Educa&onal Event Spring 2015
BEYOND THE RIM HORIZON Capitalizing Upon the Intersecting IG Career
Building Blocks for the RIM Professional
PRESENTERS:
BEYOND THE RIM
HORIZON
PROFESSIONAL DEVELOPMENT TRACK
ANN GORR Ann Gorr, LLC
Legal Technology Consultant E: [email protected]
MICHAEL LANDAU eMag Solutions
VP, eDiscovery, IG & Media E: [email protected]
JOHN SCHAFFER AIIM – NYC Chapter
President E: [email protected]
LINDA PACE Prudential
Manager, Operations & Control E: [email protected]
INFORMAL POLL: Welcome & Thanks For Joining Us Today!
First Time Conference A0endee?
A Returning Conference A0endee?
INFORMAL POLL: Ge9ng to Know You!! RIM Professional in Law Firm?
RIM Professional in CLD?
RIM Professional – Enterprise?
IT Professional?
Consultant/Vendor?
AGENDA:
InformaCon Governance Arena
Enterprise Content Management
Records Management
eDiscovery & Legal Hold
Knowledge Management
Big Data
IG/RIM Learning & Resources
BEYOND THE RIM
HORIZON PROFESSIONAL
DEVELOPMENT TRACK
A MESSAGE FROM THE PRESIDENT…..
BEYOND THE RIM
HORIZON
PROFESSIONAL DEVELOPMENT TRACK
BRYN BOWEN Greenheart Consulting Partners, LLC
Principal
President, ARMA – Metro/NYC Chapter E: [email protected]
Program Kick Off
IG Career OpCons
ARMA Professional Development
INFORMATION GOVERNANCE
ANN GORR Legal Technology Consulting Advisor
Ann Gorr, LLC
ARMA-Metro/NYC & ARMA-Northern NJ
Defining IG
The Spokes on the Wheel
IG & The RIM Professional
INFORMATION GOVERNANCE – THE “IGI” DEFINITION
Information Governance Initiative, “2014 IGI Annual Report: Information Governance Goes to Work” (Information Governance Initiative, LLC). August 2014
Compliance eDiscovery Social Networking
GlobalizaCon Work/Life Balance Virtual Offices
Legal Delivery Models Outsourcing
MulC GeneraConal Workforce
INFORMATION GOVERNANCE – TRENDS IMPACTING TECHNOLOGY
Analytic Crisis Oriented Tactical Strategic
Few (if any) Defined Processes
Professionals valued for their knowledge of being able to put
out fires
Manual / inefficient Processes are
rampant
Email is primary IT organizaConal tool
Taking basic steps to move out of Crisis Oriented mode
Moving towards
managing projects & resources
Recognizes need for enhanced technology tools & processes
Lacking ability to
implement overarching &
repeatable soluCons
Best PracCces: Logically Managed vs ReacConary Processes
– Yes – there’s a defined plan!
Teams are valued for proacCve abiliCes
DefiniCve
ImplementaCon of technology and
processes to increase efficiency
Goal = ConCnual CollaboraCon -‐
Internal Teams viewed as strategic business
partners
Automated business processes support & define organizaConal
goals
Leading the charge to uClize industry tech tools and implement programs to minimize risk & improve process
INFO GOVERNANCE – DEPARTMENT CLASSIFICATIONS
TECHNOLOGICAL TAKE AWAY THOUGHTS…
“Our technological powers increase, but the side effects and potenCal hazards also escalate.” Alvin Toffler
INFO GOVERNANCE CHALLENGES
LiCgaCon, Contractual, and Advisory Focuses
Regulatory/Compliance
Processes
Legal/IP Oversight
Legal Research & Knowledge Mgmt
EffecCve Case/Ma0er
Management
Simplify the Processes for the Teams
Manage the Spend
Provide effecCve legal technology tools to
streamline & automate required Business
processes
Develop “world class” Technology Strategy for
the future
Manual Processes
Disparate Systems
MulCple Vendors
MulCtude of Unique Technology Tools
Silos within OrganizaCon
Lack of VerCcal Market Focused ApplicaCons
Unique Requirements
Overcoming Obstacles
Trendsetting Goals
INFO GOVERNANCE CHALLENGES FOR LAW FIRMS & CORPORATE LEGAL DEPARTMENTS
Compliance
Process Automa&on
Informa&on Governance
INFORMATION GOVERNANCE – THE IGI PERSPECTIVE
Information Governance Initiative, “2014 IGI Annual Report: Information Governance Goes to Work” (Information Governance Initiative, LLC). August 2014
INFORMATION GOVERNANCE & THE RIM PROFESSIONAL
Get a Seat at the IG Table
Be ahead of the IG/ RIM Curve
InterconnecCng Policies & Procedures
TECHNOLOGICAL TAKE AWAY THOUGHTS…
“InformaCon technology and business are becoming inextricably interwoven. I don't think anybody can talk meaningfully about one without talking about the other.” Bill Gates
ENTERPRISE CONTENT
MANAGEMENT
(ECM / DMS)
ANN GORR Legal Technology Consulting Advisor
Ann Gorr, LLC
ARMA-Metro/NYC & ARMA-Northern NJ
Defining ECM
IntersecCons with RIM
Vendors In the ECM Arena
TECHNOLOGY/DIGITAL DARWINISM Technology/
Digital Darwinism occurs when the pace of technology innovation is moving faster than the speed people will adopt new tools and methods...
TECHNOLOGICAL TAKE AWAY THOUGHTS…
Net-Net: Growing IT Burden, Business Inefficiency and Risk Exposure
THE INFORMATION GOVERNANCE CHALLENGE
Records Management & Retention Policy
Paper to Electronic Conversion
Secure File Transfer Processes Data Security/Internal Firewalls
Document Management System
File Storage Reduction
Internal Data Security Policies
Audits & Regulatory Email Management
Mobile Device Management
COMPLIANCE & THE TECHNOLOGY CHECKLIST
• Increasing volume and complexity of laws and regulations
• Evolution and expanded scope of business practices
• Expansion of information capture • Failure to comply = Sanctions • Reputational Backlash for non-
compliance • Compliance regulators and
legislators comprehend the power of technology
FINRA, FDA, FTC, SEC, HIPAA, PIAA, SOX, IRS, COBS, NFA
INTERSECTING CHALLENGES FOR COMPLIANCE & RIM
~ DMS ~ Refers to the use of a computer system and
software to store, manage and track electronic
documents and electronic images of paper-based
information captured through the use of a document scanner.
DMS REQUIRED FUNCTIONALITY
Email Correspondence Paper Records Documents &
Spreadsheets
Web Content Portable Storage Devices
Data stored on Personal Devices
Digital Images CD / DVD/ Thumb Drives Faxes
Server Data SharePoint Social Media
CONTENT / RECORD TYPES TO BE MANAGED
TECHNOLOGY ACRONYMS – ALPHABET SOUP
KM DMS
RM
OCR MFD
CRM MDM
CASE MGMT
ESI
FTP
BPM
ECM Enterprise Content Management
TECHNOLOGY ACRONYMS – ALPHABET SOUP
What is ECM?
Enterprise Content Management (ECM) is the strategies, methods and tools used to capture,
manage, store, preserve, and deliver content and documents related
to organizational processes.
ECM tools and strategies allow the management of an organization's unstructured information,
wherever that information exists. ASSOCIATION FOR INFORMATION AND IMAGE MANAGEMENT.
ECM ~ ENTERPRISE CONTENT MANAGEMENT
Security
Legal Focus
Scalability & Uniformity
UX
Legal Content DMS Integration
MDM Versioning
REQUIRED COMPONENTS FOR ECM PLATFORM
Email Management
KEY RIM & COMPLIANCE CHALLENGES TO ADDRESS Compliance Record Keeping
Industry Specific Reporting Dictated by Regulatory Arm
Business Documents/Records
Email Management
IM Conversation Capture
Application Data
Holistic View of KYC Relationships
BUSINESS PROCESSES IMPERATIVES
ü Make everything mobile ü Digitize processes ü Make the business social ü Automate information governance ü Mine big content ü Commit to the cloud
John F. Mancini, President, AIIM
Association For Information and
Image Management
Document Sharing
Internal & External
Collabora&on
Security
Required Business Processes
Compliance & Policy
Enforcement
Email Management
INTERSECTING COMPONENTS OF AN ECM IMPLEMENTATION
Benefits of an ECM
Environment
Business Continuity
Risk Mitigation
Improve Process
Efficiencies
Minimize Duplication of Efforts
Maximize Knowledge
Sharing
Regulatory Compliance
BENEFITS OF AN ECM IMPLEMENTATION
TECHNOLOGICAL TAKE AWAY THOUGHTS…
“The first rule of any technology used in a business is that automaCon applied to an efficient operaCon will magnify the efficiency. The second is that automaCon applied to an inefficient operaCon will magnify the inefficiency.” Bill Gates
RECORDS INFORMATION MANAGEMENT
LINDA PACE Prudential
Manager, Operations & Control
E: [email protected] ARMA-Metro/NYC & ARMA-Northern NJ
RIM and the Big Picture
RIM and the IG IntersecCon
Professional Development
Records must be:
WHERE IS THE RECORD?
Available
Managed
Controlled
Accessible to the End User at the Right Time
• ResponsibiliCes • Authority • DelegaCon • Roles • FuncCons • Placement Within The OrganizaCon
ORGANIZATIONAL STRUCTURE
NAVIGATION SKILLS
REQUIRED
• Email • Official Mail • Agreements & Annotated
Agreements • Content Is it the NON-Record?
IS IT A RECORD IN YOUR ORGANIZATION?
Chief of Staff
AdministraCon
Technology Legal
Compliance
Finance
Outsourced Model
Other
WHERE WE ARE TODAY
Social Media
Create
Distribute
Use
DisposiCon
+EMAIL +DISCOVERY
+MERGERS +STAFFING
RECORDS LIFE CYCLE CONSIDERATIONS
Records Management & Retention Policy
Paper to Electronic Conversion
Secure File Transfer Processes Data Security/Internal Firewalls
Document Management System
File Storage Reduction
Internal Data Security Policies
Audits & Regulatory Email Management
Mobile Device Management
WHERE DOES THE INTERSECTION BEGIN?
THE RIM INTERSECTION IN YOUR CAREER
RetenCon Schedules
Electronic Content Policy
Procedures Data Security Privacy
Disaster Planning Training
EDISCOVERY &
LEGAL HOLD
MICHAEL LANDAU eMag Solutions
VP, eDiscovery, IG & Media
ARMA-Metro/NYC & ARMA-Northern NJ
EDiscovery Overview
Legal Holds & PreservaCon ObligaCons
EDRM – Lem Side / Strong Side
LiCgaCon Lifecycle of a Record
EDRM – LEFT SIDE / STRONG SIDE LeY Side: • InformaCon Governance • IdenCficaCon • PreservaCon • CollecCon
Data Growth • Records management • Cost containment • Defensible DisposiCon
LiCgaCon Lifecycle of a Record • The Birth of a Record • Triggering Lifecycle Events • The EDRM Process • Managing the Records • Managing the People • Following the Rules & Policies
KNOWLEDGE MANAGEMENT
JOHN SCHAFFER AIIM
President, New York City Chapter
Theory of KM
KM Tools
KM Approaches
KM Strategy
“Knowledge management is the process of capturing, developing, sharing, and effecCvely using organizaConal knowledge.”
-‐ Thomas Davenport
KM DefiniCon
Shared Ecosystem Ongoing Projects
Organize Info and Knowledge
Knowledge Audit
Leverage IC
Obsolete Knowledge Knowledge leaves the
organiza&on
Info Audit
Protect IC
Record reten&on date
Legal holds and deposi&ons
KM vs. IG
≠ KM IG
• Corporate wiki, blogs and team sites. • Discussion Forums / CommuniCes of PracCce • Facilitated CollaboraCon
– Web conferencing – Workshops – Think Tank
KM Tools
Knowledge Jam
Procedure WriCng
Amer AcCon Review
Knowledge HarvesCng™
Mentoring JournalisCc Interview Peer Assist InnovaCon
Jam
InstrucConal Design
Community of PracCce
Search Alerts Wiki
Kat
e B
. Pug
h, S
harin
g H
idde
n K
now
-How
Capturing
Hording Not Invented Here
Search Problems IG Policies
Language, Time or Distance
Sharing
Gamifica&on Performance Reviews
Unifying Goals
Create a Core Value of Teamwork
Make it a Habit
Challenges Stimulators
Developing
Create Scalable
Approaches
Inherently Rewarding
Don’t Expect PerfecCon
Break Down Barriers Make It Fun Make It
Rewarding
Pilot and Measure
Chr
istin
e va
n W
inke
len
and
Jane
McK
enzi
e, K
now
ledg
e W
orks
Effec&ve Use of KM
High Value OpportuniCes
Knowledge Reuse
Internal CollaboraCon
External CollaboraCon
Learning from InnovaCon AcCviCes
ConCnuous Improvement
BIG DATA
JOHN SCHAFFER AIIM
President, New York City Chapter
IntroducCon & DefiniCons
PredicCve AnalyCcs
PredicCve Coding
SUCCESSFUL PATHWAYS
FOR THE RIM
PROFESSIONAL
Staying Current as a RIM Professional
CerCficaCon Pathways
PublicaCon Resources
ANN GORR Ann Gorr, LLC
Legal Technology Consultant E: [email protected]
LINDA PACE Prudential
Manager, Operations & Control E: [email protected]
Matter Mgmt
Big Data
Are We There Yet?
Business Continuity
DMS
Workflow
KM
Records Management
Email Mgmt
Cloud
CREATING AN INFORMATION GOVERNANCE ROADMAP
TECHNOLOGICAL TAKE AWAY THOUGHTS…
If you only have a hammer, you tend to see every problem as a nail. Abraham Maslow
PROFESSIONAL KNOWLEDGE RESOURCES…
Professional Journals
ARMA Events
Technology Conferences
Vendor Webinars
Professional Membership
Social Networking
PROFESSIONAL CERTIFICATIONS
CRM • CerCfied Records Manager
IGP • InformaCon Governance Professional
CIP • CerCfied InformaCon Professional
PERTINENT PUBLICATIONS & RESOURCES
ARMA Newsle0ers ALM – Law Technology News & Law Journals
InformaCon Governance IniCaCve
Vendor White Papers
LinkedIn Group PosCngs
AIIM Newsle0ers/PosCngs
TECHNOLOGICAL TAKE AWAY THOUGHTS…
Any change, even a change for the be0er, is always accompanied by drawbacks and discomforts. Arnold Benne@
TECHNOLOGICAL TAKE AWAY THOUGHTS…
Technology is nothing. What's important is that you have a faith in people, That they're basically good and smart, And if you give them tools, They'll do wonderful things with them. Steve Jobs
ANN GORR Ann Gorr, LLC
Legal Technology Consultant E: [email protected]
MICHAEL LANDAU eMag Solutions
VP, eDiscovery, IG & Media E: [email protected]
JOHN SCHAFFER AIIM – NYC Chapter
President E: [email protected]
LINDA PACE Prudential
Manager, Operations & Control E: [email protected]
Thank You!