A Mattox - Overview - PowerPoint Presentation.ppt

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					  Electronic Records Management
Addie Mattox, @doc, www.atdoc.com

Fundamentals of ECM System Architecture
         Certificate Program
Addie Mattox: Biographical Information
Addie Mattox is a partner of @doc, a firm specializing in
document/records management technologies. She assists user
organizations to formulate strategic plans for document and records
management, reengineer business processes, assess their needs for
document and records management technologies, perform
cost/benefit analyses, evaluate vendor offerings and provide
implementation assistance. @doc is one of the few consulting firms
that provides objective analyses of clients’ requirements and matches
them with the most appropriate solutions on the market.

Addie's client list includes domestic and international companies, from
a wide range of industries including: utilities, government agencies,
law firms, banks, insurance companies, manufacturing, research,
petroleum, and publishing. Addie is the co-author of AIIM’s white
paper on Bringing the Business Case for Document Management to
Management. She is a frequent speaker at technical conferences and
consulted by members of the trade press. Addie's MBA is from
Pepperdine University. Her graduate degree in English as a Second
Language is from UCLA.
         Course Objectives
• Define what constitutes an electronic record
• Overview of Electronic Records Management
• Define the foundations necessary to
  successfully manage electronic records
• Trends regarding legal and regulatory
• Identify industry "Best Practice" standards
• Identify where many organizations fall short in
  their records management and preservation
       Electronic Records
• Application of records management
  principles in a digital environment
• Includes same concepts as paper-based
  records management (RM) – storage
  media does not change the business
• Involves technologies to make
  managing easier, though more complex
      Definition of a Record
• All books, papers, maps, photographs,
  machine-readable materials, or other
  documentary materials regardless of physical
  form or characteristics, made or received by an
  agency of the United States government under
  Federal law or in conjunction with the
  transaction of public business and preserved or
  appropriate for preservation by that agency or
  its legitimate predecessor as evidence of the
  organization, functions, policies, decisions,
  procedures, operations, or other activities of
  the Government or because of the information
  value of the information in them. (US
  Government, NARA, 4 USC 3301)
        What about these?
• Record:
  – An email because it has been printed
• Retention period
  – After 30 days or 60 MB as determined by IT
• Records disposition
  – Removed from the shared drive but kept on
    individuals’ laptops
        Electronic Records
• The systematic control of all records
  (regardless of format or media) from
  creation or receipt through processing,
  distribution, maintenance, retrieval to
            ERM Drivers
• Documents are a resource (content) and
  a liability (costs)
• Quantity and types of information is
  growing exponentially – costs for
  discovery are growing
• Email, backup tapes, databases and web
  pages all have unique characteristics –
  fertile source of evidence
• The court decides what is evidence
             RM Review

• An RM plan includes management
  practices, policies and procedures,
  citations of laws and regulations,
  documentation and audits, roles and
  responsibilities – not just technology!
• Recent survey of 2000+ companies –
  57% don’t include electronic records in
  the RM programs
          Value of Records
• Records have value
  – Transactional, administrative, fiscal, legal,
  – We need to reference them to conduct
  – Some are re-used as portions of new
       Retrieval Over Time
• Documents have different retrieval profiles
          Cost of Records
• Managing and maintaining records is
  – File space & materials
  – Finding records on a day-to-day basis
  – Keeping additional, unnecessary documents
    that staff must search through
  – Cost of producing records during discovery
  – Losing law suits due to the lack of
    information or damaging information found
    during discovery process
             Legal Issues
• Litigators focus on:
  – Hardware & software reliability
  – Data capture
  – Quality control: access,
    annotation/alteration, encryption
  – Testimony of person responsible for records
• You won’t know what elements of your
  case will be challenged until it happens
  - be prepared
        ERM System Types
• Manual – RM programs exist without an
  ERM system
  – Paper based, do not control electronic
• ERM can be a single application to help
  manage documents and the program
• Document Management systems can
  include RM functionality with additional
         Records Management
         Applications (RMAs)
• Functionality is defined generically - for
  example, “carry information to understand the
  transaction” but not specifically what data or
   – GRS 20 issued by NARA
   – Department of Defense standard 5015
        • Certification of software against DoD 5015
        • Implementation of certified software in fed government
   –   Mo-Req (EU)
   –   VERS (Australia)
   –   VERS (UK)
   –   And others….
• Your job will be to define what specific
  functionality is necessary.
                  DoD Certified RMAs

•   Open Text Corporation's Livelink         •   Documentum Records Manager v3.0 with
    Records Management v2.5 *                    Documentum Content Server v5.1
•   Open Text Corporation's iRIMS v9.0.5 *   • IBM e-Records Solution v1.1
•   MDY Advanced Technologies, Inc.'s        • Feith Systems and Software Inc.'s Feith
    FileSurf v7.50                               Document Database v7
•   Cexec Inc.'s Cexec eRecords Enabler      • Documentum Records Manager v3.0
    v1.0                                         with iManage, Inc.'s WorkSite
•   Open Text Corporation's Livelink         • Documentum Records Manager v3.0
    Records Management v2.5                  • Documentum Records Manager v3.0 with
•   Open Text Corporation's iRIMS v9.0.5         MS SharePoint Portal Server 2001
•   Vredenburg's Highview RM 4.1             • IBM Corporation's IBM Records Manager
•   Identitech's FYI v3.5 with IBM               v2.0
    Corporation's IBM Records Manager        • IBM Corporation's IBM Records Manager
    v2.0                                         v2.0 with MS SharePoint Portal Server
•   Documentum's Documentum Records              2001
    Manager v3.0 with Documentum             * (Includes Chapter 4 - Management of
    Content Server v4.3                          Classified Records)

           As of 4/1/03
   ERM System Functionality
• Submittal/Declaration
  – When you have decided that a digital object is a
    record, how do you control it?
• Control
  – Records cannot be changed or deleted.
• Categorization/Organization
  – How will the record be retrieved and used?
• Retention
  – Based on legal and business requirements, you will
    know and track how long to keep records.
• Disposition
  – When you don’t need to keep it anymore, how do you
    get rid of it?
• What and Who
  – Users (authorized) decide that a document
    (or email or object) is a record. They click a
    button and the document is captured and
  – Documents meeting set criteria are
    captured and controlled.
  – Captured and controlled means moved to a
    a place (physical or virtual) where record
    cannot be changed or deleted.
• What and Where
  – When a user declares a record, the system
    allows them to choose a (pre-defined)
  – Auto categorization suggests or applies a
    category based on content
  – Categories can fit within search taxonomies
    to facilitate retrieval (similar to knowledge
• When and Why
  – Retention periods applied to the
    category selected
  – Retention periods can be tied to
    event triggered automatically
    (when submitted, when project
    complete, when employee
    retires, etc.)
  – Retention periods and
    requirements managed with
  – Organization of record storage
    based on retention requirements
• How
  – When retention period expires, provides
    reports of documents to be disposed
  – Purges and reports on results
  – Provides audit capabilities
• To use electronic records as evidence,
  you must show that the records were
  controlled from a process and technical
  – No one can declare, edit or delete without
    authority and documentation
  – No one can access data files directly
    (independent of database retrievals for
    viewing documents)
  – WORM, Network security, encryption
        Useful Document
• Endorsing – identifies which
  documents/records have been captured
• Redaction – covers a portion of an
  image for confidentiality
• Recognition - (OCR, ICR) makes the
  content of images searchable
• Microfilm – analog
           Legality of WORM
• Write once, read many
• Records management rules for microfilm and
  optical storage
   – Images must be retained in the exact format they
     were presented at a specific point in time
   – Images must be retained in a storage medium that is
     deemed secure:
      • Permanence and stability of media
      • Authorized access only
• Legality is determined on case-by-case basis
• Paper and microfilm are still appropriate for
  long-term archival (12 - 50 years+)
       Electronic Signatures
• Electronic Signatures in Global and National
  Commerce Act
  – “a signature, contract, or other record relating to
    such transaction may not be denied legal effect,
    validity, or enforceability solely because it is in
    electronic form”
• Signed electronic records shall contain
  information associated with the signing that
  clearly indicates the printed name of the
  signer, the date and time when the signature
  was executed. The meaning (such as review,
  approval, responsibility, or authorship)
  associated with the signature.
   Technical Access Options
• Ways to maximize security AND
  information access
  – Replication – allows a copy of the system to
    be available for users while another is
  – Internet security – security and encryption
  – Watermarks –identifies copyright or
             Controlling Access
• Permission on each document –
  more control results in more
  administration                           Adminis-
• Role based groups – access to             tration
  document sets based on user profiles
• Authentication – use network access        goes
  to determine who can use system            down
• Audit – post usage verification to see       as
  who is accessing documents/records       control
• Control can be based on:                   goes
   –   File inventory
   –   Classification                        down
   –   Retention
   –   Versions
    Complementary System
• Imaging – a place for digital paper
• Document management – control of
  work in progress
• Knowledge management – facilitate
  access and reuse of information
• Content management - control of
  transitory information objects/sections
• Workflow – automating the movement
  of work
    There are other AIIM courses on these topics!
        Determining Your
• System requirements are a combination
  – Accepted standards and methods of
    maintaining records
  – Functionality specific to your organization
    based upon your RM program and practices
    in place
  – Functionality specific to your organization
    based upon the way people do their
    business and the information they need
  Review Existing RM Series
• Often there is a relationship between
  electronic records and paper or hard-
  copy records. Reviewing an existing RM
  Series is helpful.
• For each record series, identify which
  electronic documents would also fall
  into that same category.
• If they don’t, a new category may need
  to be listed.
        Process Orientation
• Processes define what your organization does.
  At a high level, your organization’s mission
  statement may be your overall process.
• Each process can be broken down
  (decomposed) into smaller processes
• If your organization has been through a
  Business Process Reengineering project, or a
  process redesign project, you may have
  already defined these.
• Each task will help identify the interaction with
  external entities, the use of documents that
  might be records and retrieval requirements
       Customer Orientation
• Develop a list of the entities with transactional
  relationships to your organization.
   – Customers (pay you to provide a service or product)
   – Constituents (receive your products or service even
     though someone else may pay for it) - public
   – Supplier (provide materials or subcontract services
     that contribute to your final product) –
   – Supporters (provide product or service that does not
     directly help you provide service, but helps you
     maintain your organization) - personnel services,
     accountants, etc.
   – Controllers (have legal authority to define how you
     perform your business) – regulatory agencies,
   – Employees - subcontractors, unions
                Record Series Data
•   About the overall list               – Physical Storage
     –   Department name                   Requirements
                                             • Storage location
     –   Date of inventory
                                             • Media characteristics
     –   Name of contact                     • Hardware environment
     –   Name of analyst                 – Reference Activities
•   About each series                        •   Online
     – Meta Data Information                 •   Nearline
          •   Series title                   •   Offline
          •   Summary description            •   Offsite
          •   File type                  – Retention Requirements
          •   Dates covered                  • Relationship to human
          •   Storage/edit date                readable records
          •   Arrangement                    • Supporting files
          •   Quantity                       • Vital record status
                – Count             •   For each record series, list
                – Bytes
                                        the custodian or owner
     – Estimated growth
• RM is never complete without knowing
  the laws and practices specific to your
• Good place to start in altering existing
  RM practices or starting from scratch
  – http://www.cohasset.com/LOAM/
  – ARMA
        Paper vs. Electronic:
• Form and format         • Form and format
  linked.                   unlinked.
                          • Content and context
• Content and context       unlinked.
  linked.                 • Not humanly readable
• Humanly readable.         without intervention.
• Intelligible after 25   • Unintelligible after 25
                            years, unless old
  years.                    technology is in place.
• Designed not to         • Designed to be easily
  change.                   changed.
• Records                • Records
  management saves         management costs
  money                    money
• Saves valuable space   • Space and storage
  and reduces storage      are cheap
  costs                  • Schedule records
• Schedule records         prior to creation
  after creation
    Hard Dollar Avoidance –
• Fortune 500 company – wrongful
  termination lawsuit
• Subpoenaed for all records
• Printed all emails for past 4 months,
  reviewed manually, took weeks
• $750,000 un-reimbursable expense
• Settled out of court
       Paper vs. Electronic:
• Centralized file       • Decentralized
  systems                • Complex technology
• Simple foundation        foundation
• Records put together   • Tied together
  physically               through links,
       Paper vs. Electronic:
• Agency records         • Network
  officers.                administrators,
• Value of records         middle management.
  management known,      • Value of records
  understood, applied.     management not
• Records programs         recognized.
  have knowledge and     • Records programs
  experience.              lack experience.
          ERM Essentials
• Management – overall plan and process,
• Policies – what should be done
• Procedures – how to do it
• Training – why it is important and how
  to do it
• Audits – verifying that it was done
• Documentation – what was done
• Oversight and Monitoring
  – oversight mechanisms are needed to monitor
    compliance with policies and guidelines for
• Proposed Approach
  – include RM in new employee orientation
  – integrate oversight and monitoring with other
    internal and external audits to the extent possible
  – use auditing and analysis of recordkeeping
    capabilities in conjunction with efforts to improve
    and enhance business processes or systems
  – publicize and reward success stories

• Electronic records systems must have
  accurately documented policies,
  assigned responsibilities, and formal
  methodologies for their management.
  – A register of all policies
  – Procedures, including staff responsibilities
  – Operations manual
      Problems and Issues
• Distinct Disciplines
  – Support of ERM program requires
    complementary skills of IT and RM
  – RM wants to write only, IT wants to read,
• Remedy
  – Education, communication
  – New reporting structure?
      Problems and Issues
• Chain of command
  – Image conversion may require records to be
    outside control
  – ASP puts records into another’s repository
• Remedy
  – Clear agreements, audits, documentation
      Problems and Issues
• Timeframes and Obsolescence
  – To make an electronic record viewable
    requires hardware, OS, application version,
• Remedy
  – Migration policies to identify when and how
    to move to next technology
  – Careful tracking of changes to industry
  – Acceptance of analog technologies
      Problems and Issues
• Email
  – Email is voluminous, backed up in multiple
  – Emails have message and attachment
  – Sometimes used inappropriately
• Remedy
  – Strict and clear policies and procedures with
  – Appropriate technology to classify, control,
    retrieve, dispose
         System Trends
• Document management, imaging are
  providing some RM functions without
  need for add-ons
• Email solutions are improving
• Content management tracks web-based
  information being integrated
       Non-system Trends
• Strategic Motivators
  – Sarbanes-Oxly – accounting scandals
  – HIPAA – Healthcare privacy
• Savvy judges
• Role of IT in ERM growing but still
  under-represented. No one is in charge
  of electronic documents.
    Additional Information
• For further study on:
  – Records management, visit www.arma.org
    or www.cohasset.com
  – Document technologies and enterprise
    content management, visit www.AIIM.org
  – CDIA+, document technologies, visit
    www.atdoc.com or find @doc materials on
    the AIIM bookstore website

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