It Takes Two To Tango The Synergy of RIM & ECM Gordon E.J. Hoke, CRM Greater Anchorage ARMA 17...

It Takes Two To TangoIt Takes Two To TangoThe Synergy of RIM & ECMThe Synergy of RIM & ECM

Gordon E.J. Hoke, CRM

Greater Anchorage ARMA17 November 2009

2

The Presenter

Gordon E.J. HokeGordon E.J. Hoke

Content Management since 1989Content Management since 1989Software vendorSoftware vendor

JournalistJournalist

Consultant/AnalystConsultant/Analyst

Records Management since 2002Records Management since 2002Certified Records ManagerCertified Records Manager

Records Risk Management ConsultantRecords Risk Management Consultant

Author/AnalystAuthor/Analyst

PractitionerPractitioner

3

We’re all in this together…

Clarifications any timeClarifications any time

Substantive questions at the endSubstantive questions at the end

4

The Challenge: Get the best of both worlds

Records Mgrs. miss the profound advantages of ECMRecords Mgrs. miss the profound advantages of ECM

Business processesBusiness processes

Storage and device optionsStorage and device options

Cost effectivenessCost effectiveness

Security, flexibility, universalitySecurity, flexibility, universality

Content Mgrs. miss the profound advantages of RIMContent Mgrs. miss the profound advantages of RIM

Systematic, media-agnostic approachSystematic, media-agnostic approach

Risk reductionRisk reduction

GovernanceGovernance

ControlsControls

Cost avoidanceCost avoidance

5

Seeking Progress

““Those who Those who cannot cannot remember the remember the past are past are doomed to doomed to repeat it.”repeat it.”

-- George Santayana-- George Santayana

6

History of Records & Information Management (RIM)

•Moses, c. 1500 BCEMoses, c. 1500 BCE• – – First Disaster RecoveryFirst Disaster Recovery

•Callimachus, c. 380 BCECallimachus, c. 380 BCE• – – First IndexFirst Index

•J. B. Dancer, 1839 CEJ. B. Dancer, 1839 CE• – – Early micrographicsEarly micrographics

•ISO & Sedona Principles, ISO & Sedona Principles, 20052005• – – Digital records standardsDigital records standards

7

Records and Information Management – RIM

Creation

Production

Storage/disposal

Use/Modification

Conversion

Records:

“. . . information created, received, and maintained as evidence by an organization or person, in pursuance of legal obligations or in the transaction of business”

– ISO 15489-1 Information and Documentation – Records Management

Records and Records Life Cycle

Individual organizations must determine the definition of what a record is and, often more importantly, what it is not.

Legal Inconsistency

-- Courts don’t care about official designation as “Record” or “Non-Record”

-- Case Law varies. What is admissible?

• Back up tapes?

• Metadata?

• Random Access Memory?

9

Where do Records Exist?

Records exist in many Records exist in many mediamedia

PaperPaperemailemailStructured applicationsStructured applicationsInstant messagesInstant messagesDesktop files (Word, Excel, Desktop files (Word, Excel,

etc.)etc.)Shared directories on servers Shared directories on servers Departmental information silos Departmental information silos Collaboration sitesCollaboration sitesWeb pages/blogsWeb pages/blogsSmartphonesSmartphonesFacsimileFacsimileBackup tapesBackup tapesVoice mailVoice mailMicrofiche and filmMicrofiche and film

– USB drives– Multi-function devices– RAID drives– MP3 Players– Social networks– IP telephony– Text messages– Desktop files– Dept. information silos– Web 2.0/ Tweets

The significant growth of unstructured electronic records presents significant demands on storage and production.

Are these on your Data Map?Are these on your Data Map?

10

ARMA International

Originally, The Association of Records Managers and Originally, The Association of Records Managers and Administrators Administrators (www.arma.org):(www.arma.org):

Primary goal: Support practitionersPrimary goal: Support practitioners

Just published Generally Accepted Recordkeeping Just published Generally Accepted Recordkeeping Principles (GARP)Principles (GARP)

Its affiliate, The Institute for Certified Records Its affiliate, The Institute for Certified Records Managers Managers (www.icrm.org):(www.icrm.org):

Establishes competenciesEstablishes competencies

Administers a daunting set of testsAdministers a daunting set of tests

Grants the gold standard credential, CRMGrants the gold standard credential, CRM

Requires and regulates continuing educationRequires and regulates continuing education

11

Records and Information Management

Traditional RIM focused on paper and microforms.Traditional RIM focused on paper and microforms.

Library functions:Library functions:

AcquisitionAcquisition

CirculationCirculation

StorageStorage

DisposalDisposal

12

Pushing the Barriers of Content Management

1843 – Fax machine patented (Alexander Bain)1843 – Fax machine patented (Alexander Bain)

1870s – Cowboys use “Book of Brands”1870s – Cowboys use “Book of Brands”

1961 – First use of email1961 – First use of email

1987 – First commercial document imaging software1987 – First commercial document imaging software

1990 – Imaging merged with COLD and workflow1990 – Imaging merged with COLD and workflow

1990s – Evolution of recognition technologies, e-forms1990s – Evolution of recognition technologies, e-forms

2000s – Proliferation of Internet apps and email2000s – Proliferation of Internet apps and email

2000s – Shift of info media from atoms to electrons2000s – Shift of info media from atoms to electrons

2002 – Perception of RIM as “the new buzz word”2002 – Perception of RIM as “the new buzz word”

13

AIIM (www.aiim.org)

1947: formed as the National Micrographics Assn.1947: formed as the National Micrographics Assn.

Late ’80s: became the Association for Information and Late ’80s: became the Association for Information and Image ManagementImage Management

Late ’90s: simply AIIM InternationalLate ’90s: simply AIIM International

Yesterday: AIIM, the Enterprise Content Management Yesterday: AIIM, the Enterprise Content Management AssociationAssociation

Today: AIIM, The community Today: AIIM, The community that provides education, research, and that provides education, research, and best practices to help organizations find, control, and optimize their informationbest practices to help organizations find, control, and optimize their information

Tomorrow: AIIM, the Next Evolution Assn.Tomorrow: AIIM, the Next Evolution Assn.

14

The Association Liberation Movement

AIIM AIIM + ARMA =+ ARMA =

Shed no tears.

15

Lack of RIM is Risky

Risks of:Risks of:

Non-compliance with statutes and regulationsNon-compliance with statutes and regulations

Inefficient retrievals from record-clogged systemsInefficient retrievals from record-clogged systems

Employee / operational records misuse Employee / operational records misuse

Adverse inferences from ineffective e-DiscoveryAdverse inferences from ineffective e-Discovery

Inability to mount legal defenseInability to mount legal defense

Adverse publicityAdverse publicity

Loss of competitive advantageLoss of competitive advantage

16

RIM Is Front Page News

Ariz. court rules records law covers 'metadata'Ariz. court rules records law covers 'metadata'

October 29, 2009 1:41 PM EDT (AP)October 29, 2009 1:41 PM EDT (AP)

PHOENIX - Hidden data embedded in electronic public PHOENIX - Hidden data embedded in electronic public records must be disclosed under Arizona's public records records must be disclosed under Arizona's public records law, the state Supreme Court ruled Thursdaylaw, the state Supreme Court ruled Thursday

WSJ, 8 Oct. 2007, WSJ, 8 Oct. 2007,

Qualcomm, while suing Broadcom, finds that it failed to share Qualcomm, while suing Broadcom, finds that it failed to share 300,000 missed emails during Discovery. The jury gets the 300,000 missed emails during Discovery. The jury gets the case with “adverse inference”. The GC and 17 outside case with “adverse inference”. The GC and 17 outside attorneys resign.attorneys resign.

17

RIM Is Front Page News (cont.)

TJ Maxx loses hundreds of thousands of credit card TJ Maxx loses hundreds of thousands of credit card numbersnumbers

The U.S. Veterans Administration loses the personal The U.S. Veterans Administration loses the personal information of more than a million former military information of more than a million former military personnelpersonnel

18


Federal Computer WeekFederal Computer Week, , Jan 15, 2009Jan 15, 2009

Court Moves to Preserve White House e-mail Messages Court Moves to Preserve White House e-mail Messages -- -- By Ben BainBy Ben Bain ** Citing “emergency conditions,” a federal court today ordered the Citing “emergency conditions,” a federal court today ordered the Bush administration to take further steps to preserve millions of e-mail Bush administration to take further steps to preserve millions of e-mail messages sent during a crucial time in the administration and are the messages sent during a crucial time in the administration and are the subject of ongoing litigation.... subject of ongoing litigation.... The messages that are alleged to be missing are from the period that The messages that are alleged to be missing are from the period that includes the invasion of Iraq, key developments in the Valerie Plame includes the invasion of Iraq, key developments in the Valerie Plame leak investigation and the government's response to Hurricane Katrina....leak investigation and the government's response to Hurricane Katrina....

19


ABC NewsABC News, , Jan 29, 2009Jan 29, 2009

Credit Card Security Breach Could be Largest EVERCredit Card Security Breach Could be Largest EVER

Experts are calling it the biggest security breach ever and millions of Experts are calling it the biggest security breach ever and millions of consumers could be at risk because their credit and debit card numbers consumers could be at risk because their credit and debit card numbers could be compromised by hackers who've gotten access to the could be compromised by hackers who've gotten access to the computers of a huge company. computers of a huge company.

Heartland Payment Systems investigated and realized hackers broke Heartland Payment Systems investigated and realized hackers broke into their system late in 2008. The company processes payments for into their system late in 2008. The company processes payments for 175,000 retailers and restaurants and it's believed information from as 175,000 retailers and restaurants and it's believed information from as many as 150,000 of those may have been compromised.many as 150,000 of those may have been compromised.

20


CNNCNN, , Jan 27, 2009Jan 27, 2009

Thrift Store MP3 Player Contains Secret Military FilesThrift Store MP3 Player Contains Secret Military Files

Chris Ogle of New Zealand was in Oklahoma about a year ago when he Chris Ogle of New Zealand was in Oklahoma about a year ago when he bought a used MP3 player from a thrift store for $9. A few weeks ago, he bought a used MP3 player from a thrift store for $9. A few weeks ago, he plugged it into his computer to download a song, and he instead plugged it into his computer to download a song, and he instead discovered confidential U.S. military files.discovered confidential U.S. military files.

The files included the home addresses, Social Security numbers and cell The files included the home addresses, Social Security numbers and cell phone numbers of U.S. soldiers. The player also included what appeared phone numbers of U.S. soldiers. The player also included what appeared to be mission briefings and lists of equipment deployed to hot spots in to be mission briefings and lists of equipment deployed to hot spots in Afghanistan and Iraq.Afghanistan and Iraq.

21

For failing to preserve internal e-mail communications, five

major financial services firms paid $1.65 million each

Wall Street & Technology,February 2003

22

Bank of America Securities paid $10 million on

record-keeping & access requirements violation claims

Chicago Sun-Times,

March 2004

23

Morgan Stanley recently suffered an adverse $1.45

billion court judgment…MS had acted in “bad faith” in failing to turn over relevant e-mails.

COMPUTERWORLD, July 2005

24

Lowering Risk

Does comprehensive Does comprehensive

storage help?storage help?

25

Lowering Risk

Or Or does it hinder?does it hinder?

26

“How can I keep my CEO of jail?”

27

RIM Serves Business Operations

The goal:The goal:

Right information in theRight information in the

Right place in theRight place in the

Right format at theRight format at the

Right timeRight time

28

Paper-based RIM

Stereotype: Marion the LibrarianStereotype: Marion the Librarian

““Did you bring your Library Card?”Did you bring your Library Card?”

29

RIM ascends...

From the basement to the From the basement to the BoardroomBoardroom

From Facilities Dept. to Law From Facilities Dept. to Law Dept.Dept.

Even a Chief Records OfficerEven a Chief Records Officer

...While ECM improves...While ECM improves

30

Myths We Have Known

Apollo’s ChariotApollo’s Chariot

UnicornsUnicorns

The Easter BunnyThe Easter Bunny

The Paperless OfficeThe Paperless Office

31

Understand the Complementary Differences

32

The Real Differences

1.1. Scope Scope

2.2. Perspective Perspective

3.3. Goals Goals

4.4. Language Language

5.5. Media orientation Media orientation

6.6. Governance Governance

7.7. ControlsControls

8.8. GARPGARP

33

The Scopes are Incomparable

How useful are tools without an operator?How useful are tools without an operator?

How effective is an operator without tools?How effective is an operator without tools?

34

Differences between RIM and ECM

1.1. Scope Scope ECM is a constellation of technologiesECM is a constellation of technologies RIM is a discipline of practicesRIM is a discipline of practices

Content Content Management Management makes the tools;makes the tools;Records Records Management Management makes the rules.makes the rules.

35

Differences between RIM and ECM (continued)

2. Perspective is based on experience

36


2. Perspective2. Perspective

When viewing a storeroom of paper:When viewing a storeroom of paper:

-- ECM focuses on scanner clicks-- ECM focuses on scanner clicks

and terabytes of storageand terabytes of storage

-- RIM focuses on record series -- RIM focuses on record series

and retention schedulesand retention schedules

37


3. Primary Goals3. Primary Goals

ECM: Operational efficiency and cost-effectivenessECM: Operational efficiency and cost-effectiveness

RIM: Reduced risk and cost avoidanceRIM: Reduced risk and cost avoidance

38


4. 4. LanguageLanguageWords may have different definitions in ECM and RIM:Words may have different definitions in ECM and RIM:

Archive

Backup

Capture

Disposition

ERM

Fiscal value…

39


““Enough of Enough of the Tower of the Tower of Babel...let’s Babel...let’s get on the get on the same page.”same page.”

...Try a glossary or lexicon

40


5. Media Orientation

What is your medium of choice?What is your medium of choice?

How long will it last?How long will it last?

If it won’t last for the lifecycle of If it won’t last for the lifecycle of the record, what is your media the record, what is your media migration plan?migration plan?

RIM is media-agnostic...RIM is media-agnostic...

ECM is media-gnostic.ECM is media-gnostic.

41


• Records exist in many Records exist in many media media (reprise)(reprise)

– PaperPaper

– e-Maile-Mail

– Structured applicationsStructured applications

– Instant messagesInstant messages

– Desktop filesDesktop files

– Shared directories on servers Shared directories on servers

– Departmental information silos Departmental information silos

– Web pages/blogs/TwitterWeb pages/blogs/Twitter

– Smart phones

-- Collaboration sites

– FacsimileFacsimile

– Backup tapesBackup tapes

– Voice mailVoice mail

– Microfiche and filmMicrofiche and film

– – USB drivesUSB drives

– – Multi-function devicesMulti-function devices

– – RAID drivesRAID drives

– – MP3 playersMP3 players

– – IP telephonesIP telephones

– – Text messagesText messages

42

Differences between RIM and ECM (continued): 6. Governance

Every record has an owner/custodian at every momentEvery record has an owner/custodian at every moment

Every worker is a records managerEvery worker is a records manager

RIM program is functional and sustainableRIM program is functional and sustainable

President and CEO

Chief Records Officer General Counsel

Vital Records

VP of Compliance VP of Operations Chief Information Officer

Business Continuity

Disaster Recovery Mail Clerk

Security

Privacy

Workflow

43


7. Controls7. ControlsControls are a pillar of RIMControls are a pillar of RIM

RIM has elements of control for everyone who RIM has elements of control for everyone who touches records: touches records:

Education – For processes and responsibilitiesEducation – For processes and responsibilities

Training – Skills for job performanceTraining – Skills for job performance

Verification – Of education and trainingVerification – Of education and training

Testing – Annual evaluation of competence and skillsTesting – Annual evaluation of competence and skills

Audit – Field sampling to verify level of accuracyAudit – Field sampling to verify level of accuracy

Some ECM programs only offer training and supportSome ECM programs only offer training and support

44

Controls

How do you measure success?How do you measure success?

MetricsMetrics

DashboardDashboard

How do you know what you do not know?How do you know what you do not know?

45

Importance of RIM and ECM Coordination

RIM and ECM Both Serve Business OperationsRIM and ECM Both Serve Business Operations

The goal:The goal:

• Right information in theRight information in the

• Right place in theRight place in the

• Right format at theRight format at the

• Right time at theRight time at the

• Right cost...Right cost...

......While limiting risk!While limiting risk!

46

Potential Implications of Independent RIM and ECM Initiatives

Business processes are not optimizedBusiness processes are not optimized

Copies proliferateCopies proliferate

Storage requirements riseStorage requirements rise

Record retention is departmental or by business unitRecord retention is departmental or by business unit

There are no datamaps of electronic informationThere are no datamaps of electronic information

E-Discovery is expensive or impossibleE-Discovery is expensive or impossible

Many e-mails are inaccurately indexedMany e-mails are inaccurately indexed

Staff is under-prepared to execute legal holdsStaff is under-prepared to execute legal holds

47

GARP – Generally Accepted Recordkeeping Principles

1.1. AccountabilityAccountability

2.2. IntegrityIntegrity

3.3. ProtectionProtection

4.4. ComplianceCompliance

5.5. AvailabilityAvailability

6.6. RetentionRetention

7.7. DispositionDisposition

8.8. TransparencyTransparency

http://www.arma.org/garphttp://www.arma.org/garp

48

How ECM and RIM can work together:

ECM brings the toolsECM brings the tools

ECM delivers capabilitiesECM delivers capabilities

ECM brings efficiencyECM brings efficiency

ECM saves moneyECM saves money

ECM brings technical ECM brings technical standardsstandards

ECM captures recordsECM captures records

RIM brings the rulesRIM brings the rules

RIM delivers disciplineRIM delivers discipline

RIM lowers risksRIM lowers risks

RIM avoids costsRIM avoids costs

RIM brings performance RIM brings performance standardsstandards

RIM disposes recordsRIM disposes records

49

Potential Benefits of ECM-powered RIM

1.1. Operational improvementsOperational improvements

2.2. Avoidance of storage and retrieval costsAvoidance of storage and retrieval costs

3.3. Compliance: capability to meet audit requestsCompliance: capability to meet audit requests

4.4. In litigation, the ability to:In litigation, the ability to:

Effectively employ legal holds and releasesEffectively employ legal holds and releases

Deliver a comprehensive data map with confidenceDeliver a comprehensive data map with confidence

Meet discovery requests and produce documentsMeet discovery requests and produce documents

Justify the appropriate destruction of documentsJustify the appropriate destruction of documents

Mount effective legal defenseMount effective legal defense

Defend against charges of spoliation and bad faithDefend against charges of spoliation and bad faith

50

Pointers for ECM/RIM Success

Secure a high-level, enterprise sponsorSecure a high-level, enterprise sponsor

Bring the stakeholders together; build alliancesBring the stakeholders together; build alliances

Effective programs include IT, RIM, operations, financial, Effective programs include IT, RIM, operations, financial, and and legal legal

Collectively agree on an acceptable level of riskCollectively agree on an acceptable level of risk

Develop an enterprise-wide plan for ECM/RIMDevelop an enterprise-wide plan for ECM/RIM

Start small, perhaps with a single office or dept.Start small, perhaps with a single office or dept.

Establish governance so the program is responsive Establish governance so the program is responsive and sustainableand sustainable

Agree on a glossary to overcome language barriersAgree on a glossary to overcome language barriers

Install controls to ensure that enterprise risk levels Install controls to ensure that enterprise risk levels stay within the acceptable rangestay within the acceptable range

51

Pointers for ECM/RIM Success (continued)

Stay flexible and update policies as often as Stay flexible and update policies as often as technologiestechnologies

Be active in ARMA, AIIM, ICRM, IRMT Be active in ARMA, AIIM, ICRM, IRMT (wwwi.irmt.org)(wwwi.irmt.org)

Recognize that there are no quick fixes or easy Recognize that there are no quick fixes or easy solutions solutions

Don’t bet the store on automation; the human factor Don’t bet the store on automation; the human factor is still essential. Learn change management, is still essential. Learn change management, and market.and market.

Use software as a tool, not a solutionUse software as a tool, not a solution

Differentiate between software’s records mgmt. Differentiate between software’s records mgmt. functionality and a robust records programfunctionality and a robust records program

Don’t fixate on a single issue to the exclusion of a Don’t fixate on a single issue to the exclusion of a comprehensive plan comprehensive plan

52

Different but Complementary

We really do need each other….We really do need each other….

53

Things that Go Well Together

Fish & chips / pubs & musicFish & chips / pubs & music

Coffee & donuts / milk & cookies Coffee & donuts / milk & cookies

Moose’s Tooth pizza & Pipeline Stout / ulu knives & Moose’s Tooth pizza & Pipeline Stout / ulu knives & touriststourists

Content Management & Records ManagementContent Management & Records Management

54

Questions?

55

Stay in touch:Stay in touch:

Gordon E.J. Hoke, CRMGordon E.J. Hoke, CRM

http://PositivelyRIM.blogspot.comhttp://PositivelyRIM.blogspot.com

(507) 254-6474(507) 254-6474

[email protected]@mindspring.com

It Takes Two To Tango The Synergy of RIM & ECM Gordon E.J. Hoke, CRM Greater Anchorage ARMA 17...

Documents

Transcript of It Takes Two To Tango The Synergy of RIM & ECM Gordon E.J. Hoke, CRM Greater Anchorage ARMA 17...