Content Management & Records Retention “A RIM Perspective”

1. Content Management & Records Retention“A RIM Perspective” Nancy M. Maglothin, Records and Information Manager Kentucky Employers’ Mutual Insurance

2. Information Retention “A RIM Perspective” Content Management & Records Retention“A RIM Perspective” Information

3. Information Retention “A RIM Perspective” Think of your garage… • What if you kept everything? • How do you know what you have? • Would you be able to find everything?

4. Information Retention “A RIM Perspective” If you kept EVERYTHING wouldn’t your garage look like this?

5. Information Retention “A RIM Perspective” Why can’t we keep everything ‘forever’? • How long is “forever”? • What happens when you can’t find it? • What about when someone does get rid of it?What risk does that create?

6. Information Retention “A RIM Perspective” • Does your organization have a RIM Program in place? • A Records Retention Schedule? • Does the program account for management of Electronic Records? Or Emails? • How are Legal Holds handled?

7. Information Retention “A RIM Perspective” KEMI’s Records and Information Management Policy “The Goal of the RIM Program is to comply with all statutory and regulatory requirements, while minimizing legal risks, safeguarding information, reducing or avoiding costs associated with managing paper records, electronic data and files, and other KEMI information resources”

8. Information Retention “A RIM Perspective” Records & Information Management – What is it? Appropriatemaintenance and destruction of company records

9. Records Retention Schedule - Sample

10. Information Retention “A RIM Perspective” Legal Requirements & Litigation Support • Have you have had to produce information to support litigation? • If you have it, a court can order you to produce it. • Can you share what happened? How difficult was it?

11. Information Retention “A RIM Perspective” Request for Legal Documents • How easy was it to identify, find and produce documents requested? • What about cost? How expensive was it? • How much time did it take?

12. Information Retention “A RIM Perspective” Back-up Tapes • Has a back-up tape ever been used to locate a document to support litigation? • If so, is it really being used for what it was intended? • How do you insure your information stored on your oldest back up tape is still accessible? • How long will the tape media itself last? • How about equipment, do you still have the hardware to load and read the tape?

13. Information Retention “A RIM Perspective” • Do you have a Legal Hold process in place? • Legal Hold process implemented in May 2009 • KEMI defines Legal Hold as “cease destruction and preserve all records (both Electronic and Paper) related to the subject of the legal hold”. • “Legal Holds” include: • Claims Litigation • Subrogation • Collections • General Litigation (includes Subpoenas, Fraud Investigations and Agency Reporting, and other litigation matters)

14. Information Retention “A RIM Perspective” Active Holds as of July 2010

15. Information Retention “A RIM Perspective” • Employees are notified of the Legal Hold based on a “File Mark” placed in our business system, Power Comp and our Imaging System, Image Right. • If employees have documents that pertain to the matter out-side of our business systems (i.e. Word, Excel, Outlook, etc.) they are asked to place a copy in a secure area created for the matter. Today this is a manual effort. • Process of implementing an Enterprise Content Management (ECM) System that will Automate our Legal Hold process.

16. Information Retention “A RIM Perspective” Enterprise Content Management – OpenTextLivelink Main Features: • Content Management System will identify documents in the system that contain the specified matter number or name (Policy, Claim, General Litigation) and maintain a copy for Litigation purposes. • Document Retention, based on our Records Retention Schedule is applied at a top level folder. All documents placed in the folder or sub-folders created take on the specified retention. • An automated review and disposition of records once retention has been met via the use of a workflow.

17. Information Retention “A RIM Perspective” Email Management Considerations • Should email be a type of record on the Records Retention Schedule? • How is email today any different than snail mail of yesterday? • Share ideas and thoughts. How is your organization managing email today?

18. Information Retention “A RIM Perspective” Looking Ahead @ KEMI • Implementation of ECM then Email Management. • ImageRight our Core business Imaging System • Deletion of Images once retention has been met • Power Comp our Business System • What data can be eliminated to support retention?

19. Information Retention “A RIM Perspective” • ARMA International – www.ARMA.org • Professional association and the authority on managing records and information – paper and electronic. • Membership more than 11,000 Including: • Records and Information Managers • Compliance and Privacy Officers • Information Technology Managers • Attorneys • Archivists & Librarians • Educators in both the public and private sectors • ARMA Established in 1955

20. Information Retention “A RIM Perspective” ARMA continued • ARMA also develops and publishes standards and guidelines related to records and information management. • It was a key contributor to the international records management standard ISO-15489. • Local chapter meetings in most cities. Good opportunity for networking and educational sessions.

21. Information Retention “A RIM Perspective” Questions / Discussion Nancy M. Maglothin RIM Manager, KEMI nmaglothin@kemi.com 859-389-1217