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IBM Software Group

© 2003 IBM Corporation

e
-
Records

State of the Art


Bruce Miller

e
-
Records Strategy and Business Development Executive

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
Market Assessment/Trends

2.
e
-
Records Fundamentals

3.
The New Model

4.
Compliance

5.
Implementation

6.
Conclusions/Recommendations

e
-
Records

State of the Art


SAA 2004

Bring Recordkeeping To Your Business Solutions

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Records Management is now Critical

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
To stay out of legal trouble


Risk of Litigation/Embarrassment


Enron, Microsoft, DoD

2.
To Prove Compliance with regulations


SEC, EPA, Privacy, HIPAA, etc.

3.
Because they are forced to


Government Mandates


USA (DoD), Canada (RDIMS), UK (PRO), Australia
(VERS), EU (MoREQ) have
mandated

e
-
Records

4.
To Save $$$


Downstream Cost Avoidance


Cost of litigation (discovery), cost of major mistakes


Why Businesses are Now
Buying
e
-
Records

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

e
-
Records as a Contribution to Market Requirements

USA

(5015.2)

United Kingdom

(PRO)

Australia

(VERS)

e
-
Records

e
-
Records

e
-
Records


Doc Search


GUI

Regulatory Compliance

Financial Svc

(SEC)

Pharma

(21 CFR 11)

HeathCare

(HIPAA)

e
-
Records

e
-
Records

e
-
Records


WORM Storage


Surveillance


Duplication


Email Capture


Search/Retrieve


Privacy


Digital Rights


Security


Privacy


Digital Rights


Security

Mandated Govt. Standards

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation


Avg. Acquisition size Approaching 10,000
users


Ability to scale up = key!


Significant Buyer Skepticism


Many failed pilots.


Poor user acceptance.


Deployment capability = key!


IT Managers, not Records Managers, = Buyer


Records people in support role only.



What You Need to Know About the Market

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Current Market Pressures


Meet US DoD Chapter 4


Homeland Defense related opportunities


Meet UK National Archives 2002


2
nd
-
largest worldwide market


Achieve High Performance


Business partners with large clients


Email storage and management


Requests from 3M


10M transactions per day


Achieve Tighter Integration


With IBM Products (Content manager)


Easier/tighter 3
rd
-
party apps


Overcome e
-
Records Skills Shortage


Serious inhibitor


Achieve High
-
Volume Classification


Email Storage/Management


SEC
-
Regulated customers

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Serious Skills Gap

1.
Not enough people who know how to
implement!

2.
CIOs & CEOs do not understand RM

3.
Records Managers do not understand
e
-
records

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
Market Assessment/Trends

2.
e
-
Records Fundamentals

3.
The New Model

4.
Compliance

5.
Implementation

6.
Conclusions/Recommendations

e
-
Records

State of the Art


SAA 2004

Bring Recordkeeping To Your Business Solutions

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation


An
e
-
Record

is:


E
-
mail


Anything
at the desktop


Deleting

the right document at the right time
(Retention and Disposition).


Destroy according to law/policy


e
-
Records puts the organization in
control

of
the destruction.


Consists of (3) new capabilities:


Declare


Classify


Apply
Life Cycle


The Solution


e
-
records

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

e
-
Records

(3) Objectives

1.
Declare (User)


Put a document under e
-
Records
management control

2.
Classify (User)


Assign a retention rule to the document


Automatic or Manual Classification

3.
Apply LifeCycle (Records Administrator)


Apply LifeCycle rules to a declared document


Destroy or Transfer (out) a record

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Recordkeeping for End Users



Declare

Electronic/Non
-
Electronic
documents


Classify

during Declaration

Effort

Reward

???

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Declaring Electronic Records

User Reluctance


It’s “my”
document


This is “too
much work”


Let “Admin” do
it!

Declare that Document!

“Filing a document into a records repository is an unnatural act”

R. Medina, 2000

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Declaring

Documents To Be Records

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Declaring

a Document

Host App

e
-
Records

Classifying a Document

Safety

Inspections

Incidents

Finance

Budgets

Audits

Travel

Requests

Reports

File Plan

Retention Rule 2

Retention Rule 4

Retention Rule 5

Retention Rule 6

Retention Rule 7

Retention Rule 1

Retention Rule 3

Retention Rule 8

Retention Rule 9

Retention Rule 10

Retention Rule 11

Retention Rule 12

Retention Schedule

Doc. 1

Doc. 2

Doc. 3

Doc. 4

Doc. 5

Doc. 6

Rule
1

Rule
3

Rule
1

Rule
5

Rule
8

Rule
8

Classification

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

e
-
Records


A Fresh Approach

Retention/Disposi tion Scheduling

Structured File Plan

Records Management

Regulations

Laws

Policies

Corporate Information

Retention

&

Disposition

Decisions

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
Market Assessment/Trends

2.
e
-
Records Fundamentals

3.
The New Model

4.
Compliance

5.
Implementation

6.
Conclusions/Recommendations

e
-
Records

State of the Art


SAA 2004

Bring Recordkeeping To Your Business Solutions

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Traditional Records Software Integration

Competing Repositories

When/where to store records?

Users Lose Their Records

Declared records moved to records
repository

Cannot Find Records

Must switch to records software to find
declared records

3
-
Way Instability

Change to any (3) causes failure

Business

Application


RMA

MiddleWare

App 1



App 3

App 2





Repository



RMA Integration

Desktop

Repository



IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Business

Application

The New Model


Declared Records Not Disturbed


No records software for users!


Preserve application security


No Recordkeeping Application
Software


Nothing to install/maintain on
desktops


Recordkeeping for ANY Desktop
Application


No limitations







e
-
Records Engine



Declare/Classify



-


Records Server



Desktop





Repository

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Enterprise e
-
Records

e
-
Records Server

Metadata


App 1

Declare/Classify


App 2

Declare/Classify


App 3

Declare/Classify


App 5

Declare/Classify


App 6

Declare/Classify


App 4

Declare/Classify

File Plan

Retention Schedule

Records Processes

Records

Administration

REPOSITORY

REPOSITORY

REPOSITORY

REPOSITORY

REPOSITORY

REPOSITORY

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
Market Assessment/Trends

2.
e
-
Records Fundamentals

3.
The New Model

4.
Compliance

5.
Implementation

6.
Conclusions/Recommendations

e
-
Records

State of the Art


SAA 2004

Bring Recordkeeping To Your Business Solutions

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Enforcement: Prosecutions and Penalties

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

What does ROI Mean?

R
educed

O
dds

of


I
ncarceration

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Common Compliance Misunderstandings


Records Management = Compliance


RM is just a
foundation component
of a
compliance solution.


Retention Management = Records Management


They are vastly different!


Storage Subsystems are certified by SEC


SEC does not certify anything!


Storage Subsystems Offer Records
Management


They do not (yet!).

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

The
Major

Regulations Affecting Many Enterprises

Major Regulations

Intent

Applicability

SEC/NASD

Prevent Securities Fraud

All financial institutions and
companies regulated by the
SEC

Sarbanes Oxley

Ensure Accountability for Public
Firms

All Public Companies trading on
a US Exchange

HIPAA

Privacy/Accountability for
Healthcare Providers/Insurers

HealthCare providers/insurers.
Human and veterinarian

US DoD 5015.2

Electronic Recordkeeping

US Government, particularly
DoD

21CFR 11

Approval Accountability

Pharma manufacturers and
regulators, related parties

Many additional smaller, contributing regulations

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

The Functionality/Capabilities Required

Eight Distinct Technologies


Records Management (e
-
records)


Controlled, process
-
driven Document Retention and Destruction


Content Management


Document Storage, high
-
performance search/retrieval, Version Management


Storage Management


Duplicate/triplicate, non
-
erasable, disaster recovery


Contextual metadata (index data)


BI/CPM


Business Intelligence/Corporate Performance Monitoring


Identify and report on key financial performance indicators


Supervision


Monitor/review/intercept trading correspondence (email/IM/other)


Email/IM Capture & Management


Intercept email/IM, store & review/retrieve


Collaboration


Sharing, production of audit review documents


Audit process controls


Digital Rights Management/Privacy


Digital Signatures/Authorization


Access/Rights Management


IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Translating Requirements to Technology

5015.2





SEC/NASD











21CFR11







HIPAA







Sarbanes/Oxley









IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Two Foundation Technologies

ECM

e
-
Records

Supervision

of

Trading

Non
-
Erasable

Data Duplication

Email/IM Collection

Business

Performance

Management

Audit Processes

& Controls

Document

Collaboration

Tools

Sarbanes Oxley

Rights Management

Rights Management

E
-
Records

SEC/NASD

US DoD 5015.2

21CFR11

HIPAA

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation


Do not

yet meet recordkeeping Requirements


Fixed
-
Term Retention only


No event
-
Based retention, Legal Holds


Suitable for Transactions & Marketing


SEC/NASD Solutions


62

…. The Commission believes that for record retention purposes
under Rule 17a
-
4, the content of the electronic communication is
determinative, and therefore broker
-
dealers must retain only those
email and internet communications (including inter
-
office
communications) which relate to the broker
-
dealer’s “
business as
such
”.


IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

F
ixed
T
erm
R
etention vs
R
ecords
M
anagement

Fixed Term Retention

Records Management


Time
-
Based Retention Rules


Single (or multiple) retention
periods for records


Time
-
Based Retention


Event
-
Based Retention


Legal Holds


Structured File Plan, retention
schedule


Structured Destruction
process


Destruction Auditing


Security

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Event
-
Driven Records in SEC/NASD Compliance

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
Handles Event
-
Based Retention

2.
Legal Holds

3.
Handles Changes in Regulations/Retentions

4.
Legal Audit

5.
Accommodates Paper Records



Five Reasons SEC/NASD Needs RM


62

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
Market Assessment/Trends

2.
e
-
Records Fundamentals

3.
The New Model

4.
Compliance

5.
Implementation

6.
Conclusions/Recommendations

e
-
Records

State of the Art


SAA 2004

Bring Recordkeeping To Your Business Solutions

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

The Most Frightening Thing in e
-
Records


You are a records manager at CISCO (San Jose)


You have to meet FTC Regulations, SOX, others.


Your CIO has purchased e
-
records software

with year
-
end funds


The CIO has asked you;



“Tell me what we have to do to implement”

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Implementing e
-
Records


What do we have to achieve?


What is our approach?

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
Declare/Classify


Across multiple applications, platforms, attitudes


Accurate, appropriate retention rule assignment

2.
High Scalability


10’s of thousands of users, <5 second e
-
records
“experience”

3.
Flexibility in the Records Model


Adapt to local customs/realities/conventions

4.
Physical Records Management


Paper records handled efficiently, seamlessly

To Achieve Successful e
-
Records


81









You Have to Bring Together;

User Attitudes

Business Software

Technical Platform


To Outwit Your Users

Policies/Procedures


IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

A 3
-
Stage Approach to e
-
Records Success

1.
Establish corporate
policies

based on the regulations
that effect you

2.
Translate these policies into
specific business
procedures

3.
Apply the
technologies

to
automate and control the
business procedures

Mandates / Regulations

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

For Successful Implementation



Make the e
-
Records process go away


Automate Declaration and Classification where possible


Integrate e
-
Records into your business


Make it part of existing business processes


Deploy it properly


Measure the Results and adapt


Train the Administrators and motivate the end users


Integrate it sensibly



IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Three Stages of e
-
Records Implementation

Stage 1

RM Consultants

Stage 2

Vendor

Stage 3

RM Consultants

+ Vendor

RM Policies

Business Procedures

Technology


File Plan


Retention Schedule


Business Policies


Business Practices


Install e
-
Records
Software


Enable Host Business
Applications


Conduct a Pilot/POC


Load File Plan/Retention
Schedule


Configure Security


System
Setup/Configuration


Project Management


Training


Maintenance


Additional Deployment


Scaling up


IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation




Stage 1


1.
Build Supporting Organizational Structures

2.
Build Corporate Awareness

3.
Establish Underlying Corporate Policies

4.
Enshrine the New Policies








Stage 2



5.
Build/Strengthen RM Foundation

6.
Develop Implementation Strategy/Plan

7.
Map Business Processes





Stage 3


8.
Implement RM Technology

9.
Conduct the Initial Pilot




10.
Enterprise Roll
-
out

IBM’s e
-
Records Implementation Methodology

Overview

IBM Capability

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1. Build Supporting Organizational Structures


Link IT to RM


Involve Legal Counsel, Corporate Compliance and Corporate
Risk Management


Define mission, mandate, roles and responsibilities


Establish a Strong Project Team


IT, RM, Business Process People, Legal Counsel, Corporate
Compliance and Corporate Risk Management

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

2. Build Corporate Awareness


Launch an education plan/strategy


Up (to management) Educate Management on importance of e
-
records


Across (to stakeholders)


Down (to end users)


Tie to business ethics training (when appropriate)


Build the business case (if required)


Tangibles


Intangibles

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

3. Establish Underlying Corporate Policies


Definition of a record. Official vs. Transitory records. When to
Declare a record. (this will vary depending on the record and
the business process)


Requirements of systems and processes that generate/store
records, including quality and reliability of such systems


Email Policy (Usage and application of e
-
records)


Mainframe and Client / Server Applications and Database Policy


Policy’s strategic place and role within the greater
organization’s policies/framework


Compliance, Privacy, legal, public’s right to information (FIOA) etc.


Implementation plan


Resources Required


File Plan and retention schedule


Access control (security)


Policy review/Audit process


IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

4. Enshrine the New Policies


Communicate clearly from the top. This is really
education
.


Provide the policy to all stakeholders and everyone who has a
role to play


IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

5. Build/Strengthen RM Foundation


Creation of Update/Revise File Plan & Retention Plan


Use Skupsky’s Retention Method or other 3rd party retention
method or consultation (if applicable)


Ensure adequate skills and resources (funding, people)


Conduct a Records Inventory (physical as well as electronic)


Establish Metadata requirements and standards (leverage existing
corporate ones or industry standard ones)

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

6. Develop Implementation Strategy/Plan


Decide on relationship between ECM and RM


Why/When/How/Where to combine the two


Identify Target Pilot group


Define the Target Business Processes to records
-
enable


Set clear expectations, goals and objectives


Timeframe, Roles & Responsibilities

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

7. Map Business Processes


Clearly Define and map every target business process


Revise process to include e
-
records


Secure stakeholder agreement on all updated processes


(PRM only) Define & Map paper
-
based processes


Folder storage/retrieval/tracking


Box storage/retrieval/tracking


IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

8. Implement RM Technology


Install/Configure


Bulk Load File Plan, Retention Schedule


(PRM Only) Bulk Load Boxes, Folders


(PRM Only) Define/build any required “custom” paper handling
processes


Train Records Administrators


Establish operational Physical Records management (PRM)


Install, Configure any/all connectors/existing RMe’s


Design, build, test, deploy, audit, refine any new enablers


IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

9. Conduct the Initial Pilot


Select a Target Business Application (2?)


Design/Build Declaration and Classification Methods for target
Host Application


Design and deliver user training:


Training on the policies and procedures


Declaration/Classification procedures


Conduct pilot for 60 days


Measure against pre
-
established customer requirements,
expectations, goals and objectives of pilot


Review the Results


Apply changes/corrections


Measure results again

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

10. Enterprise Roll
-
out


Develop Roll
-
out Strategy/Plan


Identify Target group(s)


Define the Target Business Processes to records
-
enable


Set clear expectations, goals and objectives


Timeframe, Roles & Responsibilities

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

1.
Market Assessment/Trends

2.
e
-
Records Fundamentals

3.
The New Model

4.
Compliance

5.
Implementation

6.
Conclusions/Recommendations

e
-
Records

State of the Art


SAA 2004

Bring Recordkeeping To Your Business Solutions

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Conclusions/Recommendations


We have to solve the

Skills

problem


Before it’s too late………..


Agencies are neither
Ready
nor

Able

to
implement


Prepare yourself NOW.


The RMA is Dead!


Embedded model has won



IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Implementations are Lagging Sales. Why?

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

Why the Lag?

3 Reasons

1.
The Skills Gap


No enough people who know how to
implement!

2.
The Skills Gap


CIOs & CEOs do not understand RM

3.
The Skills Gap

1.
Records Managers do not understand
e
-
records

IBM Software Group | DB2 Data Management Software

IBM DB2 Records Manager

© 2003 IBM Corporation

The e
-
Records Skills Gap