RM Software: A to Z

THERE’S A LOT TO PROCESS IN

MANAGING THE BUSINESS OF LAW

WE’RE HERE TO GUIDE YOU

THROUGH EVERY STEP

RM Software A to Z

Grant W. James

Sr. Project Manager

Presentation Roadmap

• RM Software Functionality

• DoD 5015.2 Certification

• RM Software - Recent History

• Architecture Models

• RFP (significant time here)

• Next Steps

Definition

• Forrester Research defines RM System as…..

“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”

Records to RM System

RecordsRetention /Classification Rules

RMS

Physical Files

RM Software Functionality

• Manage physical records• Setup file plan / retention schedule• File / declare electronic records to the file plan• Lock down electronic records in native format • Search & retrieve• Place and process legal holds• Produce reports• Enforce retention & disposition policies to both

electronic & physical records• Built-in workflow to manage disposition approval

process

File Plan Builder Screen

File Plan Builder (cont’d)

RMS Screen

Folder

Folder

Folder

Enhanced Search

•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 •The ability to export the result list as an Excel spreadsheet

•Search within the current search result list

•Administrator configurable advanced search page which allow the default properties available for searching to be configured.







• Next Steps

DoD 5015.2 Certification

• 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

• Chapter 2 (Non-classified data), & Chapter 4 (Classified data)

Provides standards for:• Security• Implementing file plans• Scheduling records (time dispositions, event dispositions, time + event

dispositions)• Record metadata components (title, media type, format, dates, vital,

etc)• Declaring & filing records – including emails (e.g. file email &

attachment as single or separate records, etc)• Searching & retrieving of records• Transfer & destruction of records• Application of litigation holds







• Next Steps

RM Software – Recent History

Create

Assign Retention

FinalDisposition

Declare

Edit /Maintain

DM System

E-mail System

Records Retention /Classification Rules

RMSystem

DM Purchase of Existing RM System

A few examples:

•Open Text (Hummingbird) acquired LegalKey

•Computer Associates (CA) acquired MDY Filesurf

•Interwoven acquired Legal Trax

DM System

Retention /Classification Rules

RMSystem

RMS Vendors (some..not all)







• Next Steps

RMS Architecture Models

• Single Repository

• Replicated

• Delegated (Federated)

Single Repository Model


RMS

Application

Comments:

1. Application integration difficult

2. Moving records to the RMS may make them inaccessible & unsearchable

3. DM systems typically have better search & security

4. Searching / record retrieval / litigation hold processing easy

Records Records

Replicated Model


RMS

Application

Records

Application Application

Comments:

1. Records are copied

2. Additional storage capacity burden

3. Synchronization burden – especially DM’s, where versioning is used

4. Searching / record retrieval / litigation hold processing easy

Records Records

Delegated [Federated] Model

Retention /Classification Rules

RMS

Application

Records

Application Application

Comments:

1. Source application must be able to accept an application programming interface so the RMS can overlay the retention / classification rules on the source application

Records & their metadata remain in the source application

Before RMS Purchase

• Organization should be mature. Align roles, responsibilities as it relates to RM, budget, ownership, etc.

• Repository decision should be made (move records to central repository, or manage in place (federated))

• RM Policy / Procedures should already be developed & ready to implement







• Next Steps

RM System Selection Process

• Research / Identify RM System candidates• On-line demos• Create draft RFP with IT• Finalize / distribute RFP• Review & consolidate proposals• Eliminate candidates down to three• On-site demos• Select vendor• Proof of Concept

RFP Format – Section 1

• Cover page• Provide objective, company / firm background• Provide date of issue, date due, submit to, format, projected on-

site demo dates, whom inquires should be directed to• Discuss confidentiality• Provide General Terms & Conditions• Indicate specific date as to when notification of award is

expected• Request signature• Request vendor contact information (one person’s name,

phone, etc)• Provide information about company / firm & IT systems

(# of employees, e-mail platform, DMS, remote software, etc)

RFP Format - Section 2

• General Questions

• Pricing Questions

• E-mail Questions

• DM Integration Questions

RFP Questions – General (1)

• Request org chart• Planned implementation team?• Major version releases over the past two years and

planned revision releases in the next year?• Total number of installs past year?• Total number of installs past two years of comparable

companies / firms?• Willing to make arrangements to view an installation

in a comparable company / firm?• Ensure RFP responses are regarding current

released version.


• Provide information on vendor partners for hardware & complimentary software

• Re-seller of hardware? (bar-code scanners, printers, etc)

• What differentiates their RM system from major competitors

• Architecture choices available• List other repositories your product can

secure electronic content• List specific vendors that can be integrated

with to manage content in place (federated)


• What initiatives are being planned for the management of electronic records in future?

• Reporting options (to PDF from within, etc)• Describe retention capabilities• How is the reporting of material eligible for

retention handled?• How is final disposition & destruction tracked?• Describe litigation hold capabilities• Available web parts for Microsoft Office

Sharepoint Server (MOSS)

RFP Questions – Pricing (1)

• Provide pricing for software, hardware, & professional services

• Provide pricing structure, including maintenance, and what this does & does not include

• Estimate of required professional services (need to provide detail for them to answer)

• Standard billing rates by job title

RFP Questions – Pricing (2)

• 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)

• Provide sample maintenance agreement• API pricing• MOSS web parts pricing• Blackberry integration pricing• Integration w/other systems (financial, DM,

etc)• Include any pricing NOT listed in RFP

RFP Questions – Email (1)

• What e-mail platforms are supported?• What changes are made to the e-mail

environment for allowing users to declare e-mails to the RMS?

• Describe any configuration options for e-mail system interface

• Does your product integrate with e-mail archiving systems?

• How does the RMS take ownership of e-mails (e.g. is copy moved vs. original)


• Is it possible to link Outlook folders to folders in RM software?

• Is it possible to configure your RM system to delete the orig e-mail from e-mail store & only store in RMS?

• How are duplicate e-mails handled?• Does your product have a .pst management

tool?• E-mail filing from Blackberry or other similar

device?


• Can e-mails be declared in batches?• Provide limitations on single / batch e-

mail filing (size, total # objects)• Describe the utility that takes the

processing burden when filing e-mails• Is Outlook fully operational during the e-

mail declaration process?• Is users workstation operational during

the e-mail declaration process?

RFP Questions – DMS Integrations (1)

• What systems to you integrate with?• How is security applied to documents

that are declared as record to RMS from other systems?

• Is your DMS integration built through the DMS API or your own API?

• Describe the various options available for passive / rules-based declaration to the RMS

• Describe functionality available to end-users via web browser

• Any functionality other than e-mail available via Blackberry (e.g. searching?)

RFP Questions – DMS Integrations (2)

Consolidate & Compare ProposalsPart

Question / Topic

VENDOR 1 VENDOR 2

VENDOR 3

VENDOR 4 VENDOR 5 VENDOR 6

F.1

What e-mail platforms are supported for integration?

We currently support direct integration with Microsoft Outlook.

Microsoft Outlook and Lotus Notes are both integrated through the WorkSite product line.

MS Outlook and 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 & Lotus Notes

Microsoft Outlook, Novell Groupwise, and Lotus Notes. Email Archives Symantec Enterprise Vault, Zantaz EAS and CA Message Manager.

F.2

What changes are made to the Outlook environment for allowing users to declare e-mail messages to the RMS?

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.

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.

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.

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.

LegalKEY installs several DLL files and then adds in two toolbar buttons to the UI.

DLL Plug In







• Next Steps

Next Steps

• On-site demos (provide outline for the vendor to follow)

• Select vendor(s)

• Proof of Concept (preferably one vendor)

RM Software: A to Z

Technology

rfp questions

rfp questions

rfp questions

mail declaration

rm system

lotus notes

mail platforms

electronic