AIIM Presentation

2. AIIM Presentation Selecting and Implementing A Records Management System June 5, 2008

3. Overview • Preparation • Requirements • Define Priorities • System Configurations and Approaches • Implementation Considerations • Critical Success Factors •Discussion

4. 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?

5. 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?

6. 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.

7. 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.

8. 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

9. 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.

10. Preparation

11. Preparation • Identify Risks! • A Constant Process • Data Map Exercise Can Uncover or Clarify • Management Must Clearly Understand the Current Risk Condition…

12. 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!

13. 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

14. 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?

15. Define Priorities • Develop and Maintain a Roadmap! • Reflects Priorities and Goals • Express both Graphically and Textually

16. 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

17. System Type: Discrete RM • 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

18. System Type: Site Based (SharePoint) • 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

19. System Type: Integrated Repository • Characteristics • 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

20. 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

21. 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!

22. Discussion