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Record Management and Archive within Case Management

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  1. Record Management andArchivewithin Case Management Ometa– Tom Geyskens

  2. Overview • Fundamentals relatedto RM • Identifyneedsforyour company • Standards, guidelines and compliancy • Features of a Record Management System • Demo • Questions?

  3. Fundamentals of a record management system

  4. It’s about • Authentication • Integrity • Confidentiality • Non-repudiation • Origin • Actions- audit trail • Identification • Invisibility

  5. Control of Relationship to Information • Origin: who did it and when? • Electronic signatures and timestamps • Actions: what may you do with the document? • Digital Rights Management • Confidentiality: who may access the document? • Cryptography • Invisibility: who may know there is information (content) to be seen?

  6. Origin: who did it and when? • Objectives • Trustworthiness • Authentication: The digital signature was created with the private key of the sender. • Integrity: Proof that the document has not been changed after it was signed. • The Judge trusts that Mr. Smith did it. • Non repudiation • The signer cannot deny that he / she has sent or signed the document. • Mr. Smith, you may not claim you did not do it! • Perennial aspects • 40 years ago, Mr. Smith did it, and the Judge can still see that has happened rightfully.

  7. Authentication?

  8. Integrity?

  9. Non-repudiation?

  10. Confidentiality?

  11. Identifyneedsforyour company

  12. Do youneed a Record Management System? • What’syour risk? • Not compliance – sector dependent • Legal obligations • Financial documents • Legal documents • SOX • Evidence • Contracts • SLA’s • Product specs • Retention • Long term storage

  13. This is dependent of • Sector • Market standards • Stock market listed • Localgovernment

  14. Object Becomes A Record Destroy Understanding Records Management Author Control Corporate Control Records Management Declare Classify • Legal Rules • Regulatory Compliance • Business Rules • Access Control Activity Retention Disposition • Document Creation • Collaboration • Properties • Workflow Store / Transfer Time

  15. Records management • What is a record ? : “A record is recorded information in any form maintained by an organization kept as evidence of a business activity or transaction” • Examples : • Invoices, Engineering drawings of customer installations, Maintenance andcalibration reports • Licenseagreements, contracts, patentsand trademarks, • eMail, correspondence • SOP’s (Policies & Procedures) • Legal information

  16. Document: A “piece” of information you can handle or manage May be important, or not Under the management of its “owner” (usually author or recipient), so… Can be changed at will Can be deleted at will Record: A “piece” of information you can handle or manage Represents important “evidence” of decision or act Under corporate management, so… Cannot be changed Cannot be deleted by most Linked to policies Documents & Records See ISO 15489 for more details

  17. Reasonsforarchiving? • Low cost storage • Performance of collaboration environment • Disaster/recovery • Archivingcanbedoneto store evidence but the risk existsthatit is notacceptedby the judge

  18. Disposed Archive Information Record Integrity Audit trail Authentication Retention …

  19. Records Management – EU-norm • MoReq 2010 • “Model Requirements for the Management of Electronic Records” • Why MoReq? • US DoD 5015.2 (1997), for US Department of Defense • MoReq – list of requirements (2001), defined in Europe and translated in various languages and used worldwide . • Can help you during vendor/application selection • Guidelines when designing your ERM-system.

  20. Features of a Record Management System

  21. Records management functionality • Submittal/Declaration :Whenyou have decidedthat a digital object is arecord, how do you control itthen? • Categorization/Organization : When it gets controlled, it will also need to beretrievedandused. How is thisdone? • Retention : Based on legaland business requirements, youshould know and track how long to keep records. • Control : Records cannot be changed or deleted. • Disposition :Whenyoudon’tneedto keep itanymore, how do youget rid of it?

  22. Categorization • When a user declares a record, the systemallows him to choose a (pre-defined)category. • Auto-categorizationsuggests or applies acategory based on content. • Categoriescan fit within search taxonomiestofacilitate retrieval (similartoknowledgemanagement).

  23. Retention • Retention periods applied to the category selected • Retention periods can be tied to event triggered automatically (when submitted, when project complete, when employee retires, etc.)

  24. Control • Records can not be deleted or changed • Retention • versioning • Reporting on file plans and disposition

  25. Disposition • Whenretentionperiodexpires, providesreports of documentstobedisposed • Purges andreports on results • Provides audit capabilities

  26. Sample of record management system

  27. Usage of Trim • Trim • Record management system of HP • Canbeused as record management system for • Collaboration • Email • Applications • …

  28. Information governance Paper docs E-docs/email Applications SharePoint } Capture RECORDS Classify Reduce Retain and Protect Discover Dispose

  29. Information governance Paper docs E-docs/email Applications SharePoint Capture Classify Reduce Retain and Protect Discover HP TRIM Dispose

  30. HP TRIM 7 and SharePoint User Community INTEGRATION MODULE Corporate/RM

  31. The Swan Analogy Trim and SharePoint work perfectly together SharePoint TRIM

  32. Transparent management of SharePoint content HP TRIM for SharePoint Integration Information workers create content as usual within SharePoint Lifetime Management Policies can capture content into HP TRIM transparently.

  33. Transparent management of SharePoint content HP TRIM For SharePoint Integration SharePoint content stored as records with compliance policies such as retention, security, classification Managed items remain available in SharePoint or removed based on policies. Edit, security, audit, etc are defined by HP TRIM records management rules

  34. Records Management transparency across business activities HP TRIM For SharePoint • Single search for SharePoint and HP TRIM content • Search HP TRIM content captured from other sources • Map SharePoint column data to HP TRIM metadata • Archive sites to HP TRIM • Increases performance through SQL data reduction • Apply holds, retention, etc on sites archived to HP TRIM • Rehydrate archived sites to SharePoint • Expose HP TRIM records throughout SharePoint

  35. Demo scenario

  36. Request for Calucation Calculationpending Result • All Document of type ‘Calculation Results’ stored in Trim as Record Calculation ‘Calculation Results’ Capture HP TRIM Classify Reduce Retain and Protect Discover Dispose

  37. Archive • Complete case is ‘archived’ in Trim Assigned compensation Revision Investigation Request for compensation End of Case Single compensation Capture HP TRIM Classify Reduce Retain and Protect Discover Reallocate

  38. Movie

  39. Questions?