“getting a grip” on records management. saillant confidential agenda records management –why...
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““Getting a Grip”Getting a Grip”on on
Records Records ManagementManagement
Saillant Confidential
AgendaAgenda
• Records Management– Why are companies doing it?– Where is the value?– What are emerging Best Practices for
Implementation? – What is the EMC Documentum Solution
Set?
Saillant Confidential
Why Do It?Why Do It?
• Because you have to:– Regulatory Compliance (SOX, SEC,
Federal Trade Comission, FDA, …)– Risk Avoidance (exposure to litigation,
costs of legal discovery, incarceration for CxO’s,
• Because it supports efficiency initiatives– Drive “better-faster-cheaper”
compliance objectives
Saillant Confidential
What if you don’t? What if you don’t?
• If you have to and you don’t – consequences are punitive.
• Costs and penalties are real if you fail to provide for:– Authenticity and Evidentiary Weight– Completeness of Archive– Enforcement of Policy– Security and Privacy
Saillant Confidential
Port of PortlandPort of Portland
• Effective Records Management is required:– Must conform to Freedom of Information
Act (FOIA) – Must comply with Environmental and
Transportation regulations– Subject to substantial litigation costs and
risks if failure to meet established policy for retention and access to records.
Saillant Confidential
Port of PortlandPort of Portland
• Delivering RM as part of a full ECM Strategy that encompasses:– Corporate Content Repository (DCTM platform) for
all internal departments– Web content management (DCTM Web Publisher)
for intranet and internet– Digital Asset Management for Marketing– Collaboration (DCTM eRoom)– Records Management (DCTM RM) for FOIA and
Environmental
Saillant Confidential
Global Semi-ConductorGlobal Semi-Conductor
• Chooses to provide effective Records Management – Core company value is ‘intellectual property’ that
creates market advantage, drives revenue– As a ‘fab-less’ semi-conductor company, efficient
and accurate conveyance of secure information with partners drives quality
– Growth creates the need to constantly inform employee population to maintain pace of creative processes
Saillant Confidential
Global Semi-ConductorGlobal Semi-Conductor
• Delivering RM as part of a full ECM Strategy that encompasses:– Corporate Content Repository (DCTM
platform) for all internal departments– Technical Publications (DCTM) for re-use
of information across design cycles– Collaboration (DCTM eRoom)– Records Management (DCTM Core
Product) for contracts, legal and patents management
Saillant Confidential
Best PracticeBest Practice
• A positive, proactive RM philosophy that is:– Integrated into both Business and IT
strategies– Treats requirements across the full
spectrum of Enterprise Content Management including paper-based, documentation, web content, and e-mail
Saillant Confidential
Value Value
• Compliance to ‘avoid cost’ can be difficult to justify even given the personal ROI (Risk Of Incarceration) to CxO’s
• Compliance around improved business efficiencies has both hard and soft components
Saillant Confidential
Value OpportunitiesValue Opportunities
• Content and Records Management enable:– Data Reduction– Soft Compliance– Hard Compliance– Search & Discovery– Data Movement, Protection & Recovery
Saillant Confidential
Challenge: Exploding Content VolumesChallenge: Exploding Content Volumes
Content and Records InternetChannel
IntranetChannel
CRMApplications
PortalApplications
Storage
ScannedDocuments
45,000 /day
DigitalPictures
5,000 /day
Faxed Documents
28,000 /day(inbound + outbound)
ComputerDocuments
300,000 /day
CorporateEmail
1,200,000 /day(sent & received)
ClaimsDocuments 50,000 /day
WEBContent
6,000+ Pages
Users
15,000 Users Retrievals
250,000/day
Saillant Confidential
Solution: Data ReductionSolution: Data Reduction
ActiveActiveBusinessBusinessContentContent
DeclaredDeclaredBusinessBusinessRecordsRecords
SharedSharedDriveDrive
• Reduce the amount of data in production to streamline storage, back-up, archive and compliance demands
• Improve access performance
• Eliminate redundancies
• Reduce storage cost
Saillant Confidential
Challenge: Manage the full lifecycleChallenge: Manage the full lifecycle
Document Creation Collaboration Properties Workflow
Object BecomesA Record
Author Control
Records Management
Corporate Control
Store/ Transfer
Expunge
Legal Rules Regulatory Compliance
Business Rules Access Control
Retention
Disposition
Time
Act
ivity
Dec
lare
Cla
ssify
Saillant Confidential
Solution: Content ManagementSolution: Content Management
ActiveActiveBusinessBusinessContentContent
• Virtual repository to encompass active content and formal records
• Common data definition (types, categories, metadata) across all formats
• Define full range lifecycles that incorporate retention policies
• Adjustable access control • Compliance is a natural by-
product
Saillant Confidential
Challenge: Cost associated with RiskChallenge: Cost associated with Risk
• Compliance Fulfillment/Operational Costs– Reduce operational costs and human error with
centralized control and uniform retention policies
– Conform with external mandates for document retention – and be able to prove it
– Identify and capture records with minimal burden on employees
– Address multiple and/or future unforeseen regulations by deploying recordkeeping and compliance tools within the organization’s IT infrastructure and organization policies
Saillant Confidential
Solution: Records ManagementSolution: Records Management
Hardcopy “boxes”
EmailEmailRecordsRecords
ActiveActiveBusinessBusinessContentContent
DeclaredDeclaredBusinessBusinessRecordsRecords
• Unified virtual repository to encompass active content and formal records
• Single source of records managed according to policy
• Supports soft and hard compliance
• Incorporates storage strategy based on policy, status in lifecycle or usage
Saillant Confidential
Challenge: Records DeclarationChallenge: Records Declaration
• Purging and normalizing the vast amount of information not under policy control
• Limiting user participation in records declaration– Identify and associate retention policy early in
the document lifecycle– Leverage process automation using workflow
and lifecycles
Saillant Confidential
MigrationMigration
SharedSharedDriveDrive
Data cleanse and
normalization
• Minimize user interaction through automation• Establish persistence & purge policy early in
lifecycle• Normalize for a standard data structure
Saillant Confidential
Challenge: Managing eRecordsChallenge: Managing eRecords
Response 1999 2001 2003A. Yes 62% 62% 59%
B. No 38% 38% 41%
Response 1999 2001 2003A. Yes 51% 57% 53%
B. No 49% 43% 47%
Risk – With nearly half (47%) of organizations not including e-records and their retention schedules, many e-records will not be disposed of in accordance with retention schedule.
Risk – With 92% of all new information being electronic, not having electronic records in RM program significantly reduces credibility of “good faith” RM program in court.
Source: Cohasset Associates – ARMA - AIIM, 2004
Currently, are electronic records included in your RM program?
Does your organization’s record retention schedule include electronic records?
Saillant Confidential
Solution: Soft ComplianceSolution: Soft Compliance
ActiveActiveBusinessBusinessContentContent
• Improve business efficiency with organized, accessible content
• Service departments or the enterprise with a non-intrusive interface
• Enable policy management (simple to complex) behind the scenes via automated workflow & lifecycles
Saillant Confidential
Solution: Hard ComplianceSolution: Hard Compliance
“Hard” Compliance• Meet external regulatory
obligations• Formally declare records
beyond work in process• Enforce formal file plans,
retention policies etc• Incorporate multiple
formats (email, hardcopy)
DeclaredDeclaredBusnessBusnessRecordsRecords
Hardcopy “boxes”
EmailEmailRecordsRecords
Saillant Confidential
Challenge: Cost associated with RiskChallenge: Cost associated with Risk
• Litigation Costs– Identify and enact Litigation-Holds on materials without
restoring and analyzing backup tapes
– Prove and justify document retention and disposition actions
– Produce information in a timely manner, before penalties are triggered
• Discovery Costs– Provide a single, central, point of discovery for paper,
electronic, and email records
– View and produce electronic documents, created in now-obsolete software programs and versions, without maintaining historic versions of software or recreating OS environments.
– Eliminate old back-up tapes knowing that records are safely retained and easily accessible
Saillant Confidential
Search & DiscoverySearch & Discovery
Legal SMEsLegal SMEsRM AdminsRM AdminsBusiness Business UsersUsers
• Tailored searching for Legal personel, Records Managers or Business Users
• Increased speed of search• More comprehensive
search across all sources• Enforces security• Ability to create legal
‘holds’
Saillant Confidential
Challenge: Cost of StorageChallenge: Cost of Storage
• Storage Costs– Minimize overall volume of information by
regularly and justifiably destroying materials – Allocate and migrate stored records to the
most affordable storage medium and service levels
Saillant Confidential
Data Movement, Protection & RecoveryData Movement, Protection & Recovery
archiveshort-termBack-up
SANSAN NASNAS CASCAS
• Repository is ‘storage aware’
• Migrate data to desired storage (performance, cost, capacity) based
• Application and user transparency
• Eliminates redundancy and reduces storage costs
• Leverage ‘compliance in storage’ solutions
• Enable a singular back-up and recovery strategy that limits legal exposure
Saillant Confidential
Records Management ‘Stack”Records Management ‘Stack”
Integrated Protection & Recovery
Tiered Storage
Active Information ManagementClassification
Business RulesMetadata
ComplianceVersioning Auditing
Automated Policy-Based
Index/Categorize Declare/PurgeActive RetireRetainMigrate/Capture
Content Lifecycle Management
Saillant Confidential
Best PracticeBest Practice
• Identify key challenges within organization across the records management ‘stack’
• Design implementation phases to address highest return opportunities earliest
• Identify components of the Documentum Platform that directly support phases and anticipate unification
Saillant Confidential
2005 – 2006 Roadmap2005 – 2006 Roadmap
Content Management
Records Management
EmailManagement
Common Repository within Documentum
Common interface within Outlook & Notes
• Applications provide “layers” of functionality
• Licensed separately to enable mix-and-match
Saillant Confidential
Mar Mar
RM – Release RoadmapRM – Release Roadmap
RPS 5.3
RM 5.3
• RPS will be a core component of the complete RM5.3 product that provides basic retention management capabilities for content in a secured repository.
• It will manage chronological and event based retention periods assigned to specific objects, provide compliance holds on content disposition, and allow for multiple conditions and authorities before authorizing event triggers
• It will not require a traditional file plan and will not be suitable for certifications against RM standards.
Q1 ‘06Q1 ‘05
Saillant Confidential
Retention Policy ServicesRetention Policy Services
PolicyManagers
ApprovedRetention
PolicyDisposition
ActiveBusinessContent
Business Users
Saillant Confidential
RM 5.3 & RPSRM 5.3 & RPS
• Records Manager 5.3 will be built as modular software. This will allow customers to select which components will be installed and used.
• The modules are:– Access, Notifications, Retention Policy Services (RPS),
Search, Paper, Reporting, Space Management (electronic and non-electronic), File Plan, Configuration, User & Group, Auditing, Activators, Bulk Operations (including Import & Export) and Records
• The first module to be built will be the Retention Policy Services (RPS) which will stand on its own or as a part of RM 5.3
Saillant Confidential
Records Manager 5.3Records Manager 5.3
RecordsMgt
Business Users
RM Admins
Declaration RM Policy Disposition
Saillant Confidential
Records Manager 5.3Records Manager 5.3
• Existing RM application re-built against Documentum 5.3 stack
• Maintains full compliance / certification standards:– DOD 5015.2 (North America)– PRO (UK)– VERS (Australia)
• Targets new installations with first release– Migration tools for existing customers to
follow in point release
Saillant Confidential
Records Manager 5.3Records Manager 5.3
RecordsMgt
Business Users
RM Admins
Declaration RM Policy Disposition
EmailEmailRecordsRecords CASCAS
Saillant Confidential
Records Manager 5.3Records Manager 5.3
Approved Publish
ActiveBusinessContent
Business Users
RecordsMgt
Business Users
RM Admins
Declaration
RM Policy Disposition
Saillant Confidential
Q&AQ&A
Contact Information:
Scott Abel
303-350-1112