Craig Rhinehart

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Craig Rhinehart

• Records Systems Consultant

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Agenda

• Introduction
• FileNets New Records Management Product and
  Strategy
• Electronic Records Software Vendor Myths and How
  to Expose Them

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Records Management Strategy and Plan
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1st Generation Products

• What Happened?
• Users wouldnt use
• Hundreds of failed deployments too cumbersome
  to use
• Most systems used for paper records only
• Wrong technology model
• Client/server architecture with big desktop
  footprint
• High admin, training and support costs
• Separate records repository - cause of end-user
  confusion
• Not scalable or secure
• No ROI
• Niche product area with weak or unknown business
  case

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Electronic Records, Circa 1999

• What Problem Was Being Solved?
• Make declare/classify easier by embedding into
  desktop applications (e.g., Outlook, Word, etc.)
• Simplify the architecture and be repository
  agnostic
• Handle emails as records
• Explosion of electronic formats
• Larger electronic volume requirements, although
  NARA still advocates printing email and storing
  as paper record
• DoD 5015.2 emerges as standard feature set of RM
  applications
• Evolutionary Products Emerge
• Toolkit solutions emerge

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2nd Generation Products

• What Went Wrong?
• Users still wouldnt use
• Declare and classify still not embraced .even
  with 5 second or 3 click rules
• Rules-based classification better, but needs to
  be easier to use
• High ongoing cost model
• Integrating dedicated-embedded records engines
  into business applications
• Should be part of ECM product!
• Improved technology model, still no ROI
• NARA study concludes that auto classification
  is too costly and the learning curve is too steep
• Very tough sell. Small market with too few
  business drivers

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Electronic Records, Circa 2002

• What Problems Need to be Solved?
• Deluge of new regulations and corporate scrutiny
  in post Sarbanes-Oxley world
• Large ECM companies scramble to acquire and
  retrofit small RM cottage industry technologies
• Huge volumes and diverse content requirements
  compound the problem
• Declaration must be automated and enforced to
  ensure compliance with the new recordkeeping
  requirements
• Conclusion
• 3rd Generation products are needed
• Do we build a product to solve todays challenges
  or buy and retrofit one that solves yesterdays
  problems

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3rd Generation Products

• Why It Will Work!
• Users wont have extra work
• Declare and classify can be automated and
  invisibly enforced
• Retention and disposal management automation for
  the CRM
• Combination of ECM BPM RM
• Necessary to solve todays compliance
  requirements
• Connectivity to other repositories and business
  systems
• Enterprise scalable and secure
• Strong ROI - today and tomorrow.
• Process based solution will enable clients to
  get into and stay in compliance
• Process Management and Analytics essential to
  reducing ongoing cost of compliance

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Records Management Strategy

• Make Records Management a Key Part of ECM
• Provide increased value by tightly integrating
  Records Management with the FileNet P8
  architecture
• Leverage native content process management
  capabilities
• Process Management is a must have for
  Enterprise Records Management
• Automated records capture
• Automated disposition review approval
• Centrally manage records in FileNet non-FileNet
  repositories
• Focus on Key ERM Standards and Certifications
• Validated Requirements with Customers,
  Partnersand Analysts

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High-Level Capabilities

• Provide Records Management Features that Conform
  to
• DoD 5015.2-STD
• UK National Archives Revised 2002 Requirements
• other non-certifiable standards
• Support Automated Records Capture and Declaration
  
• Support the Management of Records across a
  variety of Information Systems
• Electronic records - images, documents, graphics,
  web content, business processes, meeting
  minutes, project plans, emails, etc.
• Physical records paper, chemicals, weapons,
  microfiche, etc.
• Databases and line-of-business systems
• Provide an ECM Framework to Manage Records in
  FileNet and Non-FileNet Repositories

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Records Manager Features

• Dedicated RM UI
• Central or departmentalized File Plan management
• Manage classification schemes, retention
  schedulesand record folders
• Web browser user interface
• Initiate Records Management Processes such as
• Starting a record review process for the approval
  of record destruction or transfer
• Notifying record owners about records that need
  to be disposed of ahead of time, confirm
  destruction or transfer
• Placing a hold on the disposal schedules at any
  time
• Reporting
• Full Search Capabilities

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Business User Features

• Fully Automated Record Declaration and
  Classification
• Semi-automated wizard driven
• Manual
• Declare Email Messages and their Attachments as
  Records
• Declare Records Natively from withinMicrosoft
  Office
• Request Creation of New Record Folders
• Privileged users may create their own
• Integrated Search Capabilities

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Electronic Records Management - Tomorrow

• What FileNet Must Prepare For?
• Sarbanes-Oxley and others will continue to evolve
• Companies will either throw bodies or embrace
  technology to address record keeping and
  compliance issues OR accept the risk of doing
  nothing
• Enforcement and ease of use will continue to
  emerge as key enablers for Enterprise ERM
  adoption. Declaration and classification must be
  automated and enforced by process to ensure
  compliance and user acceptance
• The ongoing cost of compliance will emerge as THE
  significant compliance v risk decision

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Electronic Records Management Vendor Myths
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Myth 1, Ease of Use

• What Vendors Say
• Our software is easy to use
• What it REALLY Means
• We think our software is easy to use

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Myth 1, Ease of Use

• What it REALLY Means to YOU
• All electronic records software packages require
  new skills to be learned.
• End-users must participate by declaring and
  classifying content (records) into the system.
  One rogue end-user represent a compliance,
  security or privacy risk.
• No way to guarantee records policy enforcement.
• Why?
• Older systems required software to be installed
  on each users desktop. Newer systems are better
  but still require end-user cooperation.
• No real benefit for the end-user.

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Myth 1, Ease of Use

• What You Can Do
• Key Questions to Ask
• Understand how end users will be required to put
  records into the system. See the demo. Get screen
  shot examples. Talk to existing customers.
• Understand how visible the technology is to each
  group of end-users. What use requirements are
  placed on all users.
• Dont for to assess what new skills are needed
  for RM staff.

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Myth 2, Autoclassification

• What Vendors Say
• Our software can automatically determine the
  type of content and file it in the proper
  location without human intervention
• What it REALLY Means
• We can make a decent guess at it

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Myth 2, Autoclassification

• What it REALLY Means to YOU
• Be prepared to spend a lot of time locating and
  re-filing electronic documents that were misfiled
  in the first place.
• Be prepared to spend time teaching the system
  how to autoclassify.
• Why?
• Autoclassification technology needs to learn
  how to file properly based on the relationship
  and interpretations of the involved words.
• Emails are simply too short in most cases to be
  autoclassified correctly.

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Myth 2, Autoclassification

• What it Also Could Mean
• That the technology being loosely described as
  autoclassification is really rules based
  classification.
• What this Means to You?
• Rules based is much more accurate way to classify
  records. --- but ---
• Be prepared to not become an expert in rules
  creation but also determining even down to the
  user level which rules apply to which user.

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Myth 2, Autoclassification

• What You Can Do
• Key Questions to Ask
• Understand what underlying technology is being
  used to autoclassify the content?
• Understand what is the learning curve and the
  scope of the content analysis learning exercise.
• Understand the best case and average case of
  autoclassification accuracy.
• Understand the content analysis document
  processing horsepower requirements.
• Understand how the system will handle short
  format emails?

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Myth 3, Repositories

• What Vendors Say
• Our software can manage the content you have in
  other repositories
• What it REALLY Means
• At best we can link to the object (doc, image)
  and track it

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Myth 3, Repositories

• What it REALLY Means to YOU
• The records are not really secure.
• This is also a privacy risk.
• Without manual or other automated procedures in
  place to protect the record, security and privacy
  are compromised.
• Why?
• Linking to the record does not protect from
  improper deletion or access.
• IT administrators, super users and others
  potentially have back door access to these
  records.

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Myth 3, Repositories

• What You Can Do
• Key Questions to Ask
• Understand what level of linking and protection
  to other repositories is actually achievable.
• Understand the back doors and develop procedures
  to eliminate those risks.
• Put business processes in place to control IT or
  admin access and better manage these records.

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Myth 4 Customer Claims

• What Vendors Say
• We have thousands of customers using this
• What It REALLY Means
• We could be lying --- or ---
• We may have thousands of customers but only
  some are really using in electronic records
  applications.

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Myth 4 Customer Claims

• What it REALLY Means to YOU
• Be careful be very, very careful.
• Many deployments failed, were abandoned or were
  used for only for paper records in spite of
  vendors claims.
• Why?
• The reality is that the market has been slow to
  develop and vendors tend to obscure the cold
  hard facts
• Most vendors do have electronic records
  customers, but very few deployments are large in
  scale.
• Most have been for 50-75 end-users.

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Myth 4 Customer Claims

• What You Can Do
• Key Questions to Ask
• Find out how many electronic records customers
  are actually deployed and for how long.
• Find out how many records are actually being
  declared and how the system is really working.
  Talk to IT and RM.
• Get more then just the standard reference. Get
  the ones that arent on the website or
  collateral.
• If its a new product, talk to existing customers
  of the companies other products.
• Make sure you can live with the skeletons.
• Question company size and stability, this is big
  business now.

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For more information

• Craig Rhinehart
• 703-868-0120
• Craig_at_Rhinehart.com