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Starting a Records and Information Management Program

Starting a Records and Information Management Program. Susan B. Whitmire, CRM, FAI. Learning Objectives. Upon completion of this session, participants will be able to: Examine organizational business issues and approaches to assessing risks that gain momentum for enterprise content management

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Starting a Records and Information Management Program

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  1. Starting a Records and Information Management Program Susan B. Whitmire, CRM, FAI

  2. Learning Objectives Upon completion of this session, participants will be able to: • Examine organizational business issues and approaches to assessing risks that gain momentum for enterprise content management • Apply methods for planning, strategizing, and managing the overall project and program to gain user awareness, adoption, and acceptance of your policies, programs, and tools • Identify your internal risks to aid the development of the strategy for your organization 2

  3. Agenda • Background • Planning for Enterprise Content Management • Strategizing your RIM Program for Compliance and E-Discovery • Building a Compliant Infrastructure • Managing People, Processes and Technology 3

  4. Background 4 Class Action Litigation Hire a consultant Purchase software solutions Hire a Records Manager What next?

  5. Planning 5 • Learning about the Organization • Identifying the Business Issues • Determining where Content Lives • Assessing the available Technology

  6. Planning - Organization 6 • What is the industry? • What is in existence today? • Where does the RIM program reside? • Who, at the C-level, supports this?

  7. Planning - Organization Executive Sponsor 7

  8. Planning – Issues 8 • What are the major business issues? • Has something occurred to spark the necessity for a RIM program? • Litigation • Regulatory changes • What issues can RIM be part of the solution?

  9. Planning – Content 9 • What mediums are used to access and store content? • What systems and applications? • Is it “records managed?”

  10. Planning – Tools 10 • What tools currently exist to manage physical records? • What tools exist to manage electronic records? • What tools exist that allow end users to manage documents?

  11. Strategizing 11 • Gathering Information • Developing a Strategy • Assessing the Risks • Communicating the Strategy

  12. Strategy – Information Gathering 12 • Asking questions • Conducting research • Determining applicability • Formulating ideas

  13. Strategy - Development 13 • What is the Vision/Mission? • How far reaching is the program? • Departmental/Divisional • Company/Enterprise • Governance and Policy • Physical records, electronic records, or all content

  14. Risk Assessment 14 • What poses the greatest risk to the organization? • Content • Policies and Controls • How do you classify the risks? • How do you rank those risks?

  15. Risk Assessment Higher \ RISK ]Lower Unstructured E I System/Appl Physical Email Reports Images Current Risks: (each bucket lacks required functionality to be compliant) • Retention • Disposition • Legal Holds • Production • Inappropriate use • Retention • Disposition • Production/ e-discovery • Collaboration • Retention • Disposition • Legal Holds • Production/ e-discovery • Searching • Retention • Disposition • Legal Holds • Production/ e-discovery • Retention • Disposition • Legal Holds • Production/ e-discovery • Retention • Disposition 15

  16. Strategy - Communication 16 • Where can you gain leverage? • How can you make your point? • What audiences will carry the message? • What venues are available?

  17. Building • Developing the Implementation Plan • Planning the Projects and supporting Initiatives 17

  18. Building – Implementation Plan • Begin with the greatest impact • Develop the program components from risk to solution • Establish the overall timeline 18

  19. Building - Projects • Plan the projects to support the implementation • Set milestones • Develop the supporting initiatives for each project • What are the deliverables? • Which initiatives require IT resources? • Is there a project methodology that must be followed? 19

  20. Plan of Action 1. Physical Records (Reduce by Half, Prepare for Move to New Campus) 2. Grouping & Foldering (e-mail, Unstructured Electronic Information (EI)) 3. File Plan to ERM tool (Apply retention to elec information, legal holds, e-discovery) 4. Reports, Systems / Applications, and Images 2007 2008 2009 2010 2011 2012 Beyond Develop strategy for unstructured Electronic Info Develop Grouping and Foldering design Clean up of legacy data on file shares reducing duplication and fostering teamwork Develop and implement training for business users Develop enterprise e-mail Management and Archiving Strategy, Policy and Procedures Rollout Collaboration connectivity with (ERM) Electronic Records Management tool Business Unit Training complete Legacy data captured in ERM tool (P8 RM) Significant decrease in F drive usage Collaborative environment with document library tied to ERM tool in use by business units Overhaul Enterprise Records Retention Schedule Meet with business units to perform a Quick Inventory of physical records Implement Physical Records Retrieval System (SafR) Train end users - sending records to storage and searching/requesting Physical records onsite were reduced by half. Process improves physical records access and usage. Retention can be applied in a consistent and compliant manner Map and apply retention to Systems and Applications including homegrown databases Apply retention to images in legacy FileNet Categorize Online Reports for application of retention 20

  21. Managing - Outcomes 21 • Can progress toward strategic vision be demonstrated? • Is there oversight for the activities? • Are the “baby steps” moving the plan forward?

  22. Managing - Communication 22 • Where is the value add for the organization? • Is “pulling” information from a website feasible? • Is “pushing” reports necessary?

  23. Managing - Reporting 23

  24. Managing - Reporting 24

  25. Managing - Education 25 • What venues are available? • How is Change Management best handled? • What are the Core Values of educational offerings? • When is it beneficial to use the “Compliance” card?

  26. Summary 26 • On the path to Enterprise Content Management • Plan supports retention compliance and e-discovery requirements • Users are engaged because there is benefit to them • Following the technical “Critical Path” with a few deviations

  27. Questions? 27

  28. Susan B. Whitmire, CRM, FAI susan_whitmire@bcbst.com 28

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