AIIM Presentation

Selecting and Implementing

A Records Management SystemJune 5, 2008

Overview

• Preparation

• Requirements

• Define Priorities

• System Configurations and Approaches

• Implementation Considerations

• Critical Success Factors

• Discussion

Preparation

Solidify Management Commitment• Is Records Management a Priority?

• Are the Compliance Risks and implications well understood at a Senior Level?

• Are you funded?

• Do you need further ROI Justification?

• Are you facing Compelling Events?

Preparation

Understand Your Regulatory and Compliance Environment !

• Federal Rules of Civil Procedure ?

• SOX ?

• HIPAA ?

• Sec 17a-3,-4 ?

• DoD 5015.2 and 5015.4

Do you need to meet this?

Preparation

Understand You Data!• Identify all sources of EIS

• Structured and Unstructured

• Develop Retention, Disposition, and Hold strategies for both!

• Strategies for:

-Working Records

-Transient Records

-Official Records

-Vital Records

• Physical vs. Electronic.

Preparation

First things first: The Data Map!• Important for all Compliance and RM

Initiatives! Not just to meet FRCP and SOX 404

• Will lead to more valid requirements and selection.

• Can be used as a vehicle to socialize records management issues within your organization and promote the importance of your activities.

Preparation

More on the Data Map:• Must be defensible and credible

• Must be reviewed and updated regularly

• Some typical information collected:

Information Description Document or Record Type Record Class or Code Retention Designation (Official, Unofficial..) Data Owning Application Data Source or Origination Quantity Owners (Business and IS) Privileged?

Sensitive? Format Time to Retrieve Accessibility Preservation Process Hold Process Declaration (on creation, event…) Chain of Custody Quantity Examples

Preparation

Data Map Tools

• Develop and Maintain using collaboration tool (SharePoint, eRoom etc)

• Use Office Tool: Access, Excel

• Generate reports or “Published” version for use by Legal.

Preparation

Preparation

Identify Risks!

• A Constant Process

• Data Map Exercise Can Uncover or Clarify

• Management Must Clearly Understand the Current Risk Condition…

Requirements

Conduct a serious requirements effort.• The Why: Business Requirements

• The What: Functional Requirements

• The How: Design Requirements

• Often a different Consultant from the Implementation effort.

• Design Requirements based upon technology and approach chosen.

• Requirements mapped to items in Solution Design Specification

• Requirements are not a “wish-list”

• Short-cuts here will lead to failure!!!!

• Be realistic….. Consultant can keep your feet on the ground!

Requirements

Some Categories To Consider:• Repository Architecture

• Document Management Functionality

• Workflow and Lifecycle Support

• Physical Record Mgmt Support

• Security Features – Role Distinctions

• Robustness of Retention Policies

• Publishing to Web Sites

• Versioning and Revision Control

• Application Integration – Office, SAP, SP, CAD

• Reporting

• Support for Hardware Retention Appliances

Define Priorities

Define and Set Priorities and Goals• What is your biggest RM challenge?

• When to Tackle email?

• Email Archiving?

• Structured Data Systems?

• Electronic or Physical? Both?

• SAAS, Hosted, or Internal?

• Which Locations When?

• Which Departments When?

• Retention Schedule Update?

• Policy and Procedure Review?

• Scanning and Capture?

• Integrations?

• Do You Drain the Swamp?

Define Priorities

Develop and Maintain a Roadmap!• Reflects Priorities and Goals

• Express both Graphically and Textually

System Configurations and Approaches

Review of System Types:• Discrete RM Application

• Collaborative or Site Based (SharePoint)

• Enterprise Repository

Differentiators• RM Focus only – (Not really DM)

• Content is Cloned

• Level of LOB System Integration

• In-Place Retention and Management

• Electronic Only

• Paper and Electronic

• Can manage complex Document Relationships

• Certifications

System Type: Discrete RM

ENDUSER

CATEGORIZEAND DECLARE

FILESYSTEM

WORKINGREPOSITORY

RMSYSTEM

FILESYSTEMRECORD

REPOSITORY

PHYSICALRECORDS

RECORDSMANAGER

MANAGE FILE PLANRETENTION POLICIES

DISPOSITIONASSESSIONS

EMAIL

LINE OFBUSINESSSYSTEM

Characteristics• RM Focus Primarily

• Content is Cloned

• Paper and Electronic

• Complex Document Relationships May be a Challenge

• Certifications for some

• Primarily Manual Declaration

• LOB Integration Limited

• Some Workflow

• Some with CAD Integration

• Single Database

• File-Share Repositories

• Simpler Deployment

System Type: Site Based (SharePoint)

ENDUSER

(OFFICE)

WORKINGSITEOR

LIBRARY

ROUTING TABLE

RECORDLIBRARY

PHYSICALRECORDS

RECORDSMANAGER

MANAGE FILE PLANRETENTION POLICIES

DISPOSITION

EMAILLINE OF

BUSINESSSYSTEM

MANUALDECLARE

POLICYDECLARE

CATEGORIZE

RECORDLIBRARY

RECORDLIBRARY

POLICYDECLARE

RECORDLIBRARY

Characteristics• Collaboration Focus

• Numerous Content Libraries

• Governance an Issue

• Content is Cloned

• Paper and Electronic

• Certifications Poor

• Declaration Manual or via policy (workflow)

• Well integrated with Office

• Requires a Library per Policy (SharePoint)

• No “Folder” File Plan

• Requires Content Types

• Repository internal to Database

System Type: Integrated RepositoryCharacteristics

• Multiple Clients

• Single Source Content

• Paper and Electronic

• Certifications Strong

• Declaration Manual or Automatic

• Folder-Based File Plans

• Requires Content Types

• In-Place Retention

• Enterprise Search Tools

• Email Archive Tools

• Requires Content Types

• Integrated Workflow and Lifecycle

• Enterprise Vault Services-Multiple Servers, Databases

ENDUSER

(OFFICE)

PHYSICALRECORDS

MGMT

RECORDSMANAGER

MANAGE FILE PLANRETENTION POLICIES

DISPOSITIONASSESS ION

SPACE

EMAIL

MANUAL DECLAREWORKFLOW DECLARE

MANUAL OR POLICYDECLARE

IN-PLACE RETENTION

RETENTION BYARCHIVESYSTEM

EMAILARCHIVE

INTEGRATEDDOCUMENT AND

RECORDS REPOSITORY

LOBSYSTEM

LINKING ORINTEGRATION

Implementation Considerations

• Define Implementation Plan to Reflect Roadmap

• Identify areas of potential scope creep

• Be realistic with schedule and LOE

• Phased Approach.. Evolve System!

• Retain Experienced Guidance

Critical Success Factors

Long Term Success Depends Upon:• Fitting Technology to Your Environment

• Facilitate User Acceptance

• Consider Organizational Readiness and Culture

• Plan customization carefully and use it strategically…

• Work within the design intent of the Software.

• Keep it Simple!

• Not a band-aid for business process or governance problem!

• RM is Everyone’s Priority!

• Keep Management in the Boat!

Discussion