THERES A LOT TO PROCESS IN

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THERES A LOT TO PROCESS IN MANAGING
THE BUSINESS OF LAW
WERE HERE TO GUIDE YOU
THROUGH EVERY STEP
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• RM Software A to Z
• Grant W. James
• Sr. Project Manager

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Presentation Roadmap

• RM Software Functionality
• DoD 5015.2 Certification
• RM Software - Recent History
• Architecture Models
• RFP (significant time here)
• Next Steps

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Definition

• Forrester Research defines RM System as..
• Software for managing long-term document
  archives through each documents 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

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Records to RM System
Physical Files
RMS
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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

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File Plan Builder Screen
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File Plan Builder (contd)
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RMS Screen
Folder
Folder
Folder
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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.

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Presentation Roadmap

• RM Software Functionality
• DoD 5015.2 Certification
• RM Software - Recent History
• Architecture Models
• RFP (significant time here)
• Next Steps

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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

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Presentation Roadmap

• RM Software Functionality
• DoD 5015.2 Certification
• RM Software - Recent History
• Architecture Models
• RFP (significant time here)
• Next Steps

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RM Software Recent History
E-mail System
DM System
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DM Purchase of Existing RM System
DM System

• A few examples
• Open Text (Hummingbird) acquired LegalKey
• Computer Associates (CA) acquired MDY Filesurf
• Interwoven acquired Legal Trax

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RMS Vendors (some..not all)
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Presentation Roadmap

• RM Software Functionality
• DoD 5015.2 Certification
• RM Software - Recent History
• Architecture Models
• RFP (significant time here)
• Next Steps

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RMS Architecture Models

• Single Repository
• Replicated
• Delegated (Federated)

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Single Repository Model
RMS

• Comments
• Application integration difficult
• Moving records to the RMS may make them
  inaccessible unsearchable
• DM systems typically have better search
  security
• Searching / record retrieval / litigation hold
  processing easy

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Replicated Model

• Comments
• Records are copied
• Additional storage capacity burden
• Synchronization burden especially DMs, where
  versioning is used
• Searching / record retrieval / litigation hold
  processing easy

RMS
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Delegated Federated Model
RMS

• Comments
• 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
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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

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Presentation Roadmap

• RM Software Functionality
• DoD 5015.2 Certification
• RM Software - Recent History
• Architecture Models
• RFP (significant time here)
• Next Steps

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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

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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 persons
  name, phone, etc)
• Provide information about company / firm IT
  systems( of employees, e-mail platform, DMS,
  remote software, etc)

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RFP Format - Section 2

• General Questions
• Pricing Questions
• E-mail Questions
• DM Integration Questions

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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.

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RFP Questions General (2)

• 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)

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RFP Questions General (3)

• 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)

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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

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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

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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)

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RFP Questions Email (2)

• 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?

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RFP Questions Email (3)

• 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?

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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

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RFP Questions DMS Integrations (2)

• Describe functionality available to end-users via
  web browser
• Any functionality other than e-mail available via
  Blackberry (e.g. searching?)

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Consolidate Compare Proposals
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Presentation Roadmap

• RM Software Functionality
• DoD 5015.2 Certification
• RM Software - Recent History
• Architecture Models
• RFP (significant time here)
• Next Steps

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Next Steps

• On-site demos (provide outline for the vendor to
  follow)
• Select vendor(s)
• Proof of Concept (preferably one vendor)