® ibm software group, information management software © 2006 ibm corporation compliance in an on...

®

IBM Software Group, Information Management Software

© 2006 IBM Corporation

Compliance in an on demand environment

Taking Control over the Wild, Wild West within your Organization

Tom Reding, CRM, Executive Consultant: Risk, Governance, & Compliance Solutions

IBM Software Group | DB2 Information Management Software

2

Agenda (2.0 Hours)

Define the Wild, Wild West of your enterprise

Managing Records on Network Drives

Impact of the “new” Federal Rules of Civil Procedure (FRCP)

Federated Records Management (FRM) for “all of the repositories in your enterprise

Handling Transactional Database Records

e-Records enabling Reports Management

Where and how does RM & FRM fit into an SOA Framework?

Phased Implementation Recommendation

What’s next for Master Policy Management?

Q&A

®




Tom Reding, CRM Executive Consultant: Risk, Governance and Compliance Solutions

• 27 years as a client in multiple highly regulated industries, twice on the witness stand, four times deposed• Industry-wide recognition as an author, presenter and contributor to industry standards and guidelines• SME for info integration, content/document management, e-records management, and litigation support

issues

“Corporations can not demonstrate compliancewithout Records Management”

IBM Software Group | DB2 Information Management Software

4

Defining the “Wild, Wild West of your enterprise

Desktops & Laptops

Network file shares

Various Corporate Archives

Data Warehouses

Report Management Systems (IDARS, COLD)

®




Records Management Solutions should be capable of preserving your existing investments in business applications & repositories, while at the same time future proofing you regarding future application and repository investments.

“Corporations can not demonstrate compliancewithout Records Management”

IBM Software Group | Information Management Software

An e-Records Management Strategy

Deliver electronic records management as an element of information technology

infrastructure.

Records Management technology should be used to “e-Records enable” all types of

business processes, applications, repositories, storage management systems,

and content integration solutions.


OK, I’ll Set Up Records Management Policies…zzz!

Records Retention Policies are … well … rather boring,

But consistent adherence to Policieshelps to demonstrate Compliance


Are you one of those in the Board Room or “middle management”?


Liu JinbaoFormer CEO of Bank of China

Now on Death Row

Liu JinbaoFormer CEO of Bank of China

Now on Death Row

Bernie EbbersFormer CEO of WorldCom

Now Serving 25 Years

Bernie EbbersFormer CEO of WorldCom

Now Serving 25 Years

Luke DuffyFormerly of Bank of Australia

Now Serving Time, Took Down CEO

Luke DuffyFormerly of Bank of Australia

Now Serving Time, Took Down CEOKen Lay

Former CEO of EnronFaced 175 Years

Ken LayFormer CEO of Enron

Faced 175 Years

Gale NortonSecretary of the Interior

Held in Contempt of Court

Gale NortonSecretary of the Interior

Held in Contempt of Court

Morgan StanleyFined $1.45 BillionStock Price Down

CEO Removed

Morgan StanleyFined $1.45 BillionStock Price Down

CEO Removed

Examples of What NOT to do | Compliance Hall of Shame

IBM Software Group

®


Effective Records Management is the Goal for MOST Corporate Legal Departments….


Records Management from Creation to CoreSecure Data Management at the “Desktop Edge” & Records and Content Management at the “Core”

DocumentumOpenText

SharePoint, Stellent,etc.

Content Management(Storage, Search, Security)

Microsoft Office

NotesDatabase

Desktop Applications

Records Management(Retention Schedule, File Plan)

Lotus Notes

eMail

Email ArchivingDocument Management

Peoplesoft Siebel

Business Applications

SAP

R

StrategicContent

Repository

Rpts Mgmt

Information Integration(Federation, Search)

Physical Records

Data Capture and Classification upon CreationInformation Routing

SecureDesktopsLaptops &Fileshares

Commercial Rcds Store

MSExchange

Immediate Out-of-the-box functionality todayRecords Management AdministrationProfessional Services


e-Records Management: Past, Present, & Future 1st Generation – Paper & Microforms Retrieval System

(Computer Assisted Retrieval Systems [CARS]) 2nd Generation - 1st Generation Solutions upgraded to manage

desktop documents, bring their own repository and search tool (Records Management Applications [RMA])

3rd Generation – New Paradigm introduced, e-Records Policy Engine used to embed RM features and functions into business applications (at server & / or desktop), w / repository independence, use existing customer search tools

4th Generation – e-Records Policy Engine extended to embed RM features and functions via Enterprise Content Integration (Federated Records Management)

5th Generation – To be determined 6th Generation – Universal Virtual Computer


5th “NEXT” Generation RM Policy Management

Tie to Master Data Management for metadata integrity Link Privacy Management & Digital Rights

Management Open Systems Interface developed and promoted to

all software vendors Enhance linkage between RM & Storage policy (RM &

HSM) for media & data format migration, etc. Enhance compatibility linkage between RM & CAS

storage solutions for expungement process

Disclaimer:None of the information presented above should be viewed as a commitment, it is only presented for informational purposesAll of the plans are subject to change. Features may be pulled out of the release at any time for any reason.


Most Corporations Unready for New Federal Rules of Civil Procedure on Electronic Evidence


EvidenceEvidence

• Search• Review• Search• Review

DiscoveryDiscovery

• Redact• Present• Redact• Present

LegalLegal

New FRCP: How Does This Impact You?

Your Organization faces a >95% chance of litigation in 2007

You MUST know where your documents live

You MUST keep relevant documents with metadata

FULL Records Management is INEVITABLE

You MUST be able to search for and present documents intact regardless of location


Summary of Rule Change / Clarification

An assessment of the organization’s information policies and procedures to ensure that the right records and information can be located, preserved and produced for discovery when necessary.

The creation of an effective Legal Hold policy to stop the destruction of records and information due to routine business processes or other reasons.

A process for disseminating a clear and effective Legal Hold notice to inform employees and others of their responsibility to preserve certain records / information for litigation.

Assessment of the organization’s IT infrastructure to ensure it can effectively support the Legal Hold process and preserve all necessary records and “data compilations” without hindering business processes.

Points of contact across the organization’s business units that possess a thorough knowledge of their areas’ records and information, as well as what form those records are in and where they are located.


Summary of Rule Change / Clarification (continued)

Within 30 days of filing a discovery order opposition counsels must meet to decide how to handle electronic evidence discovery.

Firms must agree on what records are shared and in what format.

Gartner Analyst John Bace said, “… companies will need to act immediately to avoid the potential for sanctions and "negative inferences" in court battles; … organizations should quickly take steps to develop records retention policies and content management procedures to help protect the organization in case records are lost.”


Various Methods Automatically Declaring & Classifying Records Auto Declare and Classify via a rules-based metaphor:

Rules-based metadata +

Rules-based on roles / responsibilities +

Rules-based content/full text (traditional) -

Rules-based content/full text (spam filter type) *

Rules-based contextual analysis =

Crawl existing desktops, fileshares, business applications for records #

+ Recommended as “Best Practices”- Shortcomings sighted in 2 gov. studies (NARA & DOE)

* Currently being evaluated as a new “Best Practice= BP offering under development

# May be a privacy issue in some businesses


Various Other Methods for Declaring & Classifying Records Server-based automatic classification

Via the e-Records Solution

Via an e-Mail Archiving Solution

Workflow includes a tiered scale of manual and automated methods

Select from a Quick List (those record types used for select work group or dept

Drag & Drop in a folder (which has a retention rule behind it)

Browse the organization’s File Plan


Leave records in native repository

1

DCTM Stellent

… Other Content Repositories …

RM + ECI = Federated Records Management (FRM)

Records Manager

Move records to a strategic repository at declaration

2

StrategicContent

RepositoryOTEX MS SP


Declare & Classify

Subscription Event Services

Content Monitor

Event Handler

Records Manager

Classificationand Retention Rules

Federated Records

CM

1. As a preconfigured step in a workflow process or when lifecycle state changes

1

Workflow Process

Records can be consistently declared and classified:

3

3. Through buttons or drop-down menu items in applications

Business Application

2. Via simple insert of content into a records-enabled folder

2

R


Discovery + Application& Release of Hold Orders

• Reduces discovery costs

• A records administrator performs a…

… single search

… across multiple repositories

• All relevant records identified are placed on hold to suspend normal retention schedules


Content Monitor

Event Handler

Records Manager


Federated Records

R

CM

R

RR


Disposition

• Centralized review and timely disposition of all records as they reach the end of their retention period

• Reduces disposition costs

• Ensures organizations don’t retain too few or too many records


Content Monitor

Event Handler

Records Manager


Federated Records

CM

R

R RR


Imaging/Document

Mgmt

ReportMgmt

Web Content/Media Asset

Mgmt

CustomSystems

NetworkFile

Systems

Workflow/Business

Process Mgmt

WebSphere II Content Edition - Content Integration Platform

Lets you work with content from multiple, disparate content sources as if it were stored in one unified system

Single interface to multiple content sources and workflow systems Rich, bi-directional content functionality Exposes all underlying functionality and adds federation services Development components and APIs for building custom applications Requires an API at the application / repository level to enable federation


IBM Federated Records Management Solution

RecordsDatabase

RM Expertise: Consulting, defining file plans, workflows, etc.

Custom Client Applications Discover content, hold and destroy records, browse and search file plans


Content Monitor

Event Handler

Web ComponentsSearch W-flow Declare

RepositoryRepositoryRepository

MQ W-flowExisting IICE

FRM Software Assets

Records Manager

Co

nn

ec

tor

RM Host Interface

Enterprise Search

RM Logic Extensions

Hold


Federated Records Managementfor Reports Management

Reports data now consistent with other organizational records Helps meet compliance objectives and

supports litigation requirements Declare and classify records

An entire load – or – individual documents within a load

Classify to the corporate records file plan Time, event and event+time retention

rules Apply legal holds and manage the

records lifecycleRecords

Jonathan Smith

123-45-6789

Ronald Smith

234-56-7890

William Smith

345-67-8901


Additional Options for Legal Holds and Dispositions

Individual records can be retained… …while dispositioning the rest of the original data load

Unload and extract individual records on legal holdReload them into a new application group

• All their records metadata and properties are maintainedThe rest of the original load completes disposition

Unload & Reload with records metadata in tact

Jonathan Smith

123-45-6789

Ronald Smith

234-56-7890

William Smith

345-67-8901

Disposed Disposed


What, When, Where and How of Structured Data capture as “official” business records

What conclusions has your organization arrived at regarding

What, When, Where, and How

Keep it simple Point of “authentication” vs. a draft

Reports Management System: Things to be aware of LARGE BLOBS

Application and Release of Hold Orders

Unique disposition step-by-step processes

Example: Web Transactions at business records Content, Structure, Context


Structured Data as Business Records

Capturing the Input & Output is key Manage in-place vs. capture and preserve in a secure

repository (ECM) In-place: no duplication, use production system when performing discovery

Move to a secure repository: use same user interface, helps ensure desired high performance of the transactional system


Why Federated Records Management Matters Content and records management have been departmental

investments, creating many content silos Reports Management data has typically not been brought under

records control Compliance requires complete access and control over records

stored across many disparate systems Consolidating all records to a single repository is typically not a

viable alternative in the short-term IBM Federated Records Management leverages legacy content /

records investments

Centralized records management helps ensure consistent application of recordkeeping policies…

…regardless of where information is stored


Benefits of IBM Federated Records Management

Reduce risk through automated, consistent application of the records program all content storesBring third-party content repositories under records control

Bring reports data under records control

Help meet compliance and litigation requirements Accelerate enterprise records deployment Reduce the initial and ongoing costs of recordkeeping Provide a “future-proof” infrastructure

Add, remove, change repositories without disrupting records management and/or risking noncompliance


Federating Access to Enterprise Information

VSAM,Sequential

IMS, AdabasCA-DatacomCA-IDMS

DB2 UDB InformixOracleSybase Teradata Microsoft SQL Server

ODBC

DB2 CM FamilyDomino.doc DocumentumFileNetOpen TextStellentInterwovenHummingbird

WebSphereFileNet

Lotus NotesMicrosoft Index Server

IBM Lotus Extended Search

SametimeQuickPlaceMicrosoft Exchange

OLE DBExcelFlat filesIBM Lotus Extended Search

Web search LDAP

Custom-built

WebSphere BI Adaptors

SAPPeopleSoftSiebel

Plus partner tools and custom-built connectors extend access to more sources

Content& Imaging

Workflow systems

Relationaldatabases

WebOther

CollaborationSystems

XMLWeb services

Packagedapplications

Mainframefiles

Mainframedatabases

SQL

Unstructured Repositories

ContentSQL

Traditional Structured Systems, Applications & Repositories

Web Services & Applications


Metadata is a key element in every electronic business record

Why is Metadata important? It is often impossible to establish authenticity and relevancy of records

w/o supporting metadata

Requesting parties are entitled to “all” metadata supporting records produced in discovery

Application Metadata vs. System Metadata Application metadata is embedded within the file, it describes the file

and moves with the file when it is copied

System metadata is an analogous to a library card catalog, it is stored and maintained external to the file

• “Every” active file (no exception) in a computer system maintains system metadata used to track the file location & file demographics (i.e., file name, size, creation, modification, and usage)

MS Windows and MS Word example: Metadata supporting may be larger than the file itself, 80+ application &

system metadata fields tracked for MS Word .doc files


Archive Services - Part of IBM ECM Portfolio

BusinessContent in a

StrategicRepositories

Invoices, statements, reports

Web Content

ScannedPaper and fax

ERP, SAP, SCM,CRM data

E-mail

File systems,SharePoint,IBM Workplace

Audio, Video, Photo

Kiosk

Portal /Browser

Call Center

Wireless& PDA


Control of the Wild, Wild West behind your firewall

What: Network File Shares, Desktops, Laptops How:

File Systems Archive

• Windows Explorer like capture, declaration / classification and move to a central repository

Records Crawler

• Crawls Network File Shares, Desktops and Laptops looking for business records based on pre-defined business rules, declare / classify in place or move to central repository

Trusted Edge

• Provides for end-user declaration and classification based on pre-defined business rules (leverages MS Office templates), declare / classify and secure in place or move to central repository allows for convenience copies and ensures their accountability and disposition


Control of the Wild, Wild West behind your firewall

WhoFile Systems Archive

•Automated or End-users

Records Crawler

•Automated

Trusted Edge

•End-users

WhenFile Systems Archive

•At project / case closure

Records Crawler

•Anytime

Trusted Edge

•Upon Creation / Receipt


File System Archive

Consists of WebSphere II Content Edition, IBM

Content Manager, Archive Solution Components*

Key Features Interactive or automated archival of

files into Content Manager

Using file “stubs”, files may be accessed as if they remain on the file system

Business Value Seamlessly archive files without

disruption to end-user

Archived files are managed in a central content repository

Reduced risk by treating the files as records once archived

Before

After*Services Offering

File System Archive Example


Accessing Archived Content

Use Explorer-like interface to browse or search for archived content.


FRM Solutions – File System Archive

File Server IICE and FRMServer

Client Workstation(with FileSystem Archive)

Target ContentManagement System

DB2 RecordsManager (Optional)


FRM Solutions – File System Archive

Ad-hoc archival of File System content to Content Manager

Select files individually from Windows Explorer or drag/drop them into a pre-configured folder to archive

Configure the CM item class and folder where the content will be archived

Prompts user to specify CM metadata for the content Formal Retention Rules applied via Records Manager Options to delete original File System content or leave

a stub behind Stub uses URL Addressability to open the content in CM


Records Crawler – Not Another Search Tool

Monitor – Records Crawler automatically monitors file systems based on business policy and rules contained in Records Crawler profiles. Once a record is identified (every spreadsheet with “budget” in title) …

Action – is taken as specified in the profile (copy, move, stub, delete, declare record, trigger workflow / BPM process)

Classify – Direct integration into Records Manager file plan ensures precise classification into file plan

Enforce - Places content and records under managed control and enforces security, privacy, compliance and audit policies

Unique offering – No other ECM vendor offers a file system management tool like Records Crawler

ProveCompliance

ImagingImaging

EmailManagement

EmailManagement

File SystemManagementFile SystemManagement

ContentDiscoveryContent

Discovery

Records Management

Records Management


Records Crawler – How it Works

Records Crawler

Records Capture Rules and Profiles

File Plan

PolicyManagement

Records ManagerUnmanagedFile System Records

DocumentsSpreadsheetsWeb Content

ImagesPowerPoint

ECM

Repository

Business Users

Applies Rules and

Profiles

Move, Copy or Stub

Monitors and

identifies Records


Records Crawler Overview

Feature Description Benefits

Monitor and Manage File Systems

Automates process based on customized policy and rules

Enhance security and productivity

Action Triggers Triggers actions (including workflow) to copy, declare, stub, delete, etc.

Policy enforcement, eliminates user decisions and errors

RM Integration and Classification

Directly classify and integrate into RM file plan

Consistency and accuracy

Security Enforcement Managed and control disparate content and records

Enhanced privacy and content compliance

Intelligent Indexing Automatically create and map file properties and folder hierarchy

Enforces policy, expands metadata and reduces errors

Manage network file shares Simple manipulation of files Intelligent indexing Multiple source and target system options for file management


Ingest records (email, IM,

documents) into archive

Unified Document and Email Management / Discovery

Secure, Scalable Archive

Email

IM

Reports

Office documents

Printed Output

etc.

Federated Repositories (2..n)

Classify

Capture

● Mailbox

● Real-time

Monitor or Supervise

Manage Disposition

AuditSearch,

Retrieve, Deliver

Destructive Delete

Capture Classify Supervise* Manage Search, Retrieve, Deliver

Audit Delete

(automatic) Record

classification utilizing

corporate file plan

Federated Classification

Monitor records to

detect violations of regulatory or

corporate policy (e.g.,

NASD 3010/3110)

InformationLife Cycle

Management

Legal Hold

Federated records

management

Full text federated

seach across all data types

Legal discovery

Recording of every

interaction from capture to destruction

Fully auditable reports to verify

compliance

Mitigate risk with full

disposition management

Destructive deletes

according to policies

* Optional function

Documents on PCs and shared

drives is notoriously unmanaged End Users know

“best” how to classify

– at file creation

Records Policy applies to records

IT Policy applies to non-records

Must search controlled

repositories and uncontrolled

PCs and shared drives

Need to audit records and non-records

Need to disposition records and non-records

IT storage management

Customer Challenges


Capture electronic

documents and email at the “edge”

from the moment they are created

Inventory *

Value-Add for Managing Convenience Copies

Secure, Scalable Archive

Email

IM

Reports

Office documents

Printed Output

etc.

Federated Repositories (2..n)

Classify

Capture

● Mailbox

● Real-time

Monitor or Supervise

Manage Disposition

AuditSearch,

Retrieve, Deliver

Destructive Delete

Capture Classify Supervise* Manage Search, Retrieve, Deliver

Audit Delete

Classify according to “blended” IT and Records

Policies

Automated classification *

Monitor records to

detect violations of regulatory or

corporate policy (e.g.,

NASD 3010/3110)

ILM of both records and non-records

Legal Hold of records and non-records

Search all federated

repositories

AND

Search all PCs and shared

drives

Record every interaction

from capture to destruction

for records and non-records

Fully auditable reports to

demonstrate compliance

Disposition according to “blended” IT and Records

Policies

* Optional function

* Inventory existing documents and emails is a potential future value-add

* Integration with iPhrase is a potential future value-add


Data Capture and Classification upon Creation

Content & RecordsManagement

Storage Archiving

Visibility and

ControlInformation Routing Layer

XML

Applications

Managed Convenience Copy Architecture


Desktop Records Management

Capabilities: Classification at Creation / Receipt

Document Branding

In-place and/or copy to Strategic Repository Records Management: Disposition and Litigation Holds of Desktop and File Server documents and files

Seamless Online / Offline operation

Fully integrated with IBM Records Manager and Content Manager

Future-proofing: Desktop management that anticipates ECM, Tivoli Storage Manager, etc.


How to Manage Desktop Information

Configure policies and actionable business rules “Blended” Records and IT Policies Flexible and robust policy configuration with location-sensitive retention rules

Classify documents and e-mails at creation / receipt Acquire metadata (system, application, business context – policy and user specified) Brand/Tag with metadata and a unique ASSET ID

• Self-describing throughout its lifecycle Classify Store data and metadata to the designated location

Manage retention of all copies, regardless of location Apply and release Legal Holds Reporting and Auditing Document and Email Forensics Discovery Disposition

Official Records and all copies


Benefits of Managing Desktop Documents Desktop Information Management

Reduce enterprise risk at the desktop

Control all information and records from creation to destruction

Inventory files on desktops, laptops, shared drives (potential future FSA integration)

Automated contextual classification (potential future integration)

Bring information under policy control from the moment it is created in any desktop application

Manage retention of all copies according to policy

• “In place” on desktops and shared drives

• In content management systems

• In email systems and archives Reduce storage costs through intelligent storage management

• Classification-driven tiered storage Disposition official records and all copies and renditions

• Eliminate “smoking guns” and rogue information


Advantage: Manage ALL Desktop Information, Integrate with ALL Enterprise Systems

Supports heterogeneous environments, producing immediate value and ensuring a future-proof investment:

Actionable business rules that leverage existing policies and meta-data schemas

Meta-data mapping between enterprise applications for seamless information sharing

Data capture to multiple repositories, archives, and storage filesystems

Range of Enterprise Systems Includes: Office Applications

Email

ECM

Archives

Records Managers

Storage Filesystems

Directory Services / Microsoft AD

Enterprise Applications

Server: Centralized Policy Management / Policy

Inheritance Metadata database Reporting, Analytics, and Forensics Heterogeneous Infrastructure Support

Desktop Client : Comprehensive Application Independent

Document and Email Capture Interactive Classification Intelligent Filing Digital Disposal Litigation Hold


Trusted Edge Extends the IBM FRM Story

Sellent, DocumentumOpenText, SharePoint,

etc.

Content / Document Management and eMail Archive

(Store, Manage, Discover, Secure)

Desktop Applications

Records Management(Retention Schedule, File Plan)

App 1 App 2

Business Applications

App 3

R

StrategicContent

Repository

ReportsMgmt

Information Integration(Federation, Discovery, Policy)

Manage at the DesktopData Capture, Classification & Control upon Creation

Federation to Repositories

Federation to PCs, Shared Drives

eMail Shared Drives


Other …

Conceptual Integration of RM with a Host Application

HOSTApplication

RM ENGINE

AP

IH

ost Interface

Declare Records

Destroy/Delete Records

Get List of users and Groups

Permission Synchronization

Other Lifecycle Events

Synchronize Metadata

Render/Retrieve Content

Full Text Search

Authenticate User

Login User

Host Interfa

ce Im

plementation

The functionality encapsulated in the RED arrows is currently implemented within the RME


RM Enablement of Customer Business Applications and its Repository

Metadata & Fulltext Server

Application Connector

Customer Business Application

IBM Records Manager

Repository

ObjectStore

DB

DB

Declare

Classify

Search

IRM System Admin

DB

IRM API

IHost (Delete)

Color MapExisting Rep component

Existing eRS component

Integration component

BusinessApplication

RetrieveDocument


Philosophies Regarding Search / Discovery as a Function of Records Management Records Management is about retention and disposition of

business information assets Records Management Solutions must offer easy, efficient,

and effective retrieval / discovery solutions The effectiveness of your Records Management Programs

will likely be measured by how well it facilitates e-Evidence Discovery as well as traditional retention and disposition activities

This starts with selection of the tools, which can facilitate indexing, auto-classification as well as discovery


Legacy of Discovery & Records Management Technology For better than 50 years, people have been attempting to optimize search

technology Discovery technology has the potential to have a profound impact today

upon the following business activities: advertising, marketing, and selling as well as auditing, litigation and regulatory enforcement

The “Goal of records management”: “provide the right information to the right people, in the right format, at the right time” can be achieved by providing enough of the right information, within the appropriate context, along with the right tools to filter / refine and abstract the information we will have the ideal intelligent discovery tool

Common problems:To much information

To little relevancy


Conclusions Regarding the Relationship Between the Two Technologies: Too much information can significantly effect the speed, quality,

efficiency, and effectiveness of discovery activitiesThe more information I have, the more I have to search through

Electronic Evidence Discovery involves more than discovery on “official business records”It involves both declared and undeclared records

Based on the results of an e-discovery search, consider doing the following:Declare all previously applicable undeclared records as “records”

Apply Hold Orders to all applicable records


Consider the Benefits of the Following Technology When Defining / Building Your Organizations Discovery Infrastructure:

Federated Search: search one time with consistent criteria across all repositories, both structured and unstructured content

Contextual Analysis: minimize false positives

Information Accelerators: intelligently anticipate both industry and departmental use cases

Text Analytics: extraction of knowledge, meaning, and relevance from information sources


Provide a comprehensive infrastructure to support a broad range of business processes that need unstructured data

Content Services


Services Oriented ArchitectureInformation Services are Key

You will waste your investment in SOA unless you have enterprise information that SOA can exploit.Gartner, March 2005


Databasese-mail

ArchivesContent& Web

Mgt

Shared Drives

A Federated Enterprise Policy Services Vision

Records Mgmt

StrategicContent

Repository

Information Integration Layer

RptsMgmt

Document Mgmt

e-MailArchive

Content Manager

Search apps

Digital Rights Mgmt

Privacy Mgmt

Workflow

Configuration Security - Managing Users/Groups/Roles Federation

Content repositories, email archives, PRM stores, shared drives, local drives, databases

Records Management Declare/Classify/Holds/Dispositions/Audits Touchless…Manual Legacy vs. new records

Search All information types, physical & electronic Actionable – place/remove holds, disposition

Workflow systems Privacy management Digital rights management Etc.

CM

Access Control LDAP

PhysicalRM

CommercialRcds

Center

Physical Records Mgt


e-Mail Archiving & Search

e-MailArchivingSolution

Content ManagementRepository

e-Mail / IM System

Archiving Solution

Content Management/ e-Mail Repository

e-MailSearch

All e-Mails are capturedby archiving solution.

Upon ingestion e-mailsshould be given a defaultretention rule

The e-Mail Searchallows forthe search andretrieval of e-mailsacross multiplemailboxes based onattributes and / or fulltext.

The e-Mail Searchapplication should haveexport feature to copyselected emails fromthe repository forlitigation or otherreasons


e-Mail Archiving, Search & Records Management

e-Mail / IM System

Archiving Solution


e-MailSearch

RecordsManagement

Solution

e-Mails outside ofthe default retentionare declared asrecords.

Hold Orders should beplaced on e-mails fromthe within the e-Mail Search application.

The records dispositionprocess will utilize thethe Content Managementsolution workflow forthe deletion process.

Upon ingestion e-mailsshould be given a defaultretention rule


Full Enterprise-wide or Federated Records Management

e-Mail / IM System

Archiving Solution


e-Mail Search

RecordsManagement

Solution

Other Content Systems

File Systems

EnterpriseContent

IntegrationSolution

The solution is designedfor growth to meet allpotential future RecordsManagementrequirements.


Best Practices Start small, but high profile, pick an advocate Define and agree upon success criteria Measure the success criteria Minimize impact on end-users - “automate, automate,

automate” Minimize impact on corporate culture change Priority should be on the business process, not:

Software, Media, or Data format Use WORM / WORM-like technology ONLY when /

where required to Whiteboard your file plan prior to designing in the policy

engine (similar to a database)


Next Steps

Set expectations, define pilot & measure deliverables, don’t over commit

Know your Regulatory Requirement & Business Drives

Know your allies and their drivers ECM vs. dedicated e-Mail Repository? e-Discovery Solution? Secure e-Mail at Storage Layer or with an Records

Management Policy Engine?


What to look for in Discovery & Records Management Solution Provider

Deliver the appropriate mix of technologies required to meet your requirements

Efficiently integrate the various technologies into a seamless solution

Incorporate strong knowledge of the specific industry requirements into the required solution

Integrate the overall solution into our customer’s internal framework of policies and processes that reflect the requirements you have defined


What to look for in e-Mail Retention Solution Provider

Completeness of Solution (capture, supervision, discovery, storage, migration, retention, holds)

Track record for successful deployments Platform independence Scalability, Performance, Throughput Support for Storage Solutions including CAS Compression & Format Hierarchal Storage Management in the solution Support, Maintenance, Strategy


Predictions made three years ago

Archiving Solutions and Data Warehouses Insurance Underwriters impact on Records Management Information Assets and Information as a Liability Challenge what we generate and keep and why

Fast forward to today


How Many Times Do You Want to Pay for that Information that is NOT required?

1. Generation

2. Management (retain, preserve, and protect)

3. Search and Retrieve (audit, litigation / discovery)

4. Fines / Penalty / Settlement

IBM Software Group

®

Questions & Answers

In the end, all that matters, is our integrity.

“Risk mitigation can NOT be realized, nor good corporate governance, and compliance

achieved without records management”.