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					IT for Records
  Managers

 Nicole Smith, CRM, CDIA+, LIT
 NAGARA 2009 Annual Meeting
          Seattle, WA
         July 16, 2009
Virtually everything in
business today is an
undifferentiated commodity,
except how a company
manages its information.
How you gather, manage and
use your information will
determine whether you win
or loose. Bill Gates
                          2
Agenda
• The Facts
• Terminology




• What do you need/expect to learn?




                                      3
Good Afternoon!

• Thank You!
• How many of you feel you have control over all or the
  majority of your electronic records from an inventory
  and retention perspective?




                                                          4
The Facts

• “Our email management strategy has not yet begun
  or much remains to be done”
   • 75% of End Users*
• “There is widespread understanding in our
  organization of what electronic records are and how
  they should be retained”
   • 67% of End Users Somewhat or Strongly Disagree*
• “In the event of a lawsuit, we have clear policies and
  procedures in place outlining what to do relative to
  electronic information”
   • 55% of End Users Somewhat or Strongly Disagree*

                                                           5
The Facts (Con’t)

• 41% of Organizations have a Formal Program in Place
   to Address Litigation Readiness and Electronic
   Information.”*




*AIIM’s Industry Watch Survey, State of Information Management
 Preparedness


                                                                 6
How Well Do You Communicate?

• http://www.youtube.com/watch?v=4pyjRj3UMRM




                                               7
Glossary

• Database:
   • a structured collection of records or data which is stored in a
     computer so that a program can consult it to answer queries.
• Email:
   • Now just one word.
• Disaster Recovery:
   • is the process of regaining access to the data, hardware and
     software necessary to resume critical business operations after a
     natural or human caused disaster.
• Contingency Planning:
   • A plan devised for a specific situation when things could go wrong
     – typically a system failure.
                                                                         8
Glossary (Con’t)

• Records Series:
   • Individual Records categorized on a Retention Schedule.




                                                               9
Acronym Help

• whatis.techtarget.com
• wikipedia.org




                          10
Communicating With IT

• IT Concerns:
   • Backup
   • Support
   • Occasionally, Discovery




                               11
IT Categories/Departments

•   Network Support
•   Security
•   Legacy Support
•   Disaster Recovery
•   Development
•   Desktop Support (Help Desk)
•   Internet/Intranet/Web Development


                                        12
Records Access Over Time




Frequency




                                      Time




                              Records Access Over Time




     “Managing Content’s Lifecycle”
     AIIM Webinar, March 21, 2007

                                                         13
Consider A Context Diagram or Workflow Process

• Most Data goes through Process
• The System was Designed for a Reason
• Records not originally identified come to the surface




                                                          14
“Records Inventory”, Holmquist, CRM, Patricia, March 2007, ARMA Seattle Presentation
                                                                                       15
You Need to Work with IT

• These Days, most IT professionals understand what
  RM Professionals do.
• You need to ask the right questions in order to find all
  the data.
• You will never have a clue what data IT is managing
  (beyond the obvious – e-mail, MS Office) without
  assistance from the Business User




                                                         16
How to Conduct An Electronic Records Inventory

• You can and should inventory electronic records
  when you begin your paper records inventory.
• Most of the Time, you will see a Direct Link between
  physical and electronic (especially printing addicts)
• The best way to identify electronic records is by
  contacting the business user




                                                          17
How to Conduct An Electronic Records Inventory (Con’t)

• 1. Identify all electronic systems (including MS
      Office).
• 2. Ask who your client talks to in IT about their
      system(s): Such as:


• A. Maintenance
• B. System Changes/Updates
• C. Backups; how are they handled?



                                                         18
Once Identified, Classify

• Just like with physical records, we look for the best fit
  within our exisiting retention schedule.
• Some of the time, new categories will need to be
  created (i.e.: System Logs)




                                                          19
Placing the Data in the Retention Schedule

• Depending on how your retention schedule is
  structured, you may not find a suitable Records
  Series
• Most of the time the data will fit
• Be prepared to create new Records Series
• Setting Policy, electronic and physical records should
  be treated the same




                                                       20
What is the Difference Between IT & RM ?

• Technically, not much. Both are in the business of
  protecting data.
• IT Professionals are getting used to these terms:

                       • Discovery
                     • Data Forensics
                       • Retention
       • Ability to Read Data before it is Obsolete
               • Rules of Civil Procedure
                    • Sarbanes-Oxley
                                                       21
Electronic Records Inventory Checklist

• What Business Unit Owns the Data?
• Who is the Business Unit Contact?
• Who is the IT contact/that supports the electronic
  data?
• What medium is the data stored on?
• What format is the data in? (Unstructured –database,
  etc.)
• How often is the data backed up?
• How often are backup tapes rotated? (i.e. from offsite
  and recycled use)

                                                           22
Electronic Records Inventory Checklist (Con’t)

• Have the backup tapes ever been tested? (i.e. can
  they be read?)
• Is the data Vital?
• If the data is Vital, what are the Disaster Recovery
  Plans?
• If offsite storage is handled by a vendor, contact the
  vendor for their availability during a disaster; and find
  out how they support their clients during a disaster.




                                                           23
Federal Civil Rules of Procedure

• The manner in which electronic records will
  have to be divulged.
• Unfortunately, this will reveal system and data
  management weaknesses.
• Just like retention issues, most organizations
  will find out the hard way: how difficult it is to
  locate data in a timely manner.




                                                       24
Case Study: Oops! Technician’s Error Wipes Out Data For
State Fund*

• A Technician was reformatting a drive containing
  Alaska’s oil-funded (Alaska Permanent Fund) account
  with all the data regarding Alaska’s residents.
• The Good News: There were backup tapes.
• The Bad News: They Couldn’t be Read
• The Good News: 300 boxes of 2006 Applications still
  existed and were available for scanning.
• It only cost $220,000



*CNN.com, POSTED: 9:42 a.m. EDT, March 20, 2007
                                                          25
Case Study



•Atlantic
  Southeast
  Airlines
              26
Atlantic Southeast Airlines*
• 60 Regional Jets Grounded
• 87 Engines allowed to run past their
   maximum hours of operation
   without inspection
• 10,000 passengers grounded

*USA Today, April 2, 2009, p 2B

                                     27
Discovery Process

• Identify the Process for Discovery (or other
  holds):
   • How notifications will go out
   • What they Mean (i.e Retention is Suspended)
   • It is the responsibility of the Business Owner to notify IT
    of the hold




                                                               28
Policy for Handling Electronic Records Retention

• Invoke a Policy with IT on how electronic
  records should be handled:


         RM Reviews Data with Business Owner →
             List of Eligible Records Is Created →
                    Approval From Legal →
                       RM Notifies IT →




                                                     29
Thank You !

             Nicole Smith
 nicolesmith@hillintl.com 425.503.1428
                                         30

				
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