m12s02 - erm software: historic timeline, lessons learned, current issues, future focus
DESCRIPTION
From the MER Conference 2012 Speaker: Bruce Miller The first Electronic Recordkeeping software emerged in 1991. The US DoD 5015.2 standard has been in place since 1997, and is now undergoing its third major revision. Some 60+ product certifications against the standard have been granted to date. Today approximately 20 different products remain certified. These products continue to be sold around the world. Yet successful deployment is nowhere near expectations. Hear Bruce's unique perspective as he reviews the successes and frustrations of the very technology he invented and has evangelized for two decades. In this session, learn: - Why we have failed to realize the promise of ERM software, - What went wrong, - What have we achieved, - Where have we failed to meet expectations, - Why do we still seem unable to make it work, and - Where we are now. Bruce will make the case that in order to achieve the adoption rates we expect, change will have to come from all four stakeholder groups: - RIM practitioners, - Software vendors, - IT managers, and - Business leadership. Hear Bruce's compelling vision for a way-forward roadmap for a more successful electronic recordkeeping future.TRANSCRIPT
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
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2012 Managing Electronic Records Conference 2.2
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
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2012 Managing Electronic Records Conference 2.3
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!
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NOTES
2012 Managing Electronic Records Conference 2.4
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
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2012 Managing Electronic Records Conference 2.5
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
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Qualify
y
Record
Reference
Metadata
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2012 Managing Electronic Records Conference 2.6
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
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2012 Managing Electronic Records Conference 2.7
SharePoint vs F1000 vs 5015.2
US DoD 5015.2(168)
Fortune 1000(105)
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SharePoint Out Of Box(72)
Case Vs Subject
Travel RequestsDelete After 4 years
02/1102/1002/0902/0802/0702/06
Delete
Subject File
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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
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NOTES
2012 Managing Electronic Records Conference 2.8
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
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NOTES
2012 Managing Electronic Records Conference 2.9
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.
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NOTES
2012 Managing Electronic Records Conference 2.10
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
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2012 Managing Electronic Records Conference 2.11
(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
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0
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2012 Managing Electronic Records Conference 2.12
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
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NOTES
2012 Managing Electronic Records Conference 2.13
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
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2012 Managing Electronic Records Conference 2.14
RIM Effort/ContributionDo You Have Sufficient Time?
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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
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NOTES
2012 Managing Electronic Records Conference 2.15
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
Copyright RIMtech 2012
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
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NOTES
2012 Managing Electronic Records Conference 2.16
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
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NOTES
2012 Managing Electronic Records Conference 2.17
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
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NOTES
2012 Managing Electronic Records Conference 2.18
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