® ibm software group, information management software © 2006 ibm corporation compliance in an on...
TRANSCRIPT
®
IBM Software Group, Information Management Software
© 2006 IBM Corporation
Compliance in an on demand environment
Taking Control over the Wild, Wild West within your Organization
Tom Reding, CRM, Executive Consultant: Risk, Governance, & Compliance Solutions
IBM Software Group | DB2 Information Management Software
2
Agenda (2.0 Hours)
Define the Wild, Wild West of your enterprise
Managing Records on Network Drives
Impact of the “new” Federal Rules of Civil Procedure (FRCP)
Federated Records Management (FRM) for “all of the repositories in your enterprise
Handling Transactional Database Records
e-Records enabling Reports Management
Where and how does RM & FRM fit into an SOA Framework?
Phased Implementation Recommendation
What’s next for Master Policy Management?
Q&A
®
IBM Software Group, Information Management Software
© 2006 IBM Corporation
Compliance in an on demand environment
Tom Reding, CRM Executive Consultant: Risk, Governance and Compliance Solutions
• 27 years as a client in multiple highly regulated industries, twice on the witness stand, four times deposed• Industry-wide recognition as an author, presenter and contributor to industry standards and guidelines• SME for info integration, content/document management, e-records management, and litigation support
issues
“Corporations can not demonstrate compliancewithout Records Management”
IBM Software Group | DB2 Information Management Software
4
Defining the “Wild, Wild West of your enterprise
Desktops & Laptops
Network file shares
Various Corporate Archives
Data Warehouses
Report Management Systems (IDARS, COLD)
®
IBM Software Group, Information Management Software
© 2006 IBM Corporation
Compliance in an on demand environment
Records Management Solutions should be capable of preserving your existing investments in business applications & repositories, while at the same time future proofing you regarding future application and repository investments.
“Corporations can not demonstrate compliancewithout Records Management”
IBM Software Group | Information Management Software
An e-Records Management Strategy
Deliver electronic records management as an element of information technology
infrastructure.
Records Management technology should be used to “e-Records enable” all types of
business processes, applications, repositories, storage management systems,
and content integration solutions.
IBM Software Group | Information Management Software
OK, I’ll Set Up Records Management Policies…zzz!
Records Retention Policies are … well … rather boring,
But consistent adherence to Policieshelps to demonstrate Compliance
IBM Software Group | Information Management Software
Are you one of those in the Board Room or “middle management”?
IBM Software Group | Information Management Software
Liu JinbaoFormer CEO of Bank of China
Now on Death Row
Liu JinbaoFormer CEO of Bank of China
Now on Death Row
Bernie EbbersFormer CEO of WorldCom
Now Serving 25 Years
Bernie EbbersFormer CEO of WorldCom
Now Serving 25 Years
Luke DuffyFormerly of Bank of Australia
Now Serving Time, Took Down CEO
Luke DuffyFormerly of Bank of Australia
Now Serving Time, Took Down CEOKen Lay
Former CEO of EnronFaced 175 Years
Ken LayFormer CEO of Enron
Faced 175 Years
Gale NortonSecretary of the Interior
Held in Contempt of Court
Gale NortonSecretary of the Interior
Held in Contempt of Court
Morgan StanleyFined $1.45 BillionStock Price Down
CEO Removed
Morgan StanleyFined $1.45 BillionStock Price Down
CEO Removed
Examples of What NOT to do | Compliance Hall of Shame
IBM Software Group
®
IBM Software Group | Information Management Software
Effective Records Management is the Goal for MOST Corporate Legal Departments….
IBM Software Group | Information Management Software
Records Management from Creation to CoreSecure Data Management at the “Desktop Edge” & Records and Content Management at the “Core”
DocumentumOpenText
SharePoint, Stellent,etc.
Content Management(Storage, Search, Security)
Microsoft Office
NotesDatabase
Desktop Applications
Records Management(Retention Schedule, File Plan)
Lotus Notes
Email ArchivingDocument Management
Peoplesoft Siebel
Business Applications
SAP
R
StrategicContent
Repository
Rpts Mgmt
Information Integration(Federation, Search)
Physical Records
Data Capture and Classification upon CreationInformation Routing
SecureDesktopsLaptops &Fileshares
Commercial Rcds Store
MSExchange
Immediate Out-of-the-box functionality todayRecords Management AdministrationProfessional Services
IBM Software Group | Information Management Software
e-Records Management: Past, Present, & Future 1st Generation – Paper & Microforms Retrieval System
(Computer Assisted Retrieval Systems [CARS]) 2nd Generation - 1st Generation Solutions upgraded to manage
desktop documents, bring their own repository and search tool (Records Management Applications [RMA])
3rd Generation – New Paradigm introduced, e-Records Policy Engine used to embed RM features and functions into business applications (at server & / or desktop), w / repository independence, use existing customer search tools
4th Generation – e-Records Policy Engine extended to embed RM features and functions via Enterprise Content Integration (Federated Records Management)
5th Generation – To be determined 6th Generation – Universal Virtual Computer
IBM Software Group | Information Management Software
5th “NEXT” Generation RM Policy Management
Tie to Master Data Management for metadata integrity Link Privacy Management & Digital Rights
Management Open Systems Interface developed and promoted to
all software vendors Enhance linkage between RM & Storage policy (RM &
HSM) for media & data format migration, etc. Enhance compatibility linkage between RM & CAS
storage solutions for expungement process
Disclaimer:None of the information presented above should be viewed as a commitment, it is only presented for informational purposesAll of the plans are subject to change. Features may be pulled out of the release at any time for any reason.
IBM Software Group | Information Management Software
Most Corporations Unready for New Federal Rules of Civil Procedure on Electronic Evidence
IBM Software Group | Information Management Software
EvidenceEvidence
• Search• Review• Search• Review
DiscoveryDiscovery
• Redact• Present• Redact• Present
LegalLegal
New FRCP: How Does This Impact You?
Your Organization faces a >95% chance of litigation in 2007
You MUST know where your documents live
You MUST keep relevant documents with metadata
FULL Records Management is INEVITABLE
You MUST be able to search for and present documents intact regardless of location
IBM Software Group | Information Management Software
Summary of Rule Change / Clarification
An assessment of the organization’s information policies and procedures to ensure that the right records and information can be located, preserved and produced for discovery when necessary.
The creation of an effective Legal Hold policy to stop the destruction of records and information due to routine business processes or other reasons.
A process for disseminating a clear and effective Legal Hold notice to inform employees and others of their responsibility to preserve certain records / information for litigation.
Assessment of the organization’s IT infrastructure to ensure it can effectively support the Legal Hold process and preserve all necessary records and “data compilations” without hindering business processes.
Points of contact across the organization’s business units that possess a thorough knowledge of their areas’ records and information, as well as what form those records are in and where they are located.
IBM Software Group | Information Management Software
Summary of Rule Change / Clarification (continued)
Within 30 days of filing a discovery order opposition counsels must meet to decide how to handle electronic evidence discovery.
Firms must agree on what records are shared and in what format.
Gartner Analyst John Bace said, “… companies will need to act immediately to avoid the potential for sanctions and "negative inferences" in court battles; … organizations should quickly take steps to develop records retention policies and content management procedures to help protect the organization in case records are lost.”
IBM Software Group | Information Management Software
Various Methods Automatically Declaring & Classifying Records Auto Declare and Classify via a rules-based metaphor:
Rules-based metadata +
Rules-based on roles / responsibilities +
Rules-based content/full text (traditional) -
Rules-based content/full text (spam filter type) *
Rules-based contextual analysis =
Crawl existing desktops, fileshares, business applications for records #
+ Recommended as “Best Practices”- Shortcomings sighted in 2 gov. studies (NARA & DOE)
* Currently being evaluated as a new “Best Practice= BP offering under development
# May be a privacy issue in some businesses
IBM Software Group | Information Management Software
Various Other Methods for Declaring & Classifying Records Server-based automatic classification
Via the e-Records Solution
Via an e-Mail Archiving Solution
Workflow includes a tiered scale of manual and automated methods
Select from a Quick List (those record types used for select work group or dept
Drag & Drop in a folder (which has a retention rule behind it)
Browse the organization’s File Plan
IBM Software Group | Information Management Software
Leave records in native repository
1
DCTM Stellent
… Other Content Repositories …
RM + ECI = Federated Records Management (FRM)
Records Manager
Move records to a strategic repository at declaration
2
StrategicContent
RepositoryOTEX MS SP
IBM Software Group | Information Management Software
Declare & Classify
Subscription Event Services
Content Monitor
Event Handler
Records Manager
Classificationand Retention Rules
Federated Records
CM
1. As a preconfigured step in a workflow process or when lifecycle state changes
1
Workflow Process
Records can be consistently declared and classified:
3
3. Through buttons or drop-down menu items in applications
Business Application
2. Via simple insert of content into a records-enabled folder
2
R
IBM Software Group | Information Management Software
Discovery + Application& Release of Hold Orders
• Reduces discovery costs
• A records administrator performs a…
… single search
… across multiple repositories
• All relevant records identified are placed on hold to suspend normal retention schedules
Subscription Event Services
Content Monitor
Event Handler
Records Manager
Classificationand Retention Rules
Federated Records
R
CM
R
RR
IBM Software Group | Information Management Software
Disposition
• Centralized review and timely disposition of all records as they reach the end of their retention period
• Reduces disposition costs
• Ensures organizations don’t retain too few or too many records
Subscription Event Services
Content Monitor
Event Handler
Records Manager
Classificationand Retention Rules
Federated Records
CM
R
R RR
IBM Software Group | Information Management Software
Imaging/Document
Mgmt
ReportMgmt
Web Content/Media Asset
Mgmt
CustomSystems
NetworkFile
Systems
Workflow/Business
Process Mgmt
WebSphere II Content Edition - Content Integration Platform
Lets you work with content from multiple, disparate content sources as if it were stored in one unified system
Single interface to multiple content sources and workflow systems Rich, bi-directional content functionality Exposes all underlying functionality and adds federation services Development components and APIs for building custom applications Requires an API at the application / repository level to enable federation
IBM Software Group | Information Management Software
IBM Federated Records Management Solution
RecordsDatabase
RM Expertise: Consulting, defining file plans, workflows, etc.
Custom Client Applications Discover content, hold and destroy records, browse and search file plans
Subscription Event Services
Content Monitor
Event Handler
Web ComponentsSearch W-flow Declare
RepositoryRepositoryRepository
MQ W-flowExisting IICE
FRM Software Assets
Records Manager
Co
nn
ec
tor
RM Host Interface
Enterprise Search
RM Logic Extensions
Hold
IBM Software Group | Information Management Software
Federated Records Managementfor Reports Management
Reports data now consistent with other organizational records Helps meet compliance objectives and
supports litigation requirements Declare and classify records
An entire load – or – individual documents within a load
Classify to the corporate records file plan Time, event and event+time retention
rules Apply legal holds and manage the
records lifecycleRecords
Jonathan Smith
123-45-6789
Ronald Smith
234-56-7890
William Smith
345-67-8901
IBM Software Group | Information Management Software
Additional Options for Legal Holds and Dispositions
Individual records can be retained… …while dispositioning the rest of the original data load
Unload and extract individual records on legal holdReload them into a new application group
• All their records metadata and properties are maintainedThe rest of the original load completes disposition
Unload & Reload with records metadata in tact
Jonathan Smith
123-45-6789
Ronald Smith
234-56-7890
William Smith
345-67-8901
Disposed Disposed
IBM Software Group | Information Management Software
What, When, Where and How of Structured Data capture as “official” business records
What conclusions has your organization arrived at regarding
What, When, Where, and How
Keep it simple Point of “authentication” vs. a draft
Reports Management System: Things to be aware of LARGE BLOBS
Application and Release of Hold Orders
Unique disposition step-by-step processes
Example: Web Transactions at business records Content, Structure, Context
IBM Software Group | Information Management Software
Structured Data as Business Records
Capturing the Input & Output is key Manage in-place vs. capture and preserve in a secure
repository (ECM) In-place: no duplication, use production system when performing discovery
Move to a secure repository: use same user interface, helps ensure desired high performance of the transactional system
IBM Software Group | Information Management Software
Why Federated Records Management Matters Content and records management have been departmental
investments, creating many content silos Reports Management data has typically not been brought under
records control Compliance requires complete access and control over records
stored across many disparate systems Consolidating all records to a single repository is typically not a
viable alternative in the short-term IBM Federated Records Management leverages legacy content /
records investments
Centralized records management helps ensure consistent application of recordkeeping policies…
…regardless of where information is stored
IBM Software Group | Information Management Software
Benefits of IBM Federated Records Management
Reduce risk through automated, consistent application of the records program all content storesBring third-party content repositories under records control
Bring reports data under records control
Help meet compliance and litigation requirements Accelerate enterprise records deployment Reduce the initial and ongoing costs of recordkeeping Provide a “future-proof” infrastructure
Add, remove, change repositories without disrupting records management and/or risking noncompliance
IBM Software Group | Information Management Software
Federating Access to Enterprise Information
VSAM,Sequential
IMS, AdabasCA-DatacomCA-IDMS
DB2 UDB InformixOracleSybase Teradata Microsoft SQL Server
ODBC
DB2 CM FamilyDomino.doc DocumentumFileNetOpen TextStellentInterwovenHummingbird
WebSphereFileNet
Lotus NotesMicrosoft Index Server
IBM Lotus Extended Search
SametimeQuickPlaceMicrosoft Exchange
OLE DBExcelFlat filesIBM Lotus Extended Search
Web search LDAP
Custom-built
WebSphere BI Adaptors
SAPPeopleSoftSiebel
Plus partner tools and custom-built connectors extend access to more sources
Content& Imaging
Workflow systems
Relationaldatabases
WebOther
CollaborationSystems
XMLWeb services
Packagedapplications
Mainframefiles
Mainframedatabases
SQL
Unstructured Repositories
ContentSQL
Traditional Structured Systems, Applications & Repositories
Web Services & Applications
IBM Software Group | Information Management Software
Metadata is a key element in every electronic business record
Why is Metadata important? It is often impossible to establish authenticity and relevancy of records
w/o supporting metadata
Requesting parties are entitled to “all” metadata supporting records produced in discovery
Application Metadata vs. System Metadata Application metadata is embedded within the file, it describes the file
and moves with the file when it is copied
System metadata is an analogous to a library card catalog, it is stored and maintained external to the file
• “Every” active file (no exception) in a computer system maintains system metadata used to track the file location & file demographics (i.e., file name, size, creation, modification, and usage)
MS Windows and MS Word example: Metadata supporting may be larger than the file itself, 80+ application &
system metadata fields tracked for MS Word .doc files
IBM Software Group | Information Management Software
Archive Services - Part of IBM ECM Portfolio
BusinessContent in a
StrategicRepositories
Invoices, statements, reports
Web Content
ScannedPaper and fax
ERP, SAP, SCM,CRM data
File systems,SharePoint,IBM Workplace
Audio, Video, Photo
Kiosk
Portal /Browser
Call Center
Wireless& PDA
IBM Software Group | Information Management Software
Control of the Wild, Wild West behind your firewall
What: Network File Shares, Desktops, Laptops How:
File Systems Archive
• Windows Explorer like capture, declaration / classification and move to a central repository
Records Crawler
• Crawls Network File Shares, Desktops and Laptops looking for business records based on pre-defined business rules, declare / classify in place or move to central repository
Trusted Edge
• Provides for end-user declaration and classification based on pre-defined business rules (leverages MS Office templates), declare / classify and secure in place or move to central repository allows for convenience copies and ensures their accountability and disposition
IBM Software Group | Information Management Software
Control of the Wild, Wild West behind your firewall
WhoFile Systems Archive
•Automated or End-users
Records Crawler
•Automated
Trusted Edge
•End-users
WhenFile Systems Archive
•At project / case closure
Records Crawler
•Anytime
Trusted Edge
•Upon Creation / Receipt
IBM Software Group | Information Management Software
File System Archive
Consists of WebSphere II Content Edition, IBM
Content Manager, Archive Solution Components*
Key Features Interactive or automated archival of
files into Content Manager
Using file “stubs”, files may be accessed as if they remain on the file system
Business Value Seamlessly archive files without
disruption to end-user
Archived files are managed in a central content repository
Reduced risk by treating the files as records once archived
Before
After*Services Offering
File System Archive Example
IBM Software Group | Information Management Software
Accessing Archived Content
Use Explorer-like interface to browse or search for archived content.
IBM Software Group | Information Management Software
FRM Solutions – File System Archive
File Server IICE and FRMServer
Client Workstation(with FileSystem Archive)
Target ContentManagement System
DB2 RecordsManager (Optional)
IBM Software Group | Information Management Software
FRM Solutions – File System Archive
Ad-hoc archival of File System content to Content Manager
Select files individually from Windows Explorer or drag/drop them into a pre-configured folder to archive
Configure the CM item class and folder where the content will be archived
Prompts user to specify CM metadata for the content Formal Retention Rules applied via Records Manager Options to delete original File System content or leave
a stub behind Stub uses URL Addressability to open the content in CM
IBM Software Group | Information Management Software
Records Crawler – Not Another Search Tool
Monitor – Records Crawler automatically monitors file systems based on business policy and rules contained in Records Crawler profiles. Once a record is identified (every spreadsheet with “budget” in title) …
Action – is taken as specified in the profile (copy, move, stub, delete, declare record, trigger workflow / BPM process)
Classify – Direct integration into Records Manager file plan ensures precise classification into file plan
Enforce - Places content and records under managed control and enforces security, privacy, compliance and audit policies
Unique offering – No other ECM vendor offers a file system management tool like Records Crawler
ProveCompliance
ImagingImaging
EmailManagement
EmailManagement
File SystemManagementFile SystemManagement
ContentDiscoveryContent
Discovery
Records Management
Records Management
IBM Software Group | Information Management Software
Records Crawler – How it Works
Records Crawler
Records Capture Rules and Profiles
File Plan
PolicyManagement
Records ManagerUnmanagedFile System Records
DocumentsSpreadsheetsWeb Content
ImagesPowerPoint
ECM
Repository
Business Users
Applies Rules and
Profiles
Move, Copy or Stub
Monitors and
identifies Records
IBM Software Group | Information Management Software
Records Crawler Overview
Feature Description Benefits
Monitor and Manage File Systems
Automates process based on customized policy and rules
Enhance security and productivity
Action Triggers Triggers actions (including workflow) to copy, declare, stub, delete, etc.
Policy enforcement, eliminates user decisions and errors
RM Integration and Classification
Directly classify and integrate into RM file plan
Consistency and accuracy
Security Enforcement Managed and control disparate content and records
Enhanced privacy and content compliance
Intelligent Indexing Automatically create and map file properties and folder hierarchy
Enforces policy, expands metadata and reduces errors
Manage network file shares Simple manipulation of files Intelligent indexing Multiple source and target system options for file management
IBM Software Group | Information Management Software
Ingest records (email, IM,
documents) into archive
Unified Document and Email Management / Discovery
Secure, Scalable Archive
IM
Reports
Office documents
Printed Output
etc.
Federated Repositories (2..n)
Classify
Capture
● Mailbox
● Real-time
Monitor or Supervise
Manage Disposition
AuditSearch,
Retrieve, Deliver
Destructive Delete
Capture Classify Supervise* Manage Search, Retrieve, Deliver
Audit Delete
(automatic) Record
classification utilizing
corporate file plan
Federated Classification
Monitor records to
detect violations of regulatory or
corporate policy (e.g.,
NASD 3010/3110)
InformationLife Cycle
Management
Legal Hold
Federated records
management
Full text federated
seach across all data types
Legal discovery
Recording of every
interaction from capture to destruction
Fully auditable reports to verify
compliance
Mitigate risk with full
disposition management
Destructive deletes
according to policies
* Optional function
Documents on PCs and shared
drives is notoriously unmanaged End Users know
“best” how to classify
– at file creation
Records Policy applies to records
IT Policy applies to non-records
Must search controlled
repositories and uncontrolled
PCs and shared drives
Need to audit records and non-records
Need to disposition records and non-records
IT storage management
Customer Challenges
IBM Software Group | Information Management Software
Capture electronic
documents and email at the “edge”
from the moment they are created
Inventory *
Value-Add for Managing Convenience Copies
Secure, Scalable Archive
IM
Reports
Office documents
Printed Output
etc.
Federated Repositories (2..n)
Classify
Capture
● Mailbox
● Real-time
Monitor or Supervise
Manage Disposition
AuditSearch,
Retrieve, Deliver
Destructive Delete
Capture Classify Supervise* Manage Search, Retrieve, Deliver
Audit Delete
Classify according to “blended” IT and Records
Policies
Automated classification *
Monitor records to
detect violations of regulatory or
corporate policy (e.g.,
NASD 3010/3110)
ILM of both records and non-records
Legal Hold of records and non-records
Search all federated
repositories
AND
Search all PCs and shared
drives
Record every interaction
from capture to destruction
for records and non-records
Fully auditable reports to
demonstrate compliance
Disposition according to “blended” IT and Records
Policies
* Optional function
* Inventory existing documents and emails is a potential future value-add
* Integration with iPhrase is a potential future value-add
IBM Software Group | Information Management Software
Data Capture and Classification upon Creation
Content & RecordsManagement
Storage Archiving
Visibility and
ControlInformation Routing Layer
XML
Applications
Managed Convenience Copy Architecture
IBM Software Group | Information Management Software
Desktop Records Management
Capabilities: Classification at Creation / Receipt
Document Branding
In-place and/or copy to Strategic Repository Records Management: Disposition and Litigation Holds of Desktop and File Server documents and files
Seamless Online / Offline operation
Fully integrated with IBM Records Manager and Content Manager
Future-proofing: Desktop management that anticipates ECM, Tivoli Storage Manager, etc.
IBM Software Group | Information Management Software
How to Manage Desktop Information
Configure policies and actionable business rules “Blended” Records and IT Policies Flexible and robust policy configuration with location-sensitive retention rules
Classify documents and e-mails at creation / receipt Acquire metadata (system, application, business context – policy and user specified) Brand/Tag with metadata and a unique ASSET ID
• Self-describing throughout its lifecycle Classify Store data and metadata to the designated location
Manage retention of all copies, regardless of location Apply and release Legal Holds Reporting and Auditing Document and Email Forensics Discovery Disposition
Official Records and all copies
IBM Software Group | Information Management Software
Benefits of Managing Desktop Documents Desktop Information Management
Reduce enterprise risk at the desktop
Control all information and records from creation to destruction
Inventory files on desktops, laptops, shared drives (potential future FSA integration)
Automated contextual classification (potential future integration)
Bring information under policy control from the moment it is created in any desktop application
Manage retention of all copies according to policy
• “In place” on desktops and shared drives
• In content management systems
• In email systems and archives Reduce storage costs through intelligent storage management
• Classification-driven tiered storage Disposition official records and all copies and renditions
• Eliminate “smoking guns” and rogue information
IBM Software Group | Information Management Software
Advantage: Manage ALL Desktop Information, Integrate with ALL Enterprise Systems
Supports heterogeneous environments, producing immediate value and ensuring a future-proof investment:
Actionable business rules that leverage existing policies and meta-data schemas
Meta-data mapping between enterprise applications for seamless information sharing
Data capture to multiple repositories, archives, and storage filesystems
Range of Enterprise Systems Includes: Office Applications
ECM
Archives
Records Managers
Storage Filesystems
Directory Services / Microsoft AD
Enterprise Applications
Server: Centralized Policy Management / Policy
Inheritance Metadata database Reporting, Analytics, and Forensics Heterogeneous Infrastructure Support
Desktop Client : Comprehensive Application Independent
Document and Email Capture Interactive Classification Intelligent Filing Digital Disposal Litigation Hold
IBM Software Group | Information Management Software
Trusted Edge Extends the IBM FRM Story
Sellent, DocumentumOpenText, SharePoint,
etc.
Content / Document Management and eMail Archive
(Store, Manage, Discover, Secure)
Desktop Applications
Records Management(Retention Schedule, File Plan)
App 1 App 2
Business Applications
App 3
R
StrategicContent
Repository
ReportsMgmt
Information Integration(Federation, Discovery, Policy)
Manage at the DesktopData Capture, Classification & Control upon Creation
Federation to Repositories
Federation to PCs, Shared Drives
eMail Shared Drives
IBM Software Group | Information Management Software
Other …
Conceptual Integration of RM with a Host Application
HOSTApplication
RM ENGINE
AP
IH
ost Interface
Declare Records
Destroy/Delete Records
Get List of users and Groups
Permission Synchronization
Other Lifecycle Events
Synchronize Metadata
Render/Retrieve Content
Full Text Search
Authenticate User
Login User
Host Interfa
ce Im
plementation
The functionality encapsulated in the RED arrows is currently implemented within the RME
IBM Software Group | Information Management Software
RM Enablement of Customer Business Applications and its Repository
Metadata & Fulltext Server
Application Connector
Customer Business Application
IBM Records Manager
Repository
ObjectStore
DB
DB
Declare
Classify
Search
IRM System Admin
DB
IRM API
IHost (Delete)
Color MapExisting Rep component
Existing eRS component
Integration component
BusinessApplication
RetrieveDocument
IBM Software Group | Information Management Software
Philosophies Regarding Search / Discovery as a Function of Records Management Records Management is about retention and disposition of
business information assets Records Management Solutions must offer easy, efficient,
and effective retrieval / discovery solutions The effectiveness of your Records Management Programs
will likely be measured by how well it facilitates e-Evidence Discovery as well as traditional retention and disposition activities
This starts with selection of the tools, which can facilitate indexing, auto-classification as well as discovery
IBM Software Group | Information Management Software
Legacy of Discovery & Records Management Technology For better than 50 years, people have been attempting to optimize search
technology Discovery technology has the potential to have a profound impact today
upon the following business activities: advertising, marketing, and selling as well as auditing, litigation and regulatory enforcement
The “Goal of records management”: “provide the right information to the right people, in the right format, at the right time” can be achieved by providing enough of the right information, within the appropriate context, along with the right tools to filter / refine and abstract the information we will have the ideal intelligent discovery tool
Common problems:To much information
To little relevancy
IBM Software Group | Information Management Software
Conclusions Regarding the Relationship Between the Two Technologies: Too much information can significantly effect the speed, quality,
efficiency, and effectiveness of discovery activitiesThe more information I have, the more I have to search through
Electronic Evidence Discovery involves more than discovery on “official business records”It involves both declared and undeclared records
Based on the results of an e-discovery search, consider doing the following:Declare all previously applicable undeclared records as “records”
Apply Hold Orders to all applicable records
IBM Software Group | Information Management Software
Consider the Benefits of the Following Technology When Defining / Building Your Organizations Discovery Infrastructure:
Federated Search: search one time with consistent criteria across all repositories, both structured and unstructured content
Contextual Analysis: minimize false positives
Information Accelerators: intelligently anticipate both industry and departmental use cases
Text Analytics: extraction of knowledge, meaning, and relevance from information sources
IBM Software Group | Information Management Software
Provide a comprehensive infrastructure to support a broad range of business processes that need unstructured data
Content Services
IBM Software Group | Information Management Software
Services Oriented ArchitectureInformation Services are Key
You will waste your investment in SOA unless you have enterprise information that SOA can exploit.Gartner, March 2005
IBM Software Group | Information Management Software
Databasese-mail
ArchivesContent& Web
Mgt
Shared Drives
A Federated Enterprise Policy Services Vision
Records Mgmt
StrategicContent
Repository
Information Integration Layer
RptsMgmt
Document Mgmt
e-MailArchive
Content Manager
Search apps
Digital Rights Mgmt
Privacy Mgmt
Workflow
Configuration Security - Managing Users/Groups/Roles Federation
Content repositories, email archives, PRM stores, shared drives, local drives, databases
Records Management Declare/Classify/Holds/Dispositions/Audits Touchless…Manual Legacy vs. new records
Search All information types, physical & electronic Actionable – place/remove holds, disposition
Workflow systems Privacy management Digital rights management Etc.
CM
Access Control LDAP
PhysicalRM
CommercialRcds
Center
Physical Records Mgt
IBM Software Group | Information Management Software
e-Mail Archiving & Search
e-MailArchivingSolution
Content ManagementRepository
e-Mail / IM System
Archiving Solution
Content Management/ e-Mail Repository
e-MailSearch
All e-Mails are capturedby archiving solution.
Upon ingestion e-mailsshould be given a defaultretention rule
The e-Mail Searchallows forthe search andretrieval of e-mailsacross multiplemailboxes based onattributes and / or fulltext.
The e-Mail Searchapplication should haveexport feature to copyselected emails fromthe repository forlitigation or otherreasons
IBM Software Group | Information Management Software
e-Mail Archiving, Search & Records Management
e-Mail / IM System
Archiving Solution
Content Management/ e-Mail Repository
e-MailSearch
RecordsManagement
Solution
e-Mails outside ofthe default retentionare declared asrecords.
Hold Orders should beplaced on e-mails fromthe within the e-Mail Search application.
The records dispositionprocess will utilize thethe Content Managementsolution workflow forthe deletion process.
Upon ingestion e-mailsshould be given a defaultretention rule
IBM Software Group | Information Management Software
Full Enterprise-wide or Federated Records Management
e-Mail / IM System
Archiving Solution
Content Management/ e-Mail Repository
e-Mail Search
RecordsManagement
Solution
Other Content Systems
File Systems
EnterpriseContent
IntegrationSolution
The solution is designedfor growth to meet allpotential future RecordsManagementrequirements.
IBM Software Group | Information Management Software
Best Practices Start small, but high profile, pick an advocate Define and agree upon success criteria Measure the success criteria Minimize impact on end-users - “automate, automate,
automate” Minimize impact on corporate culture change Priority should be on the business process, not:
Software, Media, or Data format Use WORM / WORM-like technology ONLY when /
where required to Whiteboard your file plan prior to designing in the policy
engine (similar to a database)
IBM Software Group | Information Management Software
Next Steps
Set expectations, define pilot & measure deliverables, don’t over commit
Know your Regulatory Requirement & Business Drives
Know your allies and their drivers ECM vs. dedicated e-Mail Repository? e-Discovery Solution? Secure e-Mail at Storage Layer or with an Records
Management Policy Engine?
IBM Software Group | Information Management Software
What to look for in Discovery & Records Management Solution Provider
Deliver the appropriate mix of technologies required to meet your requirements
Efficiently integrate the various technologies into a seamless solution
Incorporate strong knowledge of the specific industry requirements into the required solution
Integrate the overall solution into our customer’s internal framework of policies and processes that reflect the requirements you have defined
IBM Software Group | Information Management Software
What to look for in e-Mail Retention Solution Provider
Completeness of Solution (capture, supervision, discovery, storage, migration, retention, holds)
Track record for successful deployments Platform independence Scalability, Performance, Throughput Support for Storage Solutions including CAS Compression & Format Hierarchal Storage Management in the solution Support, Maintenance, Strategy
IBM Software Group | Information Management Software
Predictions made three years ago
Archiving Solutions and Data Warehouses Insurance Underwriters impact on Records Management Information Assets and Information as a Liability Challenge what we generate and keep and why
Fast forward to today
IBM Software Group | Information Management Software
How Many Times Do You Want to Pay for that Information that is NOT required?
1. Generation
2. Management (retain, preserve, and protect)
3. Search and Retrieve (audit, litigation / discovery)
4. Fines / Penalty / Settlement
IBM Software Group
®
Questions & Answers
In the end, all that matters, is our integrity.
“Risk mitigation can NOT be realized, nor good corporate governance, and compliance
achieved without records management”.