“Getting a Grip” on Records Management. Saillant Confidential Agenda Records Management –Why...

““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?


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


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


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.


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


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


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


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


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


Value OpportunitiesValue Opportunities

• Content and Records Management enable:– Data Reduction– Soft Compliance– Hard Compliance– Search & Discovery– Data Movement, Protection & Recovery


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


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


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


Solution: Content ManagementSolution: Content Management


• 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


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


Solution: Records ManagementSolution: Records Management

Hardcopy “boxes”

EmailEmailRecordsRecords


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


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


MigrationMigration

SharedSharedDriveDrive

Data cleanse and

normalization

• Minimize user interaction through automation• Establish persistence & purge policy early in

lifecycle• Normalize for a standard data structure


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?


Solution: Soft ComplianceSolution: Soft Compliance


• 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


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


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


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’


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


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


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


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


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


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


Retention Policy ServicesRetention Policy Services

PolicyManagers

ApprovedRetention

PolicyDisposition

ActiveBusinessContent

Business Users


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


Records Manager 5.3Records Manager 5.3

RecordsMgt

Business Users

RM Admins

Declaration RM Policy Disposition



• 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



RecordsMgt

Business Users

RM Admins

Declaration RM Policy Disposition

EmailEmailRecordsRecords CASCAS



Approved Publish

ActiveBusinessContent

Business Users

RecordsMgt

Business Users

RM Admins

Declaration

RM Policy Disposition


Q&AQ&A

Contact Information:

Scott Abel

[email protected]

303-350-1112

mailto:[email protected]

“Getting a Grip” on Records Management. Saillant Confidential Agenda Records Management –Why...

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