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. 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