WISDM Overview Presentation ARMA Gaithersburg January 16 2008

WISDM Overview Presentation ARMA Gaithersburg, January 16, 2008

The purpose of today’s briefing is to discuss OCC’s new Document and Records Management system (WISDM) ü Introduction to WISDM ü Business Need for WISDM ü Key Factors in Implementing WISDM ü Critical Success Factors ü Lessons Learned 2

WISDM is a document and records management tool that facilitates supervisory activities, search and retrieval, and record-keeping Document Manager (DM) Records Manager (RM) DESCRIPTION 4 Stores bank examination-related documents in a secure central repository 4 Manages bank examination-related records in a secure central repository 4 Allows users to locate documents/records though sophisticated search capabilities 4 Plans for long-term access to electronic records 4 Enables a group of people to store documents in a central location, describe them using consistent criteria, and locate them using those criteria 4 Automates records management functions 4 Applies standard conventions for metadata, taxonomy and document naming 4 Provides standard templates for key documents with system interfaces to WISDM 4 Uses role-based permissions and document classifications based on the business unit’s Content Security Model 4 Applies existing records retention and records management policies to electronically stored records 4 Disposes of final records in compliance with Records Retention Schedule 4 Allows timely electronic record response to litigation or congressional inquiry and suspension of relevant document and records 4 Improves Vital Records management 3

WISDM fills OCC’s business needs for electronic document and records management WISDM Business Drivers WISDM Contributions 4 OCC customers requested functionality to manage electronic-format documents and records 4 Leverages technology as a key enabler for ongoing supervision, examination, and recordkeeping 4 OCC needed a secure, central place to store electronic examination documents for consistent retention and security across all documents 4 Provides an access tool to standardize and streamline supervisory business processes 4 OCC needed the ability to locate electronic documents quickly and easily when requested by FOIA, Congress, or for legal discovery 4 OCC is required to ensure that recordkeeping policy is applied correctly and consistently 4 Ensures efficient document and records management, storage, retrieval and disposition 4 Increases security of bank and supervisory documents and records 4 Improves collaboration and sharing between the community of examiners and supervisors 4 Large Bank Supervision required new and improved tools to standardize and streamline their business processes, increase the security of bank supervisory data and documents, and provide for improved collaboration and sharing of data among examiners (current) and between federal financial regulatory agencies (future) 4 Complexity of large bank operations and the current regulatory environment 4 Enabling and improving collaboration across LBS is critical to allowing the shared insight gained by years of practical, first-hand supervisory experience with banks 4

WISDM manages the full lifecycle of each document from creation through business use, to approval as a record, to retention and disposition of the record Manage Create New WISDM Document with Profile Search Collaborate Approve Retain & for documents using metadata on documents securely documents to become records Dispose Official OCC Records Share Version Delete documents via email documents for tracking documents if necessary WISDM users include Large Banks Supervision (LBS) and Records Management business units ü LBS Examiners ü LBS Support Staff ü LBS Management ü Records Management Staff 5

The business unit collaborated with IT in a joint team over two years to implement WISDM according to its needs WISDM Development Timeline 2003 -2004: Initial concept development and consensus building for an electronic document manager Decision to Infrastructure remove evaluation begins Workflows 2005 Q 2 Q 3 Stakeholders Requirements Identified & Developed Executive Goal Clarified Records Management functionality added Infrastructure not ready 2006 Q 4 Q 1 Q 2 Q 3 2007 Q 4 Q 1 Q 2 Q 3 Q 4 Pilot Deployment Iteration 2 Iteration 1 Built to Design Specification Full System Built to Design Specification Refresher training Full Deployment End user training Deliberate, Focused Cultural Change Management Activities 6

The joint team employed a holistic approach to system development - integrating technology, process and people for a complete solution ü Commercial off the Shelf Software ü Do. D 5015. 2 STD Compliant ü Interface with legacy system and Active Directory Technology People ü Senior Leadership Support ü User-based Requirements ü Cross-functional Team ü Continuous Communication, User Outreach, Education Process ü Rational Unified Process (RUP)/SDLC ü Integrated Master Schedule ü Multiple Workstreams ü Consolidated Requirements ü Phased Deployment 7

OCC chose a Commercial Off-The-Shelf (COTS) product to simplify development 4 WISDM is a configured installation of Open Text’s e. DOCS tool 4 Open Text e. DOCs is a DOD 5015. 2 -compliant, industry-standard document and record management tool used by multiple government agencies as well as private industry 4 WISDM interfaces with a legacy data management system and Active Directory 4 WISDM configuration of e. DOCs is limited - Out-of-the-box functionality is stable, vendor-supported and proven - Provides 95% of desired functions, remaining 5% configured included document profiles and RM records schedule - No customization - Minimizes deployment and upgrade costs 4 Limited changes allowed swift implementation of desired functions 8

Development followed a Rational Unified Process (RUP)-based model for creating the new system, while mapping to OCC’s SDLC Modified RUP-based model for WISDM Development Inception Elaboration Construction Transition Iterative ü Agree on system goal among all stakeholders ü Agree on risks, costs, and schedule ü Identify critical system functions ü Identify high-level system structure ü Validate and baseline structure ü Identify specific functional and technical requirements ü Address risks ü Analyze system functionality ü Develop system functionality ü Test system ü Clarify any remaining requirements ü Train end-users ü Make system available for endusers ü Move to operations and maintenance mode ü Agree that system is complete as required Ongoing Communication, User Outreach and Training 9

Multiple workstreams contributed start-to-finish support to system development WISDM Workstreams Responsibilities 1 Requirements & Design ü Requirements management and tracking (2 tracks – DM and RM) 2 Development & Integration ü System build and integration with existing OCC systems, defect correction 3 4 Change Management & Training ü Planning and delivering cultural change management and training efforts Testing ü Test Case/Script development, testing, defect identification and tracking 5 Operations and User Support 6 Project Management & Oversight 7 Security ü Front-line support for WISDM users ü Delivery coordination, risk management, EVM budget and schedule management, and CMMI tracking ü Ensuring technical security of system 10

The joint team drew on requirements both internal and external to the business units to develop WISDM as a scalable system for enterprise-wide use External Requirements Internal and External Requirements Initial Document Manager (DM and RM) Functional Requirements OCC Chief Counsel Legal Requirements OCC Taxonomy Requirements Integrated WISDM Technical and Functional Requirements NARA Records Retention Requirements DOD 5015. 2 Requirements 11

To ensure successful rollout and user acceptance, the joint team deployed WISDM in two phases with interim adjustments Pilot Deployment 4 July 2007 4 Recipients: 4 - Approx. 50 users in 2 locations Accomplishments - Proved successful installation - Obtained user feedback for final release at full deployment - Showed users a successful rollout Full Deployment 4 September-October 2007 4 Recipients: 4 - Approx. 500 users in 20 locations Accomplishments - Rolled-out new WISDM release incorporating pilot feedback - Deployed WISDM to all end-users - Gave benefit of pilot experience to deployers and end-users 12

OCC leaders initiated, sponsored and supported the WISDM effort, influencing their teams to participate in development Flow of WISDM Sponsorship 4 Provided WISDM functional requirements 4 Participated in WISDM Design Sessions Senior Leadership Bus. Unit Mgmt 4 Championed drive for document/record management system 4 Provided time and resources to create WISDM 4 Consistently communicated support for WISDM 4 Mandated use of WISDM PMO Business User Group WISDM Training Champions (Change Agents) End-users 4 Developed requirements 4 Provided staff resources to provide input to WISDM 4 Consistently communicated outreach for WISDM 4 Provided consistent project management 4 Participated in user acceptance testing 4 Assisted in training WISDM 4 Provided end-user feedback on WISDM 4 Communicate WISDM information to end users 4 Add documents to WISDM 4 Communicate issues to service desk 4 Use WISDM to locate and manage documents 13

Representatives from the business unit assisted in WISDM requirements development and validation 4 Business User Group contributed time, effort, and industry expertise to the design of the WISDM system, participating in requirements development and joint application design sessions 4 Training Champions (change agents) participated in user acceptance testing to confirm requirements 4 Training Champion presence within bank teams provided a channel for feedback from end-users 4 RM conducted its own focus groups to determine enterprise-wide records management requirements and to ensure WISDM’s future scalability for records management 14

Consistent communications and user outreach moved users through system adoption to ownership 4 Stakeholder analysis and creation of a Communications Plan and Stakeholder Engagement Strategy determined who needed to be informed, key messages, and frequency 4 Regular communications and user outreach efforts (e. g. , monthly memorandums, demonstrations) kept users engaged early and often throughout system development 4 Post-deployment ongoing communications include emailed Tips & Tricks and regular Training Champion teleconferences 15

Consistent, task-focused learning enabled users to integrate WISDM into their work 4 Learning development directed hands-on practice for system tasks essential to the user’s job role 4 Varied training mechanisms addressed a range of learning preferences, from self-paced e-learning to instructor-led training (ILT) 4 Training delivery was a multi-phase effort, educating users in stages culminating in an intense drive just before deployment 4 Ongoing learning efforts include refresher computer-based training (CBT), WISDM Webinar series 16

WISDM’s success can be attributed to the technology, processes and people used to implement it “ 75% of e-business initiatives fail. ” -Gartner Group Study, 2005 Why was WISDM successful? Cross functional sponsorship and management 4 Sponsorship by agency’s key division (for OCC: Large Bank Supervision) 4 Close collaboration between IT and business unit 4 Active senior leadership sponsorship and ongoing support 4 Assignment to WISDM development of appropriately-scoped, dedicated resources with the technical and business-oriented skill-sets Industry-standard software 4 Careful measurement of potential solutions against requirements 4 Use of industry-standard, Do. D 5015. 2 compliant tool 4 Tool provided full document/records management functionality with little customization User-initiated requirements Sustained cultural change management 4 Development and validation of requirements by end-users 4 Careful technical change management and control throughout development lifecycle 4 Sustained cultural change management effort to promote adoption and ownership, beginning from project inception 4 Continuous analysis of barriers to change and mitigating efforts 4 Liaison between users and integrators to ensure user concerns appropriately communicated 4 Use of change agents (e. g. , Training Champions) to “cascade” change through organization 17

The joint team took several lessons away from the development effort; key items appear here What have we learned? Collaboration 4 Build solid relationships among key project leaders 4 Establish and agree upon clear roles and responsibilities of key project leaders Risk Management 4 Develop and adhere to schedule / structured methodology for system development; don’t underestimate time required for planning 4 Employ phased deployment to catch and resolve early issues before general deployment 4 Clearly define procedures for escalating risks to appropriate stakeholders 4 Clearly state impact of risks on schedule, costs and product quality Scope Management 4 Make technical and functional requirements specific, testable, and measurable 4 Build in bite-sized pieces with the end goal of enterprise-wide use in mind 4 Be realistic about what can be reasonably implemented and absorbed by the target user community 4 Recognize that new issues will continue to arise, and work them into requirements and ongoing development (future enhancements) User Involvement 4 Understand address stakeholders’ needs and comfort levels before system deployment 4 Provide frequent opportunities for feedback on prototypes and requirement documentation 4 Involve stakeholders early and often 18

Next steps for WISDM include quarterly updates and expansion to enterprise-wide document and record management WISDM is currently in use by two OCC business units, Large Banks Supervision and the Records Management group, with plans to expand to an enterprise-wide solution Quarterly releases will continue to enhance WISDM functionality Other business units within OCC have requested access to store and locate documents in WISDM External agencies have expressed interest on obtaining access to WISDM for research purposes WISDM faces a few challenges in the road ahead: • Electronic signatures for official records • Integration of new technologies to add capabilities such as workflows, Smart Documents, and new interfaces • Improving performance across a geographically distributed user base • Long-term preservation of records 19

Questions? Susan L. Sallaway, CRM Office of the Comptroller of the Currency (OCC) 202 -874 -5076 Susan. sallaway@occ. treas. gov 20