© 2007 ibm corporation ® 1 state of nebraska – 2007 digital summit topic: records management...

1© 2007 IBM Corporation

®

State of Nebraska – 2007 Digital Summit Topic: Records Management Enablement and Single View of the Citizen

Kent Kubie – IBM Client Executive for the State of Nebraskae-mail - [email protected] Richert – SOA Leader for the Central Plainse-mail – [email protected] Hayse-mail - [email protected] Rummelt - Industry Solutions Specialiste-mail - [email protected]


Information Management software | Enterprise Content Management

Agenda

Welcome and introduction

Brief overview Records Management Enablement from IBM

Overview SOA solution for “Single View of the Citizen”

Wrap up and Q&A

Additional information


®

Records Management - Leading the Market with Innovation

Wes Richert – [email protected] Hays - [email protected]/5/07



Disclaimers

IBM customers are responsible for ensuring their own compliance with legal requirements. It is the customer's sole responsibility to obtain advice of competent legal counsel as to the identification and interpretation of any relevant laws and regulatory requirements that may affect the customer's business and any actions the customer may need to take to comply with such laws.

IBM does not provide legal advice or represent or warrant that its services or products will ensure that the customer is in compliance with any law.

The information contained in this documentation is provided for informational purposes only. While efforts were made to verify the completeness and accuracy of the information provided, it is provided “as is” without warranty of any kind, express or implied. IBM shall not be responsible for any damages arising out of the use of, or otherwise related to, this documentation or any other documentation. Nothing contained in this documentation is intended to, nor shall have the effect of, creating any warranties or representations from IBM (or its suppliers or licensors), or altering the terms and conditions of the applicable license agreement governing the use of IBM software.



e-Records Management: Past, Present, & Future

1st Generation – Paper & Microforms Retrieval System (Computer Assisted Retrieval Systems [CARS])

2nd Generation - 1st Generation Solutions upgraded to manage desktop documents, bring their own repository and search tool (Records Management Applications [RMA])

3rd Generation – New Paradigm introduced, e-Records Policy Engine used to embed RM features and functions into business applications (at server & / or desktop), w / repository independence, use existing customer search tools

4th Generation – e-Records Policy Engine extended to embed RM features and functions via Enterprise Content Integration (Federated Records Management)

5th Generation – To be addressed on the next slide

6th Generation – Universal Virtual Computer



5th “NEXT” Generation RM Policy Management

Tie to Master Data Management for metadata integrity

Tighter integration with e-Discovery technology and establish linkage with Privacy Management & Digital Rights Management to Records Management

Open Systems Interface developed and promoted to all software vendors

Enhance linkage between RM & Storage policy (RM & TSM) for media & data format migration, etc.

Enhance compatibility linkage between RM & CAS storage solutions for expungement process

Disclaimer:None of the information presented above should be viewed as a commitment, it is only presented for informational purposesAll of the plans are subject to change. Features may be pulled out of the release at any time for any reason.



There is a virtuous circle among the compliance disciplines

ISO 15489 as Basis for Records Management Strategic Planning, Program Design and Implementation

Step A:

Conduct preliminary

investigation

Step B:

Analyze business activity

Step C:

Identify requirements for records

Step E:

Identify strategies to

satisfy requirements

Policy

Standards Implementation

Design

Step D:

Assess existing systems

Step H:

Conduct post-implementation

review

Step G:

Implement system

Step F:

Design system

requirements

Sedona cites ISO

Fed. R. Civ. P cites Sedona

Use of ISO 15489as proof of good faith

efforts



Our approach is based on ISO standards

Step A:

Conduct preliminary

investigation

Step B:

Analyze business activity

Step C:

Identify requirements for records

Step E:

Identify strategies to

satisfy requirements

Policy

Standards Implementation

Design

Step D:

Assess existing systems

Step H:

Conduct post-implementation

review

Step G:

Implement system

Step F:

Design system

requirements

…..and is the starting point for an e-Discovery (or compliance) effort



Essential to Compliance | Two Key Ingredients

Records Management

• Business, Processing, and Messaging Applications—helps ensure that the right controls are in place to behave in a legally compliant manner.

• Records Management—helps ensure that you collect and preserve the right evidence to prove your behavior was compliant

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Business, Processing and Messaging Apps Business, Processing and Messaging Apps

Policies, Controls andProcess

Evidence and Proof

“Corporations can not demonstrate compliance without Records Management”



ECM +BPM = Single platform for compliance

Operational

Risk

Regulatory

Processes

Content

Secure Remediate Dispose RecordCollaborate OptimizeAutomate

Services

Auditing

Discovery

Evidence

IBMIBM



Email Drives Business Processes

CustomerCustomerCustomerCustomer

Initiate Claim

Notifications

Capture Record

Process andAdjust Claim

Complaint ProcessComplaint Process

Customer Service Rep Customer Service Rep



(Info Life Cycle Mgmt)

Best Practices…

(Disposition)

Document Mgmt

“work in process” “Official” Information

Declaring Structured Data as Business Records Point of authentication



Records Management from Creation to CoreSecure Data Management at the “Desktop Edge” w/ IBM Records and Content Management at the “Core”

e-Mail, DataFile Shares

Images, Faxes

Content Management(Storage, Search, Security)

Microsoft Office

NotesDatabase

Desktop Applications

Records Management(Retention Schedule, File Plan)

Lotus Notes

eMail

Email ArchivingDocument Management

Peoplesoft Siebel

Business Applications

SAP

R

IBM ECMRepository

IBM CMOnDemand

Information Integration(Federation, Search)

Physical Records

Data Capture and Classification upon CreationInformation Routing

SecureDesktopsLaptops &Fileshares

Commercial Records

MSExchange

Immediate Out-of-the-box functionality todayRecords Management AdministrationProfessional Services



Value Proposition for Federated Records Management

The courts have viewed the following as “BAD”

1.NOT having a Records Management Program

2.NOT having a consistent deployed Records Management Program

Single Enterprise Search / e-Evidence Discovery (records & non-records)

Consistency in the declaration and classification

Consistency in ability to declare non-records as records

Centralized application & release of Hold Orders

Centralized disposition authority for the enterprise



Major areas to consider

Records Mgt + Content Integration Bus = Federated Records Mgt (leave data in place)

Policy Engine – both event and rules driven to support your eRecords system

Declare and Classify (make it easy and consistent)

Discovery + Application and Release of Hold Orders

– Single search across multiple repositories

– Both “work in process” and official eRecords

Disposition

– Timely

– Reduce costs by cleaning up digital landfill

– Retain the information you need by policy



Electronic Discovery Process

Case Management

Electronic Discovery is more than just searching … it is a process that defines what documents are needed, how they

are handled, reviewed and eventually packaged to be presented to external or opposing counsel.

This process can be improved and made cost effective … IBM has all the ECM tools to help you along the way.



How IBM ECM Helps with Electronic Discovery

Records

Case Management

Improve DiscoveryReview & Analysis Process

Automate and Audit Legal Discovery Process

Initiate Holds andAutomate Content Collection

Clean Up The Digital Landfill

BuildContent Inventory

1

32

4

Email archive silos, poorly indexed content, multiple copies of everything, unmanaged

file systems and SharePoint have all combined to create Digital Landfills

Only IBM has all the tools needed to properly manage the 4 phases of electronic

discovery


®

Single view of the Citizen

Kim Rummelt



Analyst say : Master Data Management Architecture:

Provides the ability to decouple information from enterprise applications and processes to make it available as a strategic asset for use by the enterprise

Provides the enterprise with an authoritative “system of record” for master data that manages information integrity and controls the distribution of Master Data across the enterprise in a standardized way that enables reuse and business flexibility

Provides the flexibility to accommodate changes to Master Data schema, business requirements and regulations, and support the addition of new Master Data,

Is designed with the highest regard to preserve the ownership of data, integrity and security of the data from the time it is entered into the system until retention of the data is no longer required.

Is based upon industry accepted open computing standards to support the use of multiple technologies and techniques for interoperability with external systems and systems within the enterprise.

Is based upon a architectural framework and reusable services that leverage existing technologies within the enterprise

Provides the ability to incrementally implement a Master Data Management Solution



NASCIO’s National Information Exchange Model (NIEM) Initiative

Real ID Fusion Center GJXDM HIPPA NPI - EMPI Citizen / Data integration Unified Family Courts Social Services – various Medicaid Transformation



Data Access and Quality


Value Validation

Rejected, incomplete

Rejected, invalid

Accepted, noted generic

(213)543-

(000)000-0000

(800)555-1212

Formatting Standards Applied(707) 412-1234

557-67-2061

SMITH

12/2/04

7074121234

557672061

/SMITH&!

Dec2.2004

Formatting consistency

Generic values discovered and tagged

Transaction reasonability testing

Automatically validates against user defined domain



US & international address standardization/verification

Streaming geo-coding enhancement

Auto creation of performance hash keys

460 Oak StreetMill Valley, CA 94914

460 South Oak AveMill Valley, CA 94914

4737 Simeron DriveEaston, MA 02334

4737 Cimarron DriveEaston, MA 02334

AddressHygiene


Address Verification Across the Globe



AddressHygiene

NameStandardization


U.S. & International Name Standardization

Root name identification & variationsTom, T.E., Tommy, Thom, Tommie, T, etc…= Thomas

– Extended name rooting helps see through errors

– Proprietary algorithms compare names & evaluate similarities

Includes 39 international name families



DataEnhancement

AddressHygiene

NameStandardization

Data Accessand Quality

Identities Enriched by Adding Outside Data

Incorporating data provider partners

Unlimited sources– Demographics– Socio-economic data– Geographic– OFAC & watch lists– Risk assessment– Public records



AddressHygiene

NameStd.

DataEnhancement

Data Accessand Quality

IdentityRelationship Resolution

NAMES

Katherine D. GreenKate Mills-GreenKatie GreenKate MillsKate GreenKate M. Green

ADDRESSES

4737 Cimarron Dr.Easton, MA 02334

1 Bourne St.Bolton, MA 01512

P.O. Box 12743Clinton, MA 01510

ADDITIONAL

DOB: 12/13/71Phone:(508)278-6019

(978)365-6631(501)661-8044

Work: Zycast Int.SilverbackKinear

Entity #14465

Identity Resolution Defines “Who is Who” & Who Know Who”

Non-intrusive turn-key technology

Real-time perpetually updated, identities

– Automatic self-correcting / self-healing

– No refreshes/reloads required

– No data latency/drift/degradation

Detects obvious and non-obvious relationships

– Employees…and conflicts of interest, criminal associations, organizations– Exchange students…shared addresses or affinity programs with terrorist suspects– Employee relations with witnesses, doctors, lawyers, former claimants or felons– Job applicants … at the same mail to address as persons you have previously fired

NAMES

Joshua M. ClarkJosh ClarkMatthew J. Clark

ADDRESSES

P.O. Box 1227Denver, CO 80112

415 Lancaster St Worcester, MA 01609

ADDITIONAL

DOB: 07/03/69Phone:(303)778-1210

(508)278-6019Work: U.S. Air ForceWife: Kendra Clark



Makes possible data sharing actions previously too risky

Reduces risk of unintended disclosure

Determines both identities and relationships anonymously

One-way hash results in an irreversible digital signature

Original data owners maintain control knowledge discovery

Increases barriers to re-purposing information

Strips out all personal identifiers

Identity and Relationship Resolution

AddressHygiene

Data Quality

DataEnhancement

NameStandardization

Anomilization

Anonymous Identity Resolution“Who is Who & Who Knows Who… Anonymously”



Solution

Verify and enroll applicants for public assistance (welfare) to eliminate duplicates Determine if applicant and family members in same and/or multiple programs Establish more accurate repository of applicants and less need for interface development to other data repositories

Applicants applying for public assistance not adequately screened prior to enrollment

Applicants applying for multiple programs and services

State Welfare Department

Welfare

More accurate, rapid determination of eligible applicants for one or more programs Reduce improper payments to ineligible applicants More effective use of available budget for legitimate applicants most in need Improve case worker effectiveness and client outcomes

Result



Persisted Master Data provisioned to all consuming systems

Full spectrum support for various styles of CDI

Mature party data model

500+ J2EE business services, SOA jump start

Hierarchies, groupings

Business Rules and Life Events

Privacy and Compliance

Anonymization Operational CDI Hub – Single View

Citizen Data Integration360 degree view of the “Citizen… “

Identity and Relationship Resolution

AddressHygiene

Data Quality

DataEnhancement

NameStandardization



Customer Citizen Data Integration

What is it?

– Citizen Data Integration (CDI) is the combination of the technology, processes and services needed to create and maintain an accurate, timely, complete & comprehensive representation of a citizen across multiple channels, agencies, and enterprises typically where there are multiple sources of associated data in multiple application systems and databases. CDI enables access to potentially describing everything known about a specific citizen.

– Requires customer information sufficient to facilitate recognition of the citizen at every touchpoint

How does industry use it?

Financial Services, Insurance, Airlines, Telecommunications, and Other Companies – to achieve a 360 degree view to the customer



Demographics

Relationships

Location

Profile

Privacy

Contract& Product

Events & Insight

Identification

DataStewardship

Party

Interaction

Roles

Patient Organization

Citizen master profile design – a party-centric model

Party-centric model:

• Party is the central entity

• A unique party is stored once

• Parties play one or more roles

• A party has relationships to other objects – departments, locations, other parties, etc.

• Other ‘important concept’ objects have significant function

• Case & Services• Location• Groups & hierarchies



Gartner Quadrant for Customer Data Integration Hubs – May 2006

Source: Gartner, Inc. “Magic Quadrant for Customer Data Integration Hubs, 2Q06” by John Radcliffe. May 26, 2006. This Magic Quadrant graphic was published by Gartner, Inc. as part of a larger research note and should be evaluated in the context of the entire report. The Gartner report is available upon request from IBM.

The Magic Quadrant is copyrighted May 2006 by Gartner, Inc, and is reused with permission. The Magic Quadrant is a graphical representation of a marketplace at and for a specific time period. It depicts Gartner’s analysis of how certain vendors measure against criteria for that marketplace, as defined by Gartner. Gartner does not endorse any vendor, product, or service depicted in the Magic Quadrant, and does not advise technology users to select only those vendors placed in the “Leaders” quadrant. The Magic Quadrant is intended solely as a research tool, and is not meant to be a specific guide to action. Gartner disclaims all warranties, express or implied, with respect to this research, including any warranties of merchantability or fitness for a particular purpose.



State Master Data Management

EAS Relationship Resolution

Analytic MDM Operational MDMInformation Server

SARODS

Vendor ODS

Customer File

Employee File

Vendor ODS

External Agency

Country Data

Watch List

Internal Internal DataData

External External DataData

OperationalizeRecognize Resolve Relate TACSTACS

Tax SystemTax System

PortalPortal

BI/DWBI/DW

Case MgmtCase Mgmt

Closed Loop Master Data Mgt. and InsightClosed Loop Master Data Mgt. and Insight

Assemble

Batch Real-TimeBatch Real-Time



Integrating agencies & providers while empowering clientState of Utah Department of Human Services

Business challenge: – Integrate service delivery into a model of

holistic case management – Provide a single location for citizens to access

government and non-profit service program information

– Replace outdated, siloed legacy system Objectives:

– Flexible, cost-effective and citizen-focused eligibility solution for workforce services and health and human services

– 24x7 access to community resources– More accurate, consistent, and faster eligibility

determination– Faster, more accurate eligibility decisions

Actions:– Utah’s Department of Human Services

employed a service oriented approach that significantly improved service delivery and case management and fostered inter-agency collaboration.

Outcomes

Business value:

– Established an enterprise foundation for service delivery that provides flexibility to update and add programs

– Supports holistic case management for all programs

– Fostering inter-agency collaboration with significantly improved service delivery

– Simplified policies; support holistic case management and integration of programs and services

– More accurate, timely and consistent eligibility determination



Content Edition - Content Integration Platform

Lets you work with content from multiple, disparate content sources as if it were stored in one unified system

Single interface to multiple content sources and workflow systems

Rich, bi-directional content functionality

Exposes all underlying functionality and adds federation services

Development components and APIs for building custom applications

Requires an API at the application / repository level to enable federation

Imaging/Document

Mgmt

ReportMgmt

Web Content/Media Asset

Mgmt

CustomSystems

NetworkFile

Systems

Workflow/Business

Process Mgmt

Information Integration



Federated Records Management and Subscription Event Services

RecordsDatabase

RM Expertise: Consulting, defining file plans, workflows, etc.

Custom Client Applications Discover content, hold and destroy records, browse and search file plans

Subscription Event Services

Content Monitor

Event Handler

Web ComponentsSearch W-flow Declare

RepositoryRepositoryRepository

WorkflowExisting IICE

FRM Software Assets

Records Manager

Co

nn

ec

tor

RM Host Interface

Enterprise Search

RM Logic Extensions

Hold

Information Integration



Key Business Drivers

Clean Up The Digital Landfill … Build Content Inventory

Initiate Holds and Automate Content Collection

Improve Discovery Review Process

Automate and Audit Legal Discovery Process

To reduce the problems associated with scattered information silos, multiple copies and poor indexing.

Get Unstructured Content Under Control

Make the Unlocatable Locatable by Adding Meta Data and Creating Taxonomies

Eliminate Multiple Copies

Use Content Analytics to Identify and Eliminate the Waste

Put the Right Policies and Controls in Place

Increase Readiness for Litigation and Compliance

To comply with new requirements of legal hold management including records and non-records collection.

Enforce Holds and Records Management

Automate the Collection of All Potentially Discoverable Content

Reduce Processing Time, Cull, Eliminate Duplicates … Version Control

Create Additional Metadata for Better Discovery

Preserve Original Formats

Store in Secure Auditable Repository

To mine, extract, organize and analyze discoverable content faster to make better decisions.

Organize All Potentially Discoverable Content

Use Content Analytics to Identify Trends, Risks and Threats, Gain Insight

Automate Tagging, Create Additional Meta Data Leveraging Insight

Locate, Review, Redact Relevant Content Faster

Produce Relevant, Non-Privileged Information for Litigation

To reduce the costs and risks associated with a compliant, repeatable process.

Manage all Required Notifications of Legal Holds

Automate Production, Case Management, Review, Routing and Redaction

Trigger Process based on “Duty to Preserve” Events

Provide Audit Trail and Reports

Take Litigation Response as a Business Process – Documented, Measurable, Repeatable

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Critical Elements of Electronic Discovery

© 2007 ibm corporation ® 1 state of nebraska – 2007 digital summit topic: records management...

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