Post on 26-Dec-2015
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
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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
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We’re all in this together…
Clarifications any timeClarifications any time
Substantive questions at the endSubstantive questions at the end
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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
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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
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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
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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?
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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?
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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
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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
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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”
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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.
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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
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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.
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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
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RIM Is Front Page News (cont.)
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....
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RIM Is Front Page News (cont.)
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.
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RIM Is Front Page News (cont.)
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.
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For failing to preserve internal e-mail communications, five
major financial services firms paid $1.65 million each
Wall Street & Technology,February 2003
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Bank of America Securities paid $10 million on
record-keeping & access requirements violation claims
Chicago Sun-Times,
March 2004
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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
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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
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Paper-based RIM
Stereotype: Marion the LibrarianStereotype: Marion the Librarian
““Did you bring your Library Card?”Did you bring your Library Card?”
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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
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Myths We Have Known
Apollo’s ChariotApollo’s Chariot
UnicornsUnicorns
The Easter BunnyThe Easter Bunny
The Paperless OfficeThe Paperless Office
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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
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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?
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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.
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Differences between RIM and ECM (continued)
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
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Differences between RIM and ECM (continued)
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
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Differences between RIM and ECM (continued)
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…
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Differences between RIM and ECM (continued)
““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
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Differences between RIM and ECM (continued)
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.
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Differences between RIM and ECM (continued)
• 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
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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
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Differences between RIM and ECM (continued)
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
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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?
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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!
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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
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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
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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
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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
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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
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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
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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