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.
1. Cohasset Associates, Inc.
NOTES
ERM Software
Historic Timeline, Lessons
Learned, Current Issues,
Future Focus
The End Goal of EDRMS
In Order for Disposition to Work
1. We organize our
company into
business activities.
2. We assign official
retention policies Corporate Repository
p p y
to business activities. Business Activities
3. We must somehow match Admin Operations
documents to business
activities correctly.
HR Accounting Mfg
Delete Delete Delete
after after after
8 years 5 years 15 years
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
2012 Managing Electronic Records Conference 2.1
2. Cohasset Associates, Inc.
NOTES
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 comply py
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
2012 Managing Electronic Records Conference 2.2
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NOTES
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
IBM
FileNET
Documentum
OpenText
TRIM keeps going
EDRMS = ECM + RM
ECM RM
Repository Retention Schedule
Place to store records What to delete, when?
Search/Retrieval Apply retention rules to all documents
Security Control Legal Holds
Who sees what? Apply holds as required
Version Management Declaration
Tracking document production/versions “Lock Down” document to prevent
deletion
Collaboration
Delete only via retention process
Who does what to the document?
Classification
Workflow
Right Retention rule applied to
Defined Process for document
documents
creation/approval
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!
2012 Managing Electronic Records Conference 2.3
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NOTES
Suddenly….
“LOTS” of ERM “success”
Definition of success
ECM Sold & Installed with RM function
Big assumption
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”
Sea ess
Seamless RM within ECM platforms
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 success
y
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
2012 Managing Electronic Records Conference 2.4
5. Cohasset Associates, Inc.
NOTES
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.
3 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
Declare that Document!
It s
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 + M
Qualify/Classify/Metadata (QCM)
Field 1
A
Field 2
A1 A2
Field 3
A11 A11
Field 4
Field5
WIP
Classify
y
Qualify Record
Metadata
Reference
Copyright RIMtech 2012
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Classification Errors
Errors Rapidly Accumulate!
No way to correct
MUST maintain accuracy above acceptable threshold
Cumulative Effect of Classification Errors
Declared Accuracy Classifications
Day
Records % Right Wrong
Mon 5,000 70% 3,500 1,500
Tue 5,000 80% 4,000 1,000
Wed 5,000 60% 3,000 2,000
Thu 5,000 70% 3,500 1,500
Fri 5,000 75% 3,750 1,250
Cumulative Total 17,750 7,250
Effect of Classification Accuracy
Disposition
Confidence
120
100 Confidence
% Confidence in Disposition
Range
80
60 Disposition
Confidence
40
20
0
0 20 40 60 80 100 120
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?
Disposition
Case File Handling
2012 Managing Electronic Records Conference 2.6
7. Cohasset Associates, Inc.
NOTES
SharePoint vs F1000 vs 5015.2
US DoD 5015.2
(168)
Fortune 1000
(105)
SharePoint Out Of Box
(72)
Copyright RIMtech 2012
Case Vs Subject
Delete
02/06 02/07 02/08 02/09 02/10 02/11
Subject File
Travel Requests
Delete After 4 years
Delete
02/03 02/04 02/05 02/06 02/07 02/08
Case File
Contract / Safe -Tee
Delete 2 years after contract end
Copyright RIMtech 2012
Deletion vs Disposition
Deletion Disposition
Machine-Driven Process-Driven
Everything assumed to Human Oversight Assumed
be perfect Authoritative Source =
No Authoritative Source Retention Schedule
Delete when 2 years old What is approved by Whom
Initiation by machine Initiation by People
2012 Managing Electronic Records Conference 2.7
8. Cohasset Associates, Inc.
NOTES
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%+
Little Progress to date
Major point of failure
Understanding RIM
(Records & Information Management)
(5) Huge Changes
1. 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 Deleted
4.
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
2012 Managing Electronic Records Conference 2.8
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NOTES
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 Need to be
Here Here
Transform Users Perception of RIM
Typical Attitude Target Attitude
Recordkeeping is not important Recordkeeping is very important
This does not involve me to us
This is just (another) ignored I will do my part
policy The organization is serious about
It does not matter if I ignore this this
Nobody else cares, why should I? There are consequences if I
ignore this
Others seem to care about this!
Changing the Perception
4 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.
2012 Managing Electronic Records Conference 2.9
10. Cohasset Associates, Inc.
NOTES
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 Need to be
Here Here
File Plan Retention Schedule
Classification Retention Rule 1
Safety
Safety
Retention Rule 2
Doc 1
Inspections
Rule Inspections
1 Retention Rule 3
Safety Doc 2 Retention Rule 4
Policy Incidents
Rule
3
Retention Rule 5
Safety Finance
Doc 3
Inspections
p Retention Rule 6
Rule
1
Budgets Retention Rule 7
Budgets Doc 4
Rule Retention Rule 8
5 Audits
Travel Retention Rule 9
Reports Doc 5
Travel
Rule
8 Retention Rule 10
Travel Doc 6
Policy
Requests Retention Rule 11
Rule
8
Retention Rule 12
Reports
Classification Accuracy
How to Measure
Statistical Sampling
Delegate to departments
Aggregate organizational total
Classification Accuracy Sample Sizing
Sample Size
Declared
2% 5% 10% 15%
100 2 5 10 15
500 10 25 50 75
1,000 20 50 100 150
5,000 100 250 500 750
10,000 200 500 1,000 1,500
2012 Managing Electronic Records Conference 2.10
11. Cohasset Associates, Inc.
NOTES
(SAC)
System Assisted Classification
Content Analysis
Based on Sophisticated Content Search
technology
Goal Zero User Input
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
0
Copyright RIMtech 2012
2012 Managing Electronic Records Conference 2.11
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NOTES
OpenText
Automatic Classification
Faceted Taxonomy
SAC
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 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
Books/Seminars/Courses
We are Need to be
Here Here
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NOTES
RIM Administration
Someone 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
Two Control Columns
Load in File Plan
Configure all aspects of Recordkeeping RIM ECM
capabilities
Ongoing measurement of (3) measures
Carry out Disposition
Go-To resource for all things RIM
Product related
Deep product RIM know-how
Mastering the RIM Capabilities
168+ 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
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.
6 Auditing
7. Lifecycle Management, Codes, Phases
8. Search Queries
9. Legal Holds
10. Disposition
11. Physical Records Management (PRM)
12. Reporting
Invest in Learning
2012 Managing Electronic Records Conference 2.13
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RIM Effort/Contribution
Do You Have Sufficient Time?
RIM Effort (Days/Week)
Stage # Step
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
1 Project Governance 1
2 Corporate Policies 1 2 1 1 0.5
Organization
3 Perception Transformation 0.5 0.5 1 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5
4 Plan/strategy 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5
5 Records Foundation 0.5 0.5 0.5 0.5 0.5
6 RIM Administration 1 1 1 1 1 4 2 2 2 2 1 1
Procedures
7 Business procedures 0.2 0.2 0.2 0.2 0.2 0.2 0.2
8 Repository Governance 0.5 0.1
9 Sandbox 1 2 2 2
10 Declaration 1 1 1 1
Technology
11 End User Training 1 1
12 Pilot 0.5 0.5
TOTAL 4.7 4.7 4.2 4.7 4.7 4.7 4.3 5 5 5 4.5 4.5
Copyright RIMtech 2012
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 Need to be
Here Here
2012 Managing Electronic Records Conference 2.14
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NOTES
Measurement Metrics
Critical 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.
3 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
Actual
Classification
target
Actual
Declaration
target
Actual
Qualification
target
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Department Corporate
Metric
Finance HR Engineering Legal Average
Target Actual Target Actual Target Actual Target Actual
Qualification 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%
Copyright RIMtech 2012
Where to From Here?
Need progress on the Big Four
Start with Measurement
ARMA is contributing
Book
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
2012 Managing Electronic Records Conference 2.15
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NOTES
Reaching Our Goals
Disposition
This cannot be done unless the
Disposition – The End Game Goal bottom (3) layers happen!
Classify Them (correctly) Third
How do we make sure classification
accuracy rate > 95%?
How are we going to get 1,000 users
Declare the Records Second to do this, reliably and consistently?
Qualify First Which Documents are Records?
Three Stage Strategy
Te c h n o lo g y Third Implement the new
procedures in the EDRMS
B u s in e s s Change our Business
P ro c e d u re s Second
Procedures to fit the new
rules
C o r p o r a t e P o lic y First Change the rules of our
Business
Mandates / Regulations
A New Approach to ERM Implementation
11. User Training 12. Pilot
Stage 3 - Technology
9. Sandbox 10. Declaration
7. Business Processes 8. Repository Governance
Stage 2 – Procedures
5. Records Foundation 6. RIM Administration
3. Perception Transformation 4. Plan/Strategy
Stage 1 - Organization
1. Project Governance 2. Corporate Policies
2012 Managing Electronic Records Conference 2.16
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NOTES
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/Cultural
Change
A permanent Change, NOT a
project!
RIM Personnel need more
resources, not less
2012 Managing Electronic Records Conference 2.17
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NOTES
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 Achieve
1.
1 RIM Admin Proficiency
Proficienc
2. Application of measurement metrics
3. Organizational/Cultural Change
4. 85%+ Classification accuracy
We are Need to be
Here Here
Bruce Miller
bruce.miller@rimtech.ca
www.rimtech.ca
613-226-8468
2012 Managing Electronic Records Conference 2.18