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THERE S A LOT TO PROCESS IN MANAGING THE BUSINESS OF LAW

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THERE S A LOT TO PROCESS IN MANAGING THE BUSINESS OF LAW

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    2. RM Software A to Z Grant W. James Sr. Project Manager A to Q vs. A-Z 6 months ago I would have bet the farm Why we’re not as far along is actually worth mentioning Good news is that we’re back on trackA to Q vs. A-Z 6 months ago I would have bet the farm Why we’re not as far along is actually worth mentioning Good news is that we’re back on track

    3. Presentation Roadmap RM Software Functionality DoD 5015.2 Certification RM Software - Recent History Architecture Models RFP (significant time here) Next Steps I have divided today’s presentation into 6 sections. I will begin with talking about what RM software is, and the basic functionality that it provides One quick slide on the DoD 5015 certification Next I will talk about what’s happening in the industry most recently I have several slides that talk about the different RM system architectural models – which is very important today I will spend a significant amount of time on the RFP process – questions to ask I will wrap up next steps (demonstrations, proof of concept). I have divided today’s presentation into 6 sections. I will begin with talking about what RM software is, and the basic functionality that it provides One quick slide on the DoD 5015 certification Next I will talk about what’s happening in the industry most recently I have several slides that talk about the different RM system architectural models – which is very important today I will spend a significant amount of time on the RFP process – questions to ask I will wrap up next steps (demonstrations, proof of concept).

    4. 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”

    5. Records to RM System

    6. 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 RM Software needs to look / work like Outlook – which is where everybody lives Compliance & Litigation Risks are the driver Increased government regulations (e.g. SOX) More explicit Federal Rules of Civil Procedure More reliance on information as an organizational asset RM Software needs to look / work like Outlook – which is where everybody lives Compliance & Litigation Risks are the driver Increased government regulations (e.g. SOX) More explicit Federal Rules of Civil Procedure More reliance on information as an organizational asset

    7. File Plan Builder Screen

    8. File Plan Builder (cont’d)

    9. RMS Screen Since I truly believe a picture is worth a thousand words, the next few slides give you a very brief glimpse into a typical RM SystemSince I truly believe a picture is worth a thousand words, the next few slides give you a very brief glimpse into a typical RM System

    10. Enhanced Search

    11. Presentation Roadmap RM Software Functionality DoD 5015.2 Certification RM Software - Recent History Architecture Models RFP (significant time here) Next Steps

    12. 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 Good source of RFP Questions Good source of RFP Questions

    13. Presentation Roadmap RM Software Functionality DoD 5015.2 Certification RM Software - Recent History Architecture Models RFP (significant time here) Next Steps

    14. RM Software – Recent History

    15. DM Purchase of Existing RM System

    16. RMS Vendors (some..not all) Many of the current DM / ECM vendors have acquired already existing RMS Many of the current DM / ECM vendors have acquired already existing RMS

    17. Presentation Roadmap RM Software Functionality DoD 5015.2 Certification RM Software - Recent History Architecture Models RFP (significant time here) Next Steps

    18. RMS Architecture Models Single Repository Replicated Delegated (Federated)

    19. Single Repository Model

    20. Replicated Model

    21. Delegated [Federated] Model Factors that influence the decision would be the organization’s size, the industry it operates in, it’s IT resources and their expertise, and the risk response needs Federated seems to be the direction systems are goingFactors that influence the decision would be the organization’s size, the industry it operates in, it’s IT resources and their expertise, and the risk response needs Federated seems to be the direction systems are going

    22. 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

    23. Presentation Roadmap RM Software Functionality DoD 5015.2 Certification RM Software - Recent History Architecture Models RFP (significant time here) Next Steps

    24. 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

    25. 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) General Terms & Conditions This Request for Proposal is not an offer to contract.  Vendor preparation and submission of a proposal does not commit xxx to award a contract to any Vendor, even if the Vendor complies with all requirements stated in the Request for Proposal. Vendor evaluation will be based on the best match between xxx requirements, references and Vendor’s capabilities, pricing, etc.  As part of the evaluation process, selected vendors will be asked to demonstrate any or all of the capabilities and quality of referenced products through scripted demonstrations. xxx may, during the proposal period, advise vendors of changes in the proposal.  All such changes shall become part of the proposal as if originally submitted. The pricing and terms and conditions stated in the Vendor’s response must identify an expiration date if one applies. The pricing proposal must be prepared in U.S. dollars. All expenses incurred in the proposal preparation shall be the sole responsibility of the Vendor. All materials submitted in response to the RFP shall become the property of xxxx and will not be returned unless the materials are otherwise governed by a confidentiality agreement. All vendors submitting a response certify that the information provided is true, correct and up-to-date.  Vendor also acknowledges that xxx will rely upon the information contained in the response to make business decisions and vendor selections.  Vendor agrees to notify General Terms & Conditions This Request for Proposal is not an offer to contract.  Vendor preparation and submission of a proposal does not commit xxx to award a contract to any Vendor, even if the Vendor complies with all requirements stated in the Request for Proposal. Vendor evaluation will be based on the best match between xxx requirements, references and Vendor’s capabilities, pricing, etc.  As part of the evaluation process, selected vendors will be asked to demonstrate any or all of the capabilities and quality of referenced products through scripted demonstrations. xxx may, during the proposal period, advise vendors of changes in the proposal.  All such changes shall become part of the proposal as if originally submitted. The pricing and terms and conditions stated in the Vendor’s response must identify an expiration date if one applies. The pricing proposal must be prepared in U.S. dollars. All expenses incurred in the proposal preparation shall be the sole responsibility of the Vendor. All materials submitted in response to the RFP shall become the property of xxxx and will not be returned unless the materials are otherwise governed by a confidentiality agreement. All vendors submitting a response certify that the information provided is true, correct and up-to-date.  Vendor also acknowledges that xxx will rely upon the information contained in the response to make business decisions and vendor selections.  Vendor agrees to notify

    26. RFP Format - Section 2 General Questions Pricing Questions E-mail Questions DM Integration Questions Over the next several slides I will discuss specific types of questions you may want to include on an RFP. I have grouped these questions into these 4 categoriesOver the next several slides I will discuss specific types of questions you may want to include on an RFP. I have grouped these questions into these 4 categories

    27. 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.

    28. 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)

    29. 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)

    30. 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

    31. 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

    32. 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)

    33. 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?

    34. 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?

    35. 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

    36. 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)

    37. Consolidate & Compare Proposals

    38. Presentation Roadmap RM Software Functionality DoD 5015.2 Certification RM Software - Recent History Architecture Models RFP (significant time here) Next Steps

    39. Next Steps On-site demos (provide outline for the vendor to follow) Select vendor(s) Proof of Concept (preferably one vendor) On-site demos… Of course IT should be involved in the on-site demos Make sure you know the capabilities of the person that will be performing the on-site demo. In a perfect world, the same person that performed your earlier on-line demo would be the same person. It is critical that somebody be present that can answer the technical questions. Sometimes (rarely) the individual doing the demo can do this. Typically not though. Provide a written outline to the individual that will perform the demo. Ensure they follow it. Modify the written outline slightly so that it can be used as a “scoring / notes” sheet for everybody to use during the demo. Select vendors… There should be one vendor ultimately selected. Closing…. So you can see how important it is to involve IT throughout the entire process. This is a system that they will have to support. IT will depend on your RM knowledge, and you will depend on their technology knowledge. On-site demos… Of course IT should be involved in the on-site demos Make sure you know the capabilities of the person that will be performing the on-site demo. In a perfect world, the same person that performed your earlier on-line demo would be the same person. It is critical that somebody be present that can answer the technical questions. Sometimes (rarely) the individual doing the demo can do this. Typically not though. Provide a written outline to the individual that will perform the demo. Ensure they follow it. Modify the written outline slightly so that it can be used as a “scoring / notes” sheet for everybody to use during the demo. Select vendors… There should be one vendor ultimately selected. Closing…. So you can see how important it is to involve IT throughout the entire process. This is a system that they will have to support. IT will depend on your RM knowledge, and you will depend on their technology knowledge.

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