Electronic Records Management Strategies New Jersey: October 27, 2004

1. Electronic Records Management StrategiesNew Jersey: October 27, 2004 Cheryl McKinnon Product Manager, Government Solutions Hummingbird Cheryl.McKinnon@hummingbird.com

2. Agenda • Where is the Market Today? • Standards and Legislation Affecting Records • What Challenges do new Technologies Present?

3. Where is the Market Today? • Adoption of Information Management Systems • Document Management, Imaging, Workflow • Records Management • Reporting • Integrated Capture, Management, Categorization of Mainstream Document Formats • Microsoft, Corel and Lotus Suites • E-Mail • Others: Graphics, Images

4. Where is the Market Today? • Organizations deploying to address business requirements: • Correspondence Tracking • Agenda and Issue Management • Enforce Retention and Disposition Policies • Assist with Case, Project, Property Management • Facilitate Research and Knowledge Management

5. The RM Market Today • 1990s: • Recognition that electronic documents can constitute corporate records along with paper • Records Managers • Custodians of Information – Paper Keepers and Advisors on Electronic Information Management • Developers of Policies, Procedures, Best Practices • Wave of industry standards, legislation mandating electronic Records Management requirements

6. The RM Market Today • 2001: • Information Management Crisis • September 11 • Disaster Recover Concerns Recognized • Business Continuity • Risks of a Heavily Paper-Based Environment • Financial Scandals • Risk Management • Corporate Misconduct • Record Retention Rules poorly defined or not followed • Willful and Unlawful destruction of business records

7. The RM Market Today • 2002: • Information Management is HOT! • New Corporate Awareness • “ROI” = Risk of Incarceration • Closer Alignment of Records and IT Professionals • Closer Alignment of Records and Legal Counsel for Asset Protection and Compliance Programs • Higher Visibility of Records and Information Management Professionals • ARMA (www.arma.org) • AIIM (www.aiim.org)

8. The RM Market Today • 2003-2004: • Information Management a Key Business Process • Panic should be over, Planning Begins • Records Management recognized as a cornerstone to an Enterprise approach to Information Management • Focus on content and context, not the container in which the data is stored • Broadening view of records – email, instant messaging, voice mail, other digital media types • Records Managers compelled to become more technically savvy, work with IT staff for common organizational goals • Products • Easier to use, tighter integration to authoring tools, flexible architectures

9. The RM Market Today • Vendor and Technology Consolidation • Mainstream Document and Content Management Vendors acquiring niche records management systems • Gartner Group’s “Smart Enterprise Suite” • Tracks integrated approach to information management • Market pressures for single vendor solutions

10. Agenda • Where is the Market Today? • Standards and Legislation Affecting Records • What Challenges do new Technologies Present?

11. International RM Standards • DoD 5015.2* US Government eRM Standard • UK TNA* UK Government eRM Standard • MoREQ European eRM Standard • ISO 15489 International Standard for eRM • DOMEA* German RM Standard • VERS* Australian eRM Standard

12. Legislation Impacting RM • United States: • E-Sign Act of 2000 • Government Paperwork Elimination Act (GPEA) • Paperwork Reduction Act of 1995 • Electronic Freedom of Information Act - EFOIA • Section 508 Accessibility • Health Insurance Portability and Accountability Act (HIPAA) • Sarbanes-Oxley Act • Patriots Act

13. Agenda • Where is the Market Today? • Standards and Legislation Affecting Records • What Challenges do new Technologies Present?

14. Mobile, Distributed Knowledge Workers • Public Sector Pressures • Government “On Line” / E-Gov Initiatives • Keep public sector on cutting edge of technologies to deliver services to constituents • Need to understand both limits and possibilities of new communication platforms • Internal paperwork reduction mandates

15. Mobile, Distributed Knowledge Workers • Many Knowledge Workers Not Desk Bound • Professionals • Attorneys, Consultants, Executives, Political and Campaign Organizers • Law Enforcement • Field Officers, Supervisors, Inspectors, Detectives, Security Officials • Emergency Services • Disaster Relief, Project Officers, Military, Health Care Professionals • Inspection Agencies • Food System, Customs, Case Workers, Transportation, Labor or Health

16. Mobile, Distributed Knowledge Workers • Requirements: • Access to up-to-date policies and procedures, manuals, forms • Connectivity to corporate databases • Access to departmental intranets or portals • Ability to communicate and collaborate real-time • With Regional or Head Office • With contractors, clients or constituents • With other stakeholders • Stay informed while in field – act with current information

17. Challenges: Technology Rapidly Evolving • Slippery Slope of Instant Communication • Managers, Executives and Remote Workers become dependent on instant access to messaging capabilities • More data and information demanded • Access to documents and records • Be notified when certain events occur or information is completed • Ability to act on documents received • Know when colleagues are available

18. Challenges: Technology Rapidly Evolving • E-Mail • Many organizations still grappling with management of e-mail volume • Types of devices which can send and receive e-mail exploding • Broader use of Laptops and Wired Homes • Cell phones • Other PDAs: Blackberries, Palm Pilots • Structured Capture, Control and Management of E-mails • Still lagging compared to other electronic document forms • IT staff often still exerts lifecycle management authority • Often loss or inappropriate storage of e-mails which should be considered organizational records

19. Challenges: Technology Rapidly Evolving • E-Mail • Rate of adoption will continue to grow exponentially • IDC Survey, September 2002 • 16.2 billion messages per day worldwide, growth rate of 19% per year • Projecting 60 billion per day by 2006 • Continued proliferation of e-mail enabled-devices • Ubiquitous messaging, connectivity • Becoming dominant form of business communication

20. E-Mail Challenges • AIIM: 25% to 50% daily on e-mail tasks • Gartner: Over 75% of organizational know-how is buried in e-mail • 34% of business e-mail is unnecessary (occupational spam) • Survey by the AMA / U.S. News & World Report / ePolicy Institute finds: 50% of the largest U.S. companies have no e-mail retention and deletion policy in place

21. E-mail Integrity • Authentic, trustworthy, and complete e-mail records • Must capture who, what, when, and where of original e-mail messages to have legal or business value as records – message metadata • Header information • Body Content • Attachments • Signatures • “An e-mail printed to paper without its routing information and metadata is simply a piece of paper with words on it.”

22. Challenges: Technology Rapidly Evolving • New Channels of Communication • Web Sites • On Line Collaboration • Text Messaging • Camera Phones • Instant Messaging • Wireless Networks

23. Challenges: Technology Rapidly Evolving • Next Wave of Information Explosion • Next generation of electronic records created through these new channels • How will organizations capture these records and ensure they are managed according to records principles? • Compliance Risks • Preservation Concerns • How do we apply same business rules and lifecycle requirements to this next generation of records? • What gap in the organizational or archival history will occur if we don’t plan now?

24. Challenges: Technology Rapidly Evolving • Organizations Driven by Productivity Gains from Mobility • Even most basic devices can immediately garner 10% efficiency gain for individual user (Gartner Research, March 2003) • Communication Platform does not release organization from meeting mandated industry regulations or corporate transparency legislation • Technologies that lend themselves to strong record keeping practices need to be evaluated

25. Content Lifecycle Management

26. Questions? Please visit us at Booth 21 Copies of Slides Will be Made Available Cheryl McKinnon, Hummingbird Ltd. Product Manager, Government Solutions (613) 238-1761 x5186 Cheryl.McKinnon@Hummingbird.com www.Hummingbird.com

27. Electronic Records Management StrategiesNew Jersey: October 27, 2004 Albin Wagner Chief of the Bureau of Records Management State of New Jersey