Brian Dirking Knowing Your Organizations Goals Before Choosing A Product

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A primer for records managers choosing a records management software system

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<ul><li> 1. Knowing Your Organizations Goal's Before Choosing a Product Brian Dirking April 9, 2009</li></ul> <p> 2. Records ManagementSoftware Selection </p> <ul><li>Information and the Economy </li></ul> <ul><li>The New Role of Records Management </li></ul> <ul><li>Knowing Your Organization </li></ul> <ul><li>What Can Be Improved? </li></ul> <ul><li>Features </li></ul> <ul><li>Evaluation Process </li></ul> <ul><li>Making the Case </li></ul> <ul><li>How To Succeed </li></ul> <p> 3. Effective information management will be critical in the next decade, differentiating those enterprises that will implode under the infoglut from those that will use it to dominate the global economy." Gartner, June 2006 Source: Gartner; June 2006; Spotlight on Enterprise Information Management 4. A Tough Economy Brings New Opportunities </p> <ul><li>How do we thrive in the midstof an economic downturn? </li></ul> <ul><li>Demonstrably lowering costs </li></ul> <ul><li>Being more competitive by fostering speed and transparency in decisions </li></ul> <ul><li>Lowering risk </li></ul> <ul><li>Preparing for additional regulatory requirements </li></ul> <p> 5. The New Role of Records Management 6. The Pendulum Swings </p> <ul><li>Patrick Oot, a lawyer for VerizonAlmost every case involves e-discovery and spits out terabytes of information... In an ordinary case, 200 lawyers can easily review electronic documents for four months, at a cost of millions of dollars. </li></ul> <ul><li>The Economist: http://www.economist.com/business/displaystory.cfm?story_id=12010377 </li></ul> <p> 7. Content Retention </p> <ul><li>To persuade business unit leaders of the necessity for effective document retention, a large chemical firms legal department conducted an internal cost assessment of a 3-year litigation project. Their findings:</li></ul> <ul><li>They reviewed 75 million pages of text during the 3-year period.</li></ul> <ul><li>More than 50 percent of the documents they reviewed were out-of-date and should have been deleted.</li></ul> <ul><li>The cost of reviewing out-of-date documents amounted to $12 million. </li></ul> <ul><li>How much money would your organization save if you could target your outdated content, and remove it? </li></ul> <p> 8. What is a record? </p> <ul><li>Vital piece of history of how we do business </li></ul> <ul><li><ul><li>Licenses, insurance policies </li></ul></li></ul> <ul><li>Emails </li></ul> <ul><li>Documents </li></ul> <ul><li>Website </li></ul> <ul><li>Information Explosion Facebook, blogs, wikis, discussion boards, chat, IM, text messages </li></ul> <ul><li>All of these are subject to discovery </li></ul> <ul><li>Therefore, we want to manage retention on information we might not consider a record </li></ul> <p> 9. Other Data </p> <ul><li>MS Outlook- Email </li></ul> <ul><li>Content Management Systems Documents, Images </li></ul> <ul><li>HR Systems- Employee Records </li></ul> <ul><li>CRM Systems- Customer Records </li></ul> <ul><li>People may own the operation of these applications, but they do not own the data. </li></ul> <p> 10. Information Universe </p> <ul><li>We have defined the information universe for our organization </li></ul> <ul><li>Any information is fair game for records managers </li></ul> <p> 11. Knowing Your Organization 12. Know Thyself </p> <ul><li>Socrates</li></ul> <ul><li>Pythagoras</li></ul> <ul><li>Chilon of Sparta (Chilon I 63, 25)</li></ul> <ul><li>Heraclitus</li></ul> <ul><li>Solon of Athens</li></ul> <ul><li>Thales of Miletus </li></ul> <ul><li>The Matrix </li></ul> <p> 13. Organization Goals </p> <ul><li>Make information findable and improve business processes </li></ul> <ul><li>Ensure compliance and reduce risk by controlling information retention </li></ul> <ul><li>Empower legal counsel and reduce costs by enabling e-Discovery </li></ul> <ul><li>Provide long-term archiving of physical and electronic assets </li></ul> <p> 14. What are the processes? </p> <ul><li>What is working? </li></ul> <ul><li>What is not working? </li></ul> <ul><li>What is the cost? </li></ul> <ul><li>Invoice processing </li></ul> <ul><li>Employee on-boarding </li></ul> <ul><li>Customer support calls </li></ul> <ul><li>Partner applications </li></ul> <ul><li>Purchase and warranties </li></ul> <ul><li>Contracts management </li></ul> <p> 15. Process Improvement </p> <ul><li>What improvements can we make to these processes? </li></ul> <ul><li>What are the costs of those improvements? </li></ul> <ul><li>What are the potential upsides? </li></ul> <ul><li>Understanding this business case will enable us to better choose a system that is suited to our issues and requirements </li></ul> <ul><li>5 photocopies created </li></ul> <ul><li>Routed to 5 departments </li></ul> <ul><li>Contract received </li></ul> <p> 16. Record Ownership </p> <ul><li>Who owns the records? </li></ul> <ul><li>Who will sign off on destruction? </li></ul> <ul><li>Who will actually perform destruction? </li></ul> <p> 17. IT Landscape </p> <ul><li>What are your IT department skillsets and preferences? </li></ul> <ul><li>Which OS? </li></ul> <ul><li>Which database? </li></ul> <ul><li>What developmentplatforms? </li></ul> <p> 18. Features 19. Key Physical Records Mgmt. Features </p> <ul><li>Space Management </li></ul> <ul><li><ul><li>definition of warehouse layout </li></ul></li></ul> <ul><li><ul><li>searching for empty space </li></ul></li></ul> <ul><li><ul><li>reserving space</li></ul></li></ul> <ul><li><ul><li>tracking occupied and empty space </li></ul></li></ul> <ul><li>Bar Code Reading / Writing </li></ul> <ul><li><ul><li>need to productize </li></ul></li></ul> <ul><li><ul><li>label printing </li></ul></li></ul> <ul><li>Circulation Services </li></ul> <ul><li><ul><li>reserving and checking out physical content </li></ul></li></ul> <ul><li><ul><li>maintaining a due date for checked out items </li></ul></li></ul> <ul><li><ul><li>sending notification when overdue </li></ul></li></ul> <ul><li>Charge-backs </li></ul> <ul><li><ul><li>track charges for actions within warehouse</li></ul></li></ul> <ul><li><ul><li>generate reports indicating how much is owed by different entities (e.g., departments). </li></ul></li></ul> <p> 20. Physical/Electronic Records </p> <ul><li>Differences between physical and electronic records management </li></ul> <ul><li>Lots of the same categories/classes </li></ul> <ul><li>Physical traits to manage barcodes, checkout, chargebacks, space management </li></ul> <ul><li>Full text searchability of electronic records </li></ul> <ul><li>Instant aspect of electronic records categorization, holds, disposition </li></ul> <ul><li>Multiple access points </li></ul> <p> 21. Core Records Management Features </p> <ul><li>Customizable metadata </li></ul> <ul><li>Screening/searching </li></ul> <ul><li>Placing holds/layering holds </li></ul> <ul><li>Import files, retention plans, conversion </li></ul> <ul><li>Classification </li></ul> <ul><li>Retention management of non-records </li></ul> <ul><li>Archiving </li></ul> <ul><li>Reports, Custom reports </li></ul> <ul><li>Audits </li></ul> <ul><li>Collection, holds,export </li></ul> <p> 22. Other Considerations </p> <ul><li>Training </li></ul> <ul><li>Maintenance costs </li></ul> <ul><li>Average deployment cycle </li></ul> <ul><li>Partners </li></ul> <ul><li>Language Support </li></ul> <p> 23. Retention Management More than a deletion date </p> <ul><li>Retention policies combine events and actions </li></ul> <ul><li><ul><li>Events </li></ul></li></ul> <ul><li><ul><li><ul><li>Content expired (e.g. a contract) </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Usage statistics (e.g. document has not been accessed in 18 months) </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Business event (e.g. environmental impact filing) </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Content life cycle event (e.g. new revision checked in) </li></ul></li></ul></li></ul> <ul><li><ul><li>Actions </li></ul></li></ul> <ul><li><ul><li><ul><li>Delete </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Notify author </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Archive </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Move </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Delete revisions </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Revise </li></ul></li></ul></li></ul> <p> 24. Multi-Schedule - Healthcare </p> <ul><li>A publicly held hospital in California is subject to many</li></ul> <ul><li><ul><li>HIPAA </li></ul></li></ul> <ul><li><ul><li><ul><li>Records must also be retained for six years, two years after a patient's death</li></ul></li></ul></li></ul> <ul><li><ul><li>Medicare Conditions of Participation, section 42 CFR 482.24 (b) </li></ul></li></ul> <ul><li><ul><li><ul><li>Retain medical records for five years</li></ul></li></ul></li></ul> <ul><li><ul><li>State of CA Welfare and Institutions Code section 14124.1</li></ul></li></ul> <ul><li><ul><li><ul><li>Three-year retention period for records </li></ul></li></ul></li></ul> <ul><li><ul><li>Department of Labor regulation 29 CFR 516.6 </li></ul></li></ul> <ul><li><ul><li><ul><li>Employment and earnings records for two years. </li></ul></li></ul></li></ul> <ul><li><ul><li><ul><li>Employment discrimination complaints for three years </li></ul></li></ul></li></ul> <ul><li><ul><li>Internal Revenue Service</li></ul></li></ul> <ul><li><ul><li><ul><li>Tax records for four years </li></ul></li></ul></li></ul> <ul><li><ul><li>Sarbanes Oxley Section 103(a)(2)(A)(i) </li></ul></li></ul> <ul><li><ul><li><ul><li>Audit work papers for seven years </li></ul></li></ul></li></ul> <ul><li><ul><li>Occupations Safety and Health Administration (OSHA) </li></ul></li></ul> <ul><li><ul><li><ul><li>Keep records of both medical and other employees who are exposed to toxic substances and harmful agents for thirty years </li></ul></li></ul></li></ul> <p> 25. DOD 5015</p> <ul><li>Organization records series </li></ul> <ul><li>Organizational file plans </li></ul> <ul><li>Organization disposition instructions </li></ul> <ul><li>Retention calculation </li></ul> <ul><li>Access controls </li></ul> <ul><li>Security classification markings </li></ul> <ul><li>Management of records stored in electronic formats </li></ul> <ul><li>Management of emails and attachments in electronic formats </li></ul> <ul><li>Linking of records to supporting materials </li></ul> <ul><li>Tools to aid the search and retrieval of records </li></ul> <ul><li>Records destruction in a manner that prevents recovery </li></ul> <ul><li>Freedom of Information Act (FOIA)/Privacy Act workflow requirements </li></ul> <ul><li>Vital records review cycles </li></ul> <ul><li>Additional metadata, including e-mail, PDF, digital photographs, images and Web records </li></ul> <ul><li>Greater data security and integrity </li></ul> <ul><li>Capability to create alerts and notifications regarding changes in metadata fields </li></ul> <ul><li>More automatic linking requirements </li></ul> <ul><li>Capability to restrict metadata access based on the contents of fields </li></ul> <ul><li>Tools to support RMA-to-RMA interoperability </li></ul> <ul><li>Additional transfer requirements </li></ul> <ul><li>Data discovery requirements </li></ul> <ul><li>Interface and behavioral requirements for integration with electronic document management systems </li></ul> <p>Versions 1 and 2 Version 3 26. User Adoption </p> <ul><li>Most companies have tried to install RM systems, and retrain users in how to author content </li></ul> <ul><li>Costly new licenses, throwing away old licenses, training costs </li></ul> <ul><li>User adoption is the biggest barrier to good records management </li></ul> <p> 27. Categorizing Content Metadata Driven </p> <ul><li>Content can be matched to retention policies based upon metadata </li></ul> <p> 28. Categorizing Content Metadata Driven </p> <ul><li>Content can be matched to retention policies based upon metadata </li></ul> <ul><li>Retention policies can be assigned by information such as which folder a user saves information into </li></ul> <p> 29. Categorizing Content User Driven </p> <ul><li>Content can be matched to retention policies based upon metadata </li></ul> <ul><li>Retention policies can be assigned by information such as which folder a user saves information into </li></ul> <ul><li>Users can select policies when they create and save documents </li></ul> <p> 30. RM in Content Management Systems </p> <ul><li>Allow records management features to be implemented in content management systems </li></ul> <ul><li>File plans, retention schedules, discovery, placing holds, disposition </li></ul> <ul><li>Anybody see a problem with that? </li></ul> <ul><li>Either you have records manager who is trained in administering many systems, or you have records managers who each manage their own systems. </li></ul> <ul><li>How do you coordinate file plans, retention schedules, discovery, placing holds, and disposition? </li></ul> <p> 31. Federated Records Management </p> <ul><li>Allow authors to create content as they usually do </li></ul> <ul><li>Store it where they do file shares, document management systems, SharePoint </li></ul> <ul><li>Harvest that content on a regular basis </li></ul> <ul><li>Do you copy or move that content? </li></ul> <ul><li><ul><li>If you copy it, you have two copies, and upon disposition you still have the content around </li></ul></li></ul> <ul><li><ul><li>If you move it, you have angry users who cant find their content</li></ul></li></ul> <p> 32. In Place Records Management </p> <ul><li>Allow content to remain in system where it was created </li></ul> <ul><li>Monitor that content and categorize it according to the file plan </li></ul> <ul><li>If its a record, keep the file from being deleted </li></ul> <ul><li>If the system cannot relinquish that control, have a backup strategy </li></ul> <ul><li>Upon disposition, take action on the file </li></ul> <p> 33. Single Console </p> <ul><li>Records management across all your systems</li></ul> <ul><li><ul><li>Email </li></ul></li></ul> <ul><li><ul><li>document management </li></ul></li></ul> <ul><li><ul><li>physical records </li></ul></li></ul> <ul><li>Single place to</li></ul> <ul><li><ul><li>perform discovery </li></ul></li></ul> <ul><li><ul><li>place holds </li></ul></li></ul> <ul><li><ul><li>perform disposition </li></ul></li></ul> <p> 34. Shared Content</p> <ul><li>What about content outside of our organization? </li></ul> <ul><li>M&amp;A, board information, partners, employees taking work home? </li></ul> <ul><li>Control who can view/print/copy </li></ul> <ul><li>Revoke access at any time </li></ul> <ul><li>Audit usage </li></ul> <ul><li>Ensure content updates </li></ul> <ul><li>Disposition of remote content </li></ul> <ul><li>Clawbacks </li></ul> <p> 35. Evaluation Process 36. Organization Processes </p> <ul><li>What are your organizations processes around: </li></ul> <ul><li><ul><li>Contracts </li></ul></li></ul> <ul><li><ul><li>System Requirements </li></ul></li></ul> <ul><li><ul><li>Pricing and Billing </li></ul></li></ul> <ul><li><ul><li>RFPs </li></ul></li></ul> <p> 37. What will we need to evaluate? </p> <ul><li>RFP/RFI </li></ul> <ul><li>Demonstration </li></ul> <ul><li>Pilot </li></ul> <ul><li>Consulting </li></ul> <ul><li>Training (Admin and End User) </li></ul> <ul><li>Support contract </li></ul> <p> 38. RFPs </p> <ul><li>Keep it to the point </li></ul> <ul><li>Nobody wants to fill it out, nobody wants to read it </li></ul> <ul><li>Should weed out some vendors </li></ul> <ul><li>Focus on your goals cost cutting, e-discovery, user performance, long term archiving </li></ul> <ul><li>Why should you not put out an RFP in March, June, September, or December? </li></ul> <p> 39. Demonstrations </p> <ul><li>When you have narrowed down to 2-3 vendors </li></ul> <ul><li>Get a demonstration showingyour content </li></ul> <ul><li>See the administrators experience </li></ul> <ul><li>See the end users experience </li></ul> <p> 40. Pilot </p> <ul><li>How long? </li></ul> <ul><li>How many employees involved? </li></ul> <ul><li>What is the feedback process from users? </li></ul> <ul><li>Have a mock discovery </li></ul> <ul><li>Look at audit trails and certificates of destruction will these stand up in court? </li></ul> <p> 41. Services </p> <ul><li>Find out how much consulting, training, and support will be involved in</li></ul> <ul><li><ul><li>Your first implementation </li></ul></li></ul> <ul><li><ul><li>Running your system thereafter </li></ul></li></ul> <p> 42. Beyond Implementation </p> <ul><li>Will this system be useful to solve other problems within your organization? </li></ul> <ul><li><ul><li>Contract repository </li></ul></li></ul> <ul><li><ul><li>Knowledgebase </li></ul></li></ul> <ul><li><ul><li>Website </li></ul></li></ul> <ul><li><ul><li>Regulatory submissions </li></ul></li></ul> <p> 43. Making The Case 44. ROI </p> <ul><li>Stakeholders will want to see a strong ROI, especially in current economic environment </li></ul> <ul><li>Where are the areas we can show this? </li></ul> <ul><li>Soft numbers productivity </li></ul> <ul><li>Hard numbers call center times, discovery costs, storage costs </li></ul> <ul><li>Go back to the processes you reviewed and see what you can improve </li></ul> <ul><li>Dont boil the ocean pick an area to focus on </li></ul> <p> 45. Retention Management and Storage </p> <ul><li>Typical Content GrowthExample company - storage, archiving, services costs </li></ul> <ul><li>Email </li></ul> <ul><li>10,000 user mailboxes, 100 MB per mailbox = 1 TB </li></ul> <ul><li>10 sent msgs/day, 25 recd @ 15 K per = 5.25 GB </li></ul> <ul><li>Growth rate of 137% </li></ul> <ul><li>Documents </li></ul> <ul><li>10,000 users storing 2.5 GB documents = 25 TB </li></ul> <ul><li>Create 1 MB/day = 100 GB </li></ul> <ul><li>Growth rate of 100% </li></ul> <ul><li>Calculated at $50/GB annual storage/archiving/ service cost </li></ul> <p> 46. Storage SavingsStorage, archiving, services </p> <ul><li>Deleting content kept beyond its retention period can save up to 33% of your storage costs </li></ul> <ul><li>Based upon deleting 50% of your content that is beyond its retention period. </li></ul> <p> Projected Storage Projected Costs Managed Storage Savings 2007 26,000 $1,300,000 26,000 $0 2008 53,365 $2,668,250 40,365 $650,000 2009 80,730 $4,036,500 47,548 $1,659,125 Total $8,004,750 $2,309,125 47. Restoration Costs The Cost to IT </p> <ul><li>What would it cost to find everywhere contentexists in your organization file system, email, applications, repositories, desktop, archives, backup tapes. </li></ul> <ul><li>What would it cost you to restore this contentfor review? </li></ul> <p> Projected Content Restoration Costs Managed Storage Savings 2007 26,000 $15,843,750 26,000 $0 2008 53,365 $32,519,297 40,365 $7,921,875 2009 80,730 $49,194,844 47,548 $20,220,586 Total $97,557,891 $28,142,461 48. Discovery Costs </p> <ul><li>Discovery costs are typically $1,800to $2,500 per GB </li></ul> <ul><li>One time discovery on 20% of yourdata at $1,800 per GB </li></ul> <p> ProjectedContent Discovery Costs Managed Storage Savings 2007 26,000 $9,360,000 26,000 $0 2008 53,365 $19,211,400 40,365 $4,680,000 2009 80,730 $29,062,800 47,548 $11,945,700 Total $57,634,200 49. Litigation Preparedness </p> <ul><li>In case of litigation, it is important tohave strong control over your content </li></ul> <ul><li>Know what evidence you have </li></ul> <ul><li>Quickly search it for relevant information </li></ul> <ul><li>Know the strength of