Education Code:

A Case Study:Establishing Wiki & Blog

GovernanceJason C. Stearns, CRM

Corporate Vice PresidentCorporate Records Manager

New York Life Insurance Company

Education Code: SV02-2179

Learning Objectives

Upon completion of this session, participants will be able to:

– Identify key players and best practices for establishing governance and policy

– Determine the appropriate steps for initiating a governance committee and working group

Learning Objectives

Upon completion of this session, participants will be able to:

– Identify and mitigate common challenges associated with the governance process

– Determine how to balance the competing needs of RIM, Legal, Compliance, IT and lines of business

Upon completion of this session, participants will be able to:

What We’ll Cover* Overview of Wikis, Blogs and Governance* A “Snapshot” of New York Life* The Governance Working Group* Specific Requirements and Focus of Key

Participants* Challenges Faced* Suggest Steps* Looking Ahead – The Social Tools

of Web 2.0

What is a Wiki?

A wiki is a Web site that allows users to add and update content on the site using their own Web browser. This is made possible by Wiki software that runs on the Web server. Wikis end up being created mainly by a collaborative effort of the site visitors.

What is a Blog?

Short for "Web Log," this term refers to a list of journal entries posted on a Web page.

Blogs are typically updated daily, monthly, or anywhere in between.

A wiki is a symphony.A blog is a solo.

Establishment of policies, and continuous monitoring of their proper implementation, by the members of the governing body of an organization. It includes the mechanisms required to balance the powers of the members (with the associated accountability), and their primary duty of enhancing the prosperity and viability of the organization.

Governance

The Business CaseProperly leveraged, Wikis and Blogs can capture and establish institutional memory and create a dynamic and collaborative environment.* Some internal uses for Wikis

– Document collaboration– Project Management– Directories– Corporate Encyclopedias– How to’s

The Business CaseProperly leveraged, Wikis and Blogs can capture and establish institutional memory and create a dynamic and collaborative environment.* Some internal uses for Blogs

– Knowledge Sharing– Project Management– Company/Departmental News Sites– Subject Matter Expert Resources– Internal Marketing Efforts

New York Life At-A-Glance* 9 Countries* All 50 States* 300 US Locations* 20,000 US Employees & Agents* 5,000,000+ Policy Records

Chairmen President & CEO

US Life Insurance & Agency

NYL Investment Management LLC

Corporate Communications

Retirement Income Security

Corporate Finance

Office of the General Counsel

New York Life International Corporate Audit Life & Annuity

Administrative Operations

CIO

ITBusiness Resilience

Areas of Support & Coordination

ExecutiveManagementCommittee

CorporateInformationExecutiveTeam

CorporateRecordsManagement

Chairmen, President & CEO

NYL Business Drivers

* Employees already use the technology* Business Areas “want it”* Knowledge Management initiatives* Enhanced collaboration* Corporate Green Strategy* Senior Executive support of Web 2.0

technologies

Executive Support

“Prohibition is not an option.”

-Ted Mathas President, Chairman & CEO

Governance Working Group* E-Records (IT) – 2* Compliance – 4* Pilot Group – 2* Legal – 2

* CISO* Chief Privacy Officer* Corporate Records Manager* IT Infrastructure – 2* Corporate Internet – 2* Business Resilience – 2

Working Group’s Goals* Develop Policy, Standards & Procedures* Establish Ongoing Governance Structure* Propose Surveillance Framework* Formulate Usage Guidelines* Create Templates

The PolicyEstablishes the “Rules” and Governance Committee's Authority* “Thou Shalt” and “Thou Shalt Not” Statements* Addresses:

– Content Ownership– User Responsibilities– Records Management Requirements– E-discovery Issues– Surveillance Requirements– Privacy Issues– Information Security Issues– Supporting policies

Standards & ProceduresProvides the detail of the “why” and the “how” as outlined in the policy* Includes request and approval process* Lists approved and prohibited tools* Details approved and prohibited usage* Addresses:

– Common terminology– Company specific terminology– Surveillance process– Violations

GuidelinesDetails corporate philosophy, examples of acceptable usage and potential benefits * Say/Do “this” not “that” examples* Provides additional resources* Explains “Neighborhood Watch” approach* Addresses:

– Corporate Culture issues– Basic “How To’s”– Internal v. External behavior– Good Corporate Citizenship

Templates

* Addresses:– Format standards– Acceptable content– Approved subjects– Includes Technical “How To’s”

Preformatted and preapproved use cases* Speeds approval process* Shortens set up time* Prefilled with example content* Encourages participation* Adheres to intranet design standards

Requirements & Focus

Legal* eDiscovery and Preservation

– General litigation– Personnel issues

* Indexed and Searchable– Support of various search methodologies– Ability to leverage holds

Requirements & Focus

Compliance* Surveillance of Electronic Communications

– Regulations require that certain eCommunications must be:

– Reviewed, Retained & Retrievable –or –– Restricted

* Marketing Materials– Regulations require a process for the

review, approval, expiration and retention

Requirements & Focus

Information Technology* Security

– Encryption, passwords, external access* Architecture Standards

– Web servers, integration, redundancies* Support

– Business Areas v. IT– Technical v. “How To”

Requirements & Focus

Business Areas* Ease of Use

– Training– WYSIWYG

* Facilitate Collaboration– Intradepartmental– Interdepartmental– Ethical walls

* Aligned with Business Goals

Requirements & Focus

Records Management* Records

– All records created must meet corporate standards for retention

– WORM* Non-records

– Auto-deletion/expiration– Timing– Holds

Requirements & Focus

The “Grid”

To track the various issues for each area a spreadsheet was developed to track the “pieces.”

* Extremely useful for identifying common requirements

*Foundation for project roadmap*Helps in prioritizing needs

Challenges Faced

A Lack of Understanding of the Tools* Business uses not fully

understood* New language and terminology* A myriad of tools and services* Technophobia

Challenges Faced

Private Use v. Business Use* Time drain or efficiency boost?* One too many distractions?* Who “owns” the content?

Challenges Faced

What Do We Want to Capture?* Everything? Select content?* Policies, procedures, rules?* Drafts, work in progress, notes?* Other general info?

Challenges Faced

What Do We Need to Capture?* “Electronic communications”* Marketing materials* Records

Challenges Faced

Are These Even Records?* Do they posses the four

characteristics?* When do they “become”

records?* Who is the record owner?* Where should they be

maintained?

Challenges Faced

Lack of the Necessary Tools* No official wiki or blog software* No true ECM* Multiple and segregated

intranets

Challenges Faced

Staying Focused* Internal v. external* The “chicken or the egg”?* Rapidly changing technologies* Schedules

Review & ReviseThe Steps

Assess the NeedObtain Executive Support

Determine the FocusIdentify the Players

Decide on the GoalsMeetings & More Meetings

Create Drafts

PublishForm the Governance Body

* Assess the Need– Do business areas want the technology?– Is anyone already using it?– What are the anticipated uses?– What are the expected benefits?– Is there a willing sponsor?– Is there an eager pilot group for testing?

The Steps

* Obtain executive support– Do they understand the technology and/or its

potential impacts?– Are they a “true believer”?– The “higher” the better– Will they be actively involved or just provided

support?– Are they an “influencer”?

The Steps

* Determine The Focus– Wikis, blogs, other social web tools?– Internal or external?– What are the anticipated uses?– Who are the expected users?

The Steps

* Identify the Players– RIM– Legal– IT– Compliance– Business Area/Pilot Group– HR– Communications– Senior management– ???

The Steps

* Decide on the Goals– Policy, procedures, guidelines, etc.– Do you need a governance framework?– Regulatory considerations?– Litigation experience?– Pilots and tests?

* Use SMART goals

The Steps

GO

ALS •SpecificS•MeasureableM•AttainableA•RelevantR•Time-boundT

The Steps

* Meetings & More Meetings– Have one chairperson, coordinator, lead, etc.– Set a regular meeting schedule and stick to it– Every meeting should have an agenda– Divide up the work– Be flexible– Circulate meeting summaries or minutes for

anyone that could not attend– Keep an eye on your deliverables

and due dates

The Steps

* Create Drafts– Divide up the work– Create a central contact person for compiling

the draft– Unify tone of all documents– Decide on responsibilities, roles, authority, etc.– Circulate the draft and collect feedback from

outside the working group– Watch deadlines and due dates

The Steps

* Form the Governance Body– Identify the players– Set a meeting schedule– Educate any new members– Design the review, approval and monitoring

processes– Announce

The Steps

* Publish– Develop a communications strategy– Target senior executives and department

heads– Use intranet, email, memos, mailers, etc.– Consider meetings, FAQs, other events– Design a targeted internal marketing effort

The Steps

* Review & Revise– Monitor changes in how tools are used– Watch technology developments– Revise documentation as needed– Go through the original steps to ensure

consistency

The Steps

Looking Ahead

Wiki’s and Blogs are just some of the Web 2.0 technologies that are changing how we do business and that are having an impact on Records and Information Management.

ARE YOU PREPARED?

The Social Tools of Web 2.0

WikisMessaging

Mobile

Syndication

BlogsNetwo

rksVideoAudio

Photos

Micro-blogging

Consumer Reviews

Virtual Worlds

Jason C. Stearns, CRM

jasoncstearns@mac.com

jasonstearnscrm

jasoncstearns

Thank

you!

A Case Study:Establishing Wiki & Blog

Governance

Jason C. Stearns, CRMCorporate Vice President

Corporate Records ManagerNew York Life Insurance Company

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Education Code: SV02-2179