><li>Select vendor(s) </li></ul><...
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RM Software: A to Z

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RM Software: A to Z

  1. 1. THERE’S A LOT TO PROCESS IN MANAGING THE BUSINESS OF LAW WE’RE HERE TO GUIDE YOU THROUGH EVERY STEP
  2. 2. <ul><li>RM Software A to Z </li></ul><ul><li>Grant W. James </li></ul><ul><li>Sr. Project Manager </li></ul>
  3. 3. Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Software - Recent History </li></ul><ul><li>Architecture Models </li></ul><ul><li>RFP (significant time here) </li></ul><ul><li>Next Steps </li></ul>
  4. 4. Definition <ul><li>Forrester Research defines RM System as….. </li></ul><ul><li>“ Software for managing long-term document archives through each document’s full life-cycle by leveraging a file plan – including immutability of documents from the time of record creation, systematic destruction of documents at the end of specified dates, standard metadata enforcement, placing holds on documents during litigation, and integration with storage management sub-systems” </li></ul>
  5. 5. Records to RM System RMS Physical Files Records Retention /Classification Rules
  6. 6. RM Software Functionality <ul><li>Manage physical records </li></ul><ul><li>Setup file plan / retention schedule </li></ul><ul><li>File / declare electronic records to the file plan </li></ul><ul><li>Lock down electronic records in native format </li></ul><ul><li>Search & retrieve </li></ul><ul><li>Place and process legal holds </li></ul><ul><li>Produce reports </li></ul><ul><li>Enforce retention & disposition policies to both electronic & physical records </li></ul><ul><li>Built-in workflow to manage disposition approval process </li></ul>
  7. 7. File Plan Builder Screen
  8. 8. File Plan Builder (cont’d)
  9. 9. RMS Screen Folder Folder Folder
  10. 10. Enhanced Search <ul><li>The ability for an end user to choose the properties they wish to display in result lists and to choose the order, from left to right to display the record properties </li></ul><ul><li>• The ability to export the result list as an Excel spreadsheet </li></ul><ul><li>• Search within the current search result list </li></ul><ul><li>Administrator configurable advanced search page which allow the default properties available for searching to be configured. </li></ul>
  11. 11. Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Software - Recent History </li></ul><ul><li>Architecture Models </li></ul><ul><li>RFP (significant time here) </li></ul><ul><li>Next Steps </li></ul>
  12. 12. DoD 5015.2 Certification <ul><li>Originally intended to test & certify RM Systems for us by US defense organizations – it is now a highly regarded benchmark for both the government & private sector </li></ul><ul><li>Chapter 2 (Non-classified data), & Chapter 4 (Classified data) </li></ul><ul><li>Provides standards for : </li></ul><ul><li>Security </li></ul><ul><li>Implementing file plans </li></ul><ul><li>Scheduling records (time dispositions, event dispositions, time + event dispositions) </li></ul><ul><li>Record metadata components (title, media type, format, dates, vital, etc) </li></ul><ul><li>Declaring & filing records – including emails (e.g. file email & attachment as single or separate records, etc) </li></ul><ul><li>Searching & retrieving of records </li></ul><ul><li>Transfer & destruction of records </li></ul><ul><li>Application of litigation holds </li></ul>
  13. 13. Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Software - Recent History </li></ul><ul><li>Architecture Models </li></ul><ul><li>RFP (significant time here) </li></ul><ul><li>Next Steps </li></ul>
  14. 14. RM Software – Recent History DM System E-mail System Create Assign Retention Final Disposition Declare Edit / Maintain Records Retention /Classification Rules RM System
  15. 15. DM Purchase of Existing RM System <ul><li>A few examples : </li></ul><ul><li>Open Text (Hummingbird) acquired LegalKey </li></ul><ul><li>Computer Associates (CA) acquired MDY Filesurf </li></ul><ul><li>Interwoven acquired Legal Trax </li></ul>DM System Retention /Classification Rules RM System
  16. 16. RMS Vendors (some..not all)
  17. 17. Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Software - Recent History </li></ul><ul><li>Architecture Models </li></ul><ul><li>RFP (significant time here) </li></ul><ul><li>Next Steps </li></ul>
  18. 18. RMS Architecture Models <ul><li>Single Repository </li></ul><ul><li>Replicated </li></ul><ul><li>Delegated (Federated) </li></ul>
  19. 19. Single Repository Model RMS <ul><li>Comments : </li></ul><ul><li>Application integration difficult </li></ul><ul><li>Moving records to the RMS may make them inaccessible & unsearchable </li></ul><ul><li>DM systems typically have better search & security </li></ul><ul><li>Searching / record retrieval / litigation hold processing easy </li></ul>Records Retention /Classification Rules Application
  20. 20. Replicated Model RMS <ul><li>Comments : </li></ul><ul><li>Records are copied </li></ul><ul><li>Additional storage capacity burden </li></ul><ul><li>Synchronization burden – especially DM’s, where versioning is used </li></ul><ul><li>Searching / record retrieval / litigation hold processing easy </li></ul>Records Records Records Retention /Classification Rules Application Records Application Application
  21. 21. Delegated [Federated] Model RMS <ul><li>Comments : </li></ul><ul><li>Source application must be able to accept an application programming interface so the RMS can overlay the retention / classification rules on the source application </li></ul>Records & their metadata remain in the source application Records Records Retention /Classification Rules Application Records Application Application
  22. 22. Before RMS Purchase <ul><li>Organization should be mature. Align roles, responsibilities as it relates to RM, budget, ownership, etc. </li></ul><ul><li>Repository decision should be made (move records to central repository, or manage in place (federated)) </li></ul><ul><li>RM Policy / Procedures should already be developed & ready to implement </li></ul>
  23. 23. Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Software - Recent History </li></ul><ul><li>Architecture Models </li></ul><ul><li>RFP (significant time here) </li></ul><ul><li>Next Steps </li></ul>
  24. 24. RM System Selection Process <ul><li>Research / Identify RM System candidates </li></ul><ul><li>On-line demos </li></ul><ul><li>Create draft RFP with IT </li></ul><ul><li>Finalize / distribute RFP </li></ul><ul><li>Review & consolidate proposals </li></ul><ul><li>Eliminate candidates down to three </li></ul><ul><li>On-site demos </li></ul><ul><li>Select vendor </li></ul><ul><li>Proof of Concept </li></ul>
  25. 25. RFP Format – Section 1 <ul><li>Cover page </li></ul><ul><li>Provide objective, company / firm background </li></ul><ul><li>Provide date of issue, date due, submit to, format, projected on-site demo dates, whom inquires should be directed to </li></ul><ul><li>Discuss confidentiality </li></ul><ul><li>Provide General Terms & Conditions </li></ul><ul><li>Indicate specific date as to when notification of award is expected </li></ul><ul><li>Request signature </li></ul><ul><li>Request vendor contact information (one person’s name, phone, etc) </li></ul><ul><li>Provide information about company / firm & IT systems (# of employees, e-mail platform, DMS, remote software, etc) </li></ul>
  26. 26. RFP Format - Section 2 <ul><li>General Questions </li></ul><ul><li>Pricing Questions </li></ul><ul><li>E-mail Questions </li></ul><ul><li>DM Integration Questions </li></ul>
  27. 27. RFP Questions – General (1) <ul><li>Request org chart </li></ul><ul><li>Planned implementation team? </li></ul><ul><li>Major version releases over the past two years and planned revision releases in the next year? </li></ul><ul><li>Total number of installs past year? </li></ul><ul><li>Total number of installs past two years of comparable companies / firms? </li></ul><ul><li>Willing to make arrangements to view an installation in a comparable company / firm? </li></ul><ul><li>Ensure RFP responses are regarding current released version. </li></ul>
  28. 28. RFP Questions – General (2) <ul><li>Provide information on vendor partners for hardware & complimentary software </li></ul><ul><li>Re-seller of hardware? (bar-code scanners, printers, etc) </li></ul><ul><li>What differentiates their RM system from major competitors </li></ul><ul><li>Architecture choices available </li></ul><ul><li>List other repositories your product can secure electronic content </li></ul><ul><li>List specific vendors that can be integrated with to manage content in place (federated) </li></ul>
  29. 29. RFP Questions – General (3) <ul><li>What initiatives are being planned for the management of electronic records in future? </li></ul><ul><li>Reporting options (to PDF from within, etc) </li></ul><ul><li>Describe retention capabilities </li></ul><ul><li>How is the reporting of material eligible for retention handled? </li></ul><ul><li>How is final disposition & destruction tracked? </li></ul><ul><li>Describe litigation hold capabilities </li></ul><ul><li>Available web parts for Microsoft Office Sharepoint Server (MOSS) </li></ul>
  30. 30. RFP Questions – Pricing (1) <ul><li>Provide pricing for software, hardware, & professional services </li></ul><ul><li>Provide pricing structure, including maintenance, and what this does & does not include </li></ul><ul><li>Estimate of required professional services (need to provide detail for them to answer) </li></ul><ul><li>Standard billing rates by job title </li></ul>
  31. 31. RFP Questions – Pricing (2) <ul><li>Vendor should guarantee professional services & training will not increase for one year (thereafter will not increase more than 3% per year or CPI – whichever lower) </li></ul><ul><li>Provide sample maintenance agreement </li></ul><ul><li>API pricing </li></ul><ul><li>MOSS web parts pricing </li></ul><ul><li>Blackberry integration pricing </li></ul><ul><li>Integration w/other systems (financial, DM, etc) </li></ul><ul><li>Include any pricing NOT listed in RFP </li></ul>
  32. 32. RFP Questions – Email (1) <ul><li>What e-mail platforms are supported? </li></ul><ul><li>What changes are made to the e-mail environment for allowing users to declare e-mails to the RMS? </li></ul><ul><li>Describe any configuration options for e-mail system interface </li></ul><ul><li>Does your product integrate with e-mail archiving systems? </li></ul><ul><li>How does the RMS take ownership of e-mails (e.g. is copy moved vs. original) </li></ul>
  33. 33. RFP Questions – Email (2) <ul><li>Is it possible to link Outlook folders to folders in RM software? </li></ul><ul><li>Is it possible to configure your RM system to delete the orig e-mail from e-mail store & only store in RMS? </li></ul><ul><li>How are duplicate e-mails handled? </li></ul><ul><li>Does your product have a .pst management tool? </li></ul><ul><li>E-mail filing from Blackberry or other similar device? </li></ul>
  34. 34. RFP Questions – Email (3) <ul><li>Can e-mails be declared in batches? </li></ul><ul><li>Provide limitations on single / batch e-mail filing (size, total # objects) </li></ul><ul><li>Describe the utility that takes the processing burden when filing e-mails </li></ul><ul><li>Is Outlook fully operational during the e-mail declaration process? </li></ul><ul><li>Is users workstation operational during the e-mail declaration process? </li></ul>
  35. 35. RFP Questions – DMS Integrations (1) <ul><li>What systems to you integrate with? </li></ul><ul><li>How is security applied to documents that are declared as record to RMS from other systems? </li></ul><ul><li>Is your DMS integration built through the DMS API or your own API? </li></ul><ul><li>Describe the various options available for passive / rules-based declaration to the RMS </li></ul>
  36. 36. <ul><li>Describe functionality available to end-users via web browser </li></ul><ul><li>Any functionality other than e-mail available via Blackberry (e.g. searching?) </li></ul>RFP Questions – DMS Integrations (2)
  37. 37. Consolidate & Compare Proposals   DLL Plug In     LegalKEY installs several DLL files and then adds in two toolbar buttons to the UI. There are no changes to the Outlook environment. In the email options menu end users have the option to declare an incoming or outgoing email as a record or simply file as a searchable email. Integration with MS Outlook updates outlook with a selectable menu from the drop down list (within Outlook) to “classify as record”. This permits users to select an email or group or folder of emails and classify it/them as a record.   FileSite is installed on each client machine, and encapsulates all of the necessary functionality and installation requirements in a single install. A new “MAPI post office” is installed on the user’s machine, facilitating viewing, drag & drop and even background filing of content. We add the Elite toolbar with action buttons. The user may also create special folders corresponding to the matters he or she is working on to support drag-and-drop functionality. What changes are made to the Outlook environment for allowing users to declare e-mail messages to the RMS? F.2   Microsoft Outlook, Novell Groupwise, and Lotus Notes. Email Archives Symantec Enterprise Vault, Zantaz EAS and CA Message Manager.     MS Outlook & Lotus Notes StarLaw is fully compatible with Outlook 2003. The StarLaw functionality is provided by a StarLaw binary application, which communicates transparently with an Outlook Add-in that provides the user interface and multi-threading within Outlook. Outlook 2007 support is under development for delivery in November, 2007. MS Outlook and Lotus Notes   Microsoft Outlook and Lotus Notes are both integrated through the WorkSite product line. We currently support direct integration with Microsoft Outlook. What e-mail platforms are supported for integration? F.1 VENDOR 6 VENDOR 5 VENDOR 4 VENDOR 3 VENDOR 2 VENDOR 1 Question / Topic Part
  38. 38. Presentation Roadmap <ul><li>RM Software Functionality </li></ul><ul><li>DoD 5015.2 Certification </li></ul><ul><li>RM Software - Recent History </li></ul><ul><li>Architecture Models </li></ul><ul><li>RFP (significant time here) </li></ul><ul><li>Next Steps </li></ul>
  39. 39. Next Steps <ul><li>On-site demos (provide outline for the vendor to follow) </li></ul><ul><li>Select vendor(s) </li></ul><ul><li>Proof of Concept (preferably one vendor) </li></ul>

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