1
2	Learning Objectives Understand why an Information Lifecycle Management approach is critical to effective RIM Learn why privacy and data security laws must be part of a RIM program Learn the newest strategies in Email management Understand how RIM is incorporated into a content management system Discover the essential elements in any RIM program
3	Agenda – Part One Information Lifecycle Management How to Achieve Business Benefits and ROI from Your RIM Solution ECM and RIM – The Touch Points and How They Work Together
4
5	Information Lifecycle Management IM is a continual process IM is more than Records Management i.e. privacy considerations IM incorporates policies and processes to meet preservation obligations IM manages documents as well as records
6	Not all data is equal. Store it accordingly.
7	Information Management Privacy Considerations Federal Privacy Legislation HIPAA, GLB FACTA – Consumer Disposal Rule State Data Breach Consumer Notification Laws Texas SB122 (Sept. 1, 2005) - Must implement reasonable procedures to protect sensitive personal information. Destroy by shredding, erasing or making it unreadable or undecipherable. Similar duty in Arkansas, Nevada, Montana See National Conference of State Legislatures for list of state laws http://www.ncsl.org/programs/lis/cip/priv/breach.htm
8	Information Management Privacy Considerations Include a definition of “Personal Information” (or “Personally Identifiable Information”) in the Legend. Include a definition of “Secure Disposal” in the Legend (“Shredding, erasing or otherwise modifying the information or data to make it unreadable or undecipherable through any means”). Include a column in the schedule to indicate whether the records in the class/series may require Secure Disposal.
9
10	Definitions Electronic Records Management (ERM) Using automated processes to manage any records regardless of format: paper, electronic, microform, etc. Electronic Recordkeeping (ERK) Using automated processes to manage the electronic records of an organization. ERK should preserve the content of electronic records, and their context and structure, over time.
11	Business Benefits of Electronic Recordkeeping Enables future accessibility of records in legacy systems, including the migration of records throughout their lifecycle as systems, software, and storage media change. Ensures the authenticity and reliability of records, helping ensure the security of critical information resources. Can aid in business dispute resolution, providing fast access to records of an organization’s transactions with customers, suppliers, partners, etc.
12	Business Benefits of Electronic Recordkeeping Can improve productivity, especially if ERK is incorporated into overall improvements to the organization's workflow involving record creation and management. Provides long-term cost savings, reducing the need for parallel recordkeeping systems (i.e., paper and electronic). Reduces cost of compliance with Freedom of Information Act (FOIA) requests (for government agencies) and legal discovery for all organizations.
13
14	Old Corporate Priority = Efficiency
15	New Corporate Priority = Both Efficiency and Compliance
16	The Four “P”s of Content Management and Records Information Management Productivity & Processes: Content Management addresses issues of speed, efficiency and workflow improvement Policies & Procedures: Records Information Management addresses required disciplines of legal/regulatory enforcement & record disposition
17	Content Management and Records Management: A Simplified Comparison CM Key Benefits: Improved Employee Efficiency Elimination of Redundant Processes Elimination of Paper and Associated Storage/ Retrieval Costs Improved Access to Information (Electronic) RIM Key Benefits: Reduction in Potential Risk of Records-Related Litigation Improved Access to Information (esp. Hardcopy) Satisfaction of requirements mandated by Government or other Agencies (e.g., DoD 5015.2, HIPPA, CFR 21.11, Freedom of Information Act)
18	Content and Records Systems by Function Content Management Scan Documents Classify & Index Electronic Records & Email Search & Report Manage Workflow & Collaboration Act as Repository for Electronic Records Declare Electronic Documents as Records when Inactive
19	Where does Records Management Fit? A primary module typically within an ECM application set
20
21
22	Agenda – Part Two Effective Electronic Records Management Strategies How to Choose the Right RIM Technology Solution Five Essential Elements of Records and Retention Management
23
24	Effective Electronic Records Management Evidence of business transaction or communication How long? It depends… Legal requirements Preservation obligations Records management best practices
25	Definitions: What is a Record? A record is… Information in any tangible or electronic medium that is created, received, or used in the transaction of business, or that the organization is legally obligated to maintain. Electronic Records… NARA Final Rule on the Disposal of Transitory Email Records effective March 23, 2006 Authorizes agencies to dispose of short-term email records (i.e., those with a retention period of 180 days or less) without creating a separate paper or electronic recordkeeping copy. Agencies may maintain and delete transitory email records from their live email systems without transferring these records to a recordkeeping system, provided that (1) users do not delete any records before the expiration of their NARA-approved retention period, and (2) the email system's automatic deletion rules ensure the preservation of records for the duration of their NARA-approved retention period.
26	Definitions: Transitory Record A transitory record is… A record that has business value for only a short period, up to a maximum of two years, and that is not required to be kept under a statute or regulation. Transitory records should be discarded once they are no longer needed, and should never be kept for more than [one year.] Transitory records are typically not listed on the Retention Schedule. Examples include phone messages, meeting and departmental notices, calendars, information relating to business proposals that are abandoned, and drafts of documents that have been superseded.
27	E-mail Insights – True or False? E-mail systems (i.e., Outlook, Notes) are record management systems All e-mail are business records All e-mail should be automatically deleted after 30-60-90 days Classify e-mail business records according to the organization’s records retention schedule
28	The Sedona Guidelines for Managing Information and Records in the Electronic Age Policies and procedures should be reasonable. Policies and procedures should be realistic, practical and tailored to the circumstances of the organization. No obligation to retain all electronic information ever generated or received. Lifecycle management of records: include procedures that address the creation, identification, retention, retrieval and ultimate disposition or destruction of information and records. Must suspend ordinary destruction procedures as necessary to comply with preservation obligations related to actual or reasonably anticipated litigation, governmental investigation or audit. www.thesedonaconference.org
29	Email Retention Strategies
30	Benefits of E-Mail Archiving
31	Email Management vs. Email Archiving
32	E-Mail as Business Record Sample E-Communications Policy Language: Employees must use one of the following options for handling e-mails as business records: Option A: Generate a hard copy printout of the message (including any and all attachments and metadata) and place it into the proper file for further retention; or Option B: Migrate the message (including any and all attachments and metadata) to an electronic recordkeeping system, if one is available, for further retention.
33	What Happens When Litigation is Anticipated? Suddenly potentially relevant “documents” become “evidence” Litigation Hold is issued Destruction is suspended Potential evidence is identified and preserved
34
35	Introduction to RIM/ECM Evolution
36	Evolution Stage 1 - Multiple Vendors with Specialty Applications
37	Evolution of RIM/ECM: Stage 2 - ECM Vendor Consolidation
38	Evolution of RIM/ECM: Stage 3- ECM with Some “Integration”
39	Evolution of RIM/ECM: Stage 4 ECM with Unified Architecture
40	Evolution of RIM/ECM: The Future is a Unified Architecture and Distributed Repositories
41	“Gaps” in Managing Records
42	Challenge: You Must Manage Both Structured and Unstructured Data
43	Information Must Be Treated as a Valuable Business Asset – Across Systems KM IM ECM UCM CRM ERP BPM ILM RMS ERM EDMS
44	Types of RIM Workflows That Can and Should Be Automated Process Collection – Occurs when a process owner is assigned to a process and needs to populate the process with supporting documentation Testing & Monitoring – Occurs when a process is routed for evaluation and testing of controls Approval Routing – Can occur when an administrator would like a review of the process Issue Resolution – Occurs when an issue has been generated for a given business process Edit – Occurs when the process owner revises a process to update procedures, risks, or controls
45	Unified Collaboration & Document Management
46
47	Essential Element #1: Know the Answers to These Questions About Your Records and Vital Business Documents Who manages and/or is responsible for the documents or records (organizational ownership)? What value do they consist of or represent to the business? (series/doc type)? Where are they maintained (physical or other location)? When does their business purpose cease (retention)? Why are they maintained by this organization (business purpose)? How are we going to protect and maximize the value of these valuable business assets?
48	Essential Element #2: Minimize Your Records Declaration Problems Set retention periods based on records appraisal and legal research, while considering the costs, risks, and benefits. Records metadata should be captured with as little involvement from the end user. If records creators must capture data: Find out how much data entry they can accept Find out how much delay they can accept Make sure the integrity of the captured data is enforced Determine if users can change objects without changing the associated classification metadata Ensure the RIM software, CM system, hardware, or network security enforces data integrity.
49	Practice the “Two Clicks” Rule Never require an end-user to make more than two mouse clicks to declare a document as a record. “Research indicates that the highest quality and accuracy occurs when records management is as non-intrusive to the desktop end user as possible and does not interfere with the normal work routines of professional staff.” - Information Management Journal
50	Essential Element #3 – Make the Best Choice For the Records Disposition Process Authorization Required – (positive option) Requires specific approval via hard-copy or email Generally not recommended Notice of Destruction – (negative option) Gives a listing of records ready for destruction Allows for exceptions No Notice or Approval – (no option) Acceptable but only when supported by an efficient discovery and litigation hold system This methodology results in the most timely and consistent retention Key Principle: the more automated and the less user intervention required, the better the system (within legal guidelines).
51	Essential Element #4 – Make Physical Records Management a Key Component of Your Strategy Components of a good physical RIM system: Space Management Defines the warehouse layout Searches for empty space Reserves space Tracks occupied vs. empty space Circulation Services Reserves and checks out physical content Maintains a due date for checked out items Sends notification when items are overdue Bar Code Reading / Writing and label printing Manages contained-within relationships e.g. Folder within a box Charge-backs Tracks charges for actions within the warehouse Generates reports indicating how much is owed by entities (e.g. departments)
52	Essential Element #5 - Start With the End Goal in Mind - Comprehensive Retention Management Keep Retention Schedule in one central application Manage content in multiple repositories, without moving them, for both: Records Non-records Federated search/discovery across multiple repositories Litigation/Audit holds apply to other repositories Single disposition interface through the application Designed for minimal impact to end-user productivity:
53