Vendor Review Team Final Report

Work Statement Sent to RMA Vendors

One of the most complex challenges for archivists and records managers when it comes to electronic records is the management and preservation of records created by desktop applications, such as e-mail, word processing, spreadsheet and presentation programs. Records Management Applications (RMAs) are the only tools that are currently available that appear to overcome these challenges, because this type of software is designed to classify and implement retention requirements for electronic records. However, this software is relatively new and untested.

The Michigan Department of Management and Budget (DMB) has decided to conduct a two year Records Management Application Pilot Project to test the use of this software in the "real world." The three primary goals of the pilot project are (1) to assess the ability of a RMA to classify and manage electronic records and execute retention requirements, including the identification and segregation of archival records; (2) to analyze the cultural impact that RMAs have on agency staff, information technology personnel, records managers and archivists; and (3) to conduct a business process analysis and evaluate the potential for RMAs to be used in an enterprise-wide setting.

The National Historical Publications and Records Commission (NHPRC) has awarded a grant to DMB for $190,255 for the purpose of conducting the pilot project. The two year pilot project will be conducted in two phases. The first phase of the project will use the DMB, Office of Support Services as the testing site, and the second phase will add the DMB Director’s Office as a testing site. The project is scheduled to begin May 1, 2000.

A multi-disciplinary vendor review team was assembled in October 1999 to select the software that would be used during the pilot project. The team unanimously recommended that the state of Michigan purchase Provenance’s ForeMost Enterprise version 2.0 (FMX2) for the pilot project. The team members consisted of Jim Kinsella, Records and Forms Management Division; Caryn Wojcik, State Archives of Michigan; Doug Case, Records and Forms Management Division; Jeff Stoney, Office of Information Technology Solutions; Rock Rakowski, Information Technology Services Division; Joe Chin, Office of Purchasing; Joyce VanCoevering, Office of Support Services.

The team believes that FMX2 best satisfies the project’s needs for software that fits our current technology architecture, that performs the functions specified in our RFI (attached), and that is user-friendly. The following is a timeline of the team’s activities that are the basis of this evaluation:

Timeline

Work Statement

General Statement/Objectives

The Michigan Department of Management and Budget (DMB) is seeking to purchase a Records Management Application (RMA) to classify electronic records created by desktop applications (such as e-mail, word processing, spreadsheets, etc.) and to automatically implement retention periods for the records stored in the RMA repository.

Overview

Michigan law requires that all public records, regardless of form or format, be identified on an approved Retention and Disposal Schedule that identifies how long the record is to be retained, and when it should be destroyed or transferred to the State Archives of Michigan for permanent preservation. No public records may be legally destroyed without the authorization of an approved schedule. Retention and Disposal Schedules are developed by the Records and Forms Management Division of the Department of Management and Budget (DMB).

Currently state employees are creating electronic records with desktop applications with a limited capability to manage, retain or destroy the records. Problems encountered include:

• records destroyed without authorization
• records retained too long
• historical records are not preserved
• deleted records are not consistently destroyed
• records are abandoned in obsolete software and are rendered inaccessible
• disorganized records
• lack of naming conventions
• lack of version control
• duplicate storage of records
• electronic records are stored in a variety of locations and drives
• file sharing is difficult
• users only have access to records in their custody

DMB is seeking a RMA that will require state employees to classify the electronic records they create according to the appropriate Retention and Disposal Schedule, will store the records in a centralized repository that will monitor appropriate access and will automatically implement retention requirements.

Description Of The Worksite

The RMA will be installed in two phases in two agencies so a pilot project can be conducted using the software to determine if it meets the State of Michigan’s needs. The first phase of the project (May 1, 2000 - April 31, 2001) would use the Department of Management and Budget, Office of Support Services (OSS) as the testing site. In addition to the Director’s Office, the OSS contains 3 divisions comprised of 22 service sections (located at six different sites in the Lansing area) that are responsible for providing a wide variety of services to state government agencies, including centralized printing, duplication, and management of publications; mail and delivery services; mainframe computer output printing; the disposal of surplus state property; operation of the federal surplus property program; confidential records destruction and paper recycling; and the provision of long and short-term storage space. The office is also responsible for microfilming and records management services. Approximately 56 division managers, professional staff, supervisors and secretaries from the OSS will participate as users in the pilot project.

The second phase of this project (May 1, 2001 - April 31, 2002) would add another testing site, the Director’s Office of the Department of Management and Budget. Approximately 20 people who report directly to the Director, including the Chief Information Officer, the Deputy Director, the Public Information Officer and the Legislative Liaison, will participate as users in phase II of the pilot project, as will their administrative support staff.

Functional Specifications

The successful vendor product must be certified by the U.S. Department of Defense (DoD) as meeting standard 5015.2 RMA Design Criteria Standard, and must address the issues raised by the U.S. National Archives and Records Administration in its letter to the DoD.

Of special concern are the RMA’s ability to:

• require that all electronic records be classified by the user
• implement event and activity-driven retention requirements
• completely destroy deleted records
• maintain metadata about records
• moderate access to users
• provide a seamless and user-friendly interface for users

Technology Environment

Currently technology in use by the test sites include:

• E-mail: GroupWise 5.5 is used by the server, clients will have GroupWise 5.5 by February 2000
• Desktop Applications: Microsoft Office 97 (projecting move to MS Office 2000 in 12 months)
• Network: Banyan Network 8.5 (projecting move to MS Windows 2000 server in 12 months)
• PC Types: 50% Dell (200 - 600 MHZ, 32 - 128 Mb ram); 50% Compaq (100 - 166 MHZ, 32 - 64 Mb ram)
• Desktop OS: Windows 95 and Windows NT
• Server Hardware: Compaq Proliant series
• Network OS: NT 4.0 ( projecting move to MS Windows 2000 in 12 months)
• Database Software: Microsoft SQL server 6.5 or 7.0

Training And Troubleshooting

The vendor will need to train approximately five staff to use the RMA software. These five staff will then train the users in the test sites. The vendor will need to train project staff about customizing the software (including field names, features, access rights, users accounts and the metadata that is captured and retained), designing file plans and inputting the Retention and Disposal Schedules as classification schemes. The vendor will need to train the project staff to perform various automated records management features in the software, including the disposition of records from the repository. The vendor will also need to work with the DMB Information Technology Services Division to assist with the technical installation of the software and any technical problems that are encountered.

Outcome And Deliverables

The State of Michigan Records Management Application Pilot Project has three primary goals. They are (1) to assess the ability of a RMA to classify and manage electronic records and execute retention requirements, including the identification and segregation of archival records; (2) to analyze the cultural impact that RMAs have on agency staff, information technology personnel, records managers and archivists; and (3) to conduct a business process analysis and evaluate the potential for RMAs to be used in an enterprise-wide setting.

If the two year pilot project is successful, DMB may recommend that all executive branch agencies (up to 50,000 users) acquire a RMA for the management of their electronic records. Legislative, judicial, federal and local government agencies, as well as academic and corporate entities, will be made aware of the progress of the pilot project through several published reports that are anticipated.

The vendor will be expected to deliver and install the RMA software, to assist with the customization of the software, to train project staff to use the software and train users, and to provide technical support to the Information Technology Services Division and project staff.

Vendor Proposal

A written proposal including the final price quote, a description of the vendor company and product, a list of software programs (including version numbers) that the RMA is compatible with, a description of the file formats used to create and maintain files and metadata, future product development plans (especially plans for web enablement), detailed user support provisions and the maintenance and licensing agreements shall be submitted to the Department of Management and Budget (DMB), Records and Forms Management Division by April 24, 2000. The software will be purchased during the month of May 2000. Installation and customization of the software and training of project staff must be completed no later than July 2000. If the first year of the pilot project is successful and on schedule, the purchase and installation of additional seats for the second test site would take place in April 2001.

Updated 9/9/2003

Michigan Historical Center, Department of History, Arts and Libraries
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