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From MER Conference 2012 Speakers: Christine Burns and Carol Stainbrook This session explains "why" your organization's technology selections impact "how" the updated retention schedules described in part one of this two-part session can be applied to electronically stored information (ESI). Learn reasonable and actionable approaches for embedding retention policies into e-mail, file shares and enterprise applications. This session will address: - Why "perfection" is often impractical, when it comes to applying retention policy to ESI and some reasonable alternatives to perfection. - How the technologies for email, file shares, and other ESI affect the implementation of retention policies. - When it may be necessary to choose different retention strategies for different technologies such e-mail, file shares and enterprise applications. - Considerations for applying retention policy to data in enterprise applications. - Criteria to help prioritize where to begin when applying retention policy. In this session you will learn how to tailor your organization's approach to retention schedules so they are reasonable, actionable and result in the orderly destruction of eligible information, given your organization's technology selections.
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Cohasset Associates, Inc.
NOTES
7.12012 Managing Electronic Records Conference
Retention & ESIRetention & ESIPaths to SuccessPaths to Success
Part Two
May 7, 2012 1
Carol Stainbrook & Christine M. Burns
Applying Retention to ESI Using Semi-Automated & Automated Tools
Devise a Plan Based on ReasonablenessExploit Capabilities of Your Tools
Creation DateE D
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Event DateVersioning
Retention Strategy for Different System TypesBe Responsible & Avoid Paralysis
May 7, 2012 2
Retention & ESI Retention & ESI Paths to SuccessPaths to Success
© 2012
Think StrategicallyLearn Capabilities Act Reasonably
May 7, 2012 3
Cohasset Associates, Inc.
NOTES
7.22012 Managing Electronic Records Conference
All Information is Not Equal
Official Business Record
Core Support
Information that Matters
© 2012 May 7, 2012 4
Core Support
Internal Non-Regulated Info
Drafts, Duplications, Transient Information & Non-Records
Information that Clutters
Compilation of Metrics for Large Clients
Network Storage Growth Rate = 60%
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2012 2013 2014 2015 2016 2017 2018
May 7, 2012 5
Centralized controlProbably not Web2.0IT driven
Decentralized controlProbably Web2.0Friendly user-driven
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IT drivenCorporate developmentControlled structureTransactionalExecuteInformation backbone
Friendly, user driven Peer collaborationCollaborative structureEngagingConnect & collaborate Social backbone & oh, by the way, it contains “R”ecords, “r”ecords & information
May 7, 2012 6
Cohasset Associates, Inc.
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7.32012 Managing Electronic Records Conference
Understand Capabilities of Your Tools
Examples of Metadata Used for Triggers
Date Closed
Date Created
Date Declared
Examples of Actions
Archive
Destroy
Examples of Aggregations
Category
Folder
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Date Declared
Date Last Accessed
Date Last Modified
Date Last Retrieved
Major/Minor Version Status
Status
Workflow Trigger
Export
Transfer
Inactive
Review
Record
Document Sets
Volume
Wrapped in Workflow
Understand Capabilities of Your Tools
Metadata Period Take Action
Metadata Period Take Action
Then
Then
© 2012 May 7, 2012 8
Metadata Period Take Action
Metadata Period Take Action
Then
Then
Annual Aggregation or “Cut Off”
Understand Capabilities of Your Tools
Metadata Period Take Action
Metadata Period Take Action
Then
Then
© 2012 May 7, 2012 9
Metadata Period Take Action
Metadata Period Take Action
Then
Then
Cohasset Associates, Inc.
NOTES
7.42012 Managing Electronic Records Conference
Act Reasonably
Minimize manual entry of metadataCapture through workflow, etc.
For retention management, rely on existing metadata when practical
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existing metadata, when practicalSimplify SecurityProactively apply HoldsStreamline disposition
Replace “Review & Approve” with “Notify”
May 7, 2012 10
Official Business Record
Core Support
Information that Matters
Act Reasonably
Be Precise
Be Careful
© 2012 May 7, 2012 11
Core Support
Internal Non-Regulated Info
Drafts, Duplications, Transient Information & Non-Records
Information that Clutters
Focus on Delete
Delete ASAP!
Retention & ESI Retention & ESI Paths to SuccessPaths to Success
© 2012
Exploit Capabilities of Your Tools
May 7, 2012 12
Cohasset Associates, Inc.
NOTES
7.52012 Managing Electronic Records Conference
Consider Alternatives Before Using “Conditional”
Change “Until Tax Audit” or “Exam” to:
XX Years = Typical Tax Settlement
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Retention Periods:Accounting
Tax Settlement /Exam Cycle
Use Records Holds for Exceptions
May 7, 2012 13
Create Date 10 Years DeleteThen
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Annual Aggregation or “Cut Off”
Create Date 10 Years DeleteThen
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Cohasset Associates, Inc.
NOTES
7.62012 Managing Electronic Records Conference
Annual Aggregation or “Cut Off”
Create Date 2 Years ArchiveThen
Archive Date 8 Years “To Be Then
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Archive Date 8 Years Deleted”
“To Be Deleted” 30 Days Delete
Then
Then
Annual Aggregation or “Cut Off”
Create Date 2 Years ArchiveThen
Archive Date 8 Years “To Be Then
Create Date 9 Months Delete DraftsThen
© 2012 May 7, 2012 17
Archive Date 8 Years Deleted”
“To Be Deleted” 30 Days Delete
Then
Then
Annual Aggregation or “Cut Off”
Create Date 2 Years ArchiveThen
Date Last Modified 6 Months Delete DraftsThen
A hi D t 8 Y
© 2012 May 7, 2012 18
Archive Date 8 Years“To Be
Deleted”Fixed Date 12/31/2015
Then
“To Be Deleted” 30 Days DeleteThen
Cohasset Associates, Inc.
NOTES
7.72012 Managing Electronic Records Conference
Consider Alternatives Before Using “Conditional”
Separate Projects by Metadata, Libraries, Folders...
Change “Project Completion” to:
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Retention Periods:Projects
Completion to:
Last Action for Specific Project’s Library or Folder
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“Case Files”
Characteristics of a “Case File”
Accumulates records and information over timeInformation is “put
We think in terms of “folders” holding “Case Files”But, what is a “folder”?
“Folder”
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together” either logically or physicallyNearly always requires an “event-based” retention period
FolderLibraryMetadata
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Event Date 2 Years ArchiveThen
Archive Date 8 Years “To Be Deleted”Then
Enter Event Data
Manual or Automatically Fed by an Upstream System
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Deleted
“To Be Deleted” 30 Days DeleteThen
Cohasset Associates, Inc.
NOTES
7.82012 Managing Electronic Records Conference
Last Content Modify Date 2 Years ArchiveThen
Archive Date 8 Years “To Be Deleted”Then
© 2012 May 7, 2012 22
Deleted
“To Be Deleted” 30 Days DeleteThen
Consider Alternatives Before Using “Conditional”
Longest Employment Period?
Change “Termination” to:
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RetentionPeriods:Payroll
Termination to:
50 Years (Longest Employment + 7-10 Year Period)
May 7, 2012 23
Eliminate the Event Date
Termination of Employment+ 10 YearsLongest employment period is 40 YearsImplement retention as “50 Years”
© 2012 May 7, 2012 24
Create Date 2 Years ArchiveThen
Archive Date 48 Years “To Be Deleted”
“To Be Deleted” 30 Days Delete
Then
Then
Cohasset Associates, Inc.
NOTES
7.92012 Managing Electronic Records Conference
Consider Alternatives Before Using “Conditional”
Establish 3-Year P&P Review Process
Change “Until Updated” to:
© 2012
RetentionPeriods:P&Ps
Updated to:
10 Years (3-Year Review + 7 Year Period)
May 7, 2012 25
Eliminate the Event Date
Obsolescence + 7 YearsEstablish 3 year review cycleImplement retention as “10 Years”
Ki k Off
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Create Date 3 Years + 6 Months ArchiveThen
Archive Date 48 Years “To Be Deleted”
“To Be Deleted” 30 Days Delete
Then
Then
Create Date 3 Years Kick-Off Review WF
Then
Use Versions to Manage Event
Obsolescence + 7 YearsEstablish 3 year review cycleImplement retention as “10 Years”
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Date Declared 3 Years Kick-Off Review WF
Then
Date Declared 7 Years Delete Prior Versions
Then
Date Last Modified 6 Months Auto Declare &
Delete DraftsThen
Cohasset Associates, Inc.
NOTES
7.102012 Managing Electronic Records Conference
Consider Alternatives Before Using “Conditional”RetentionPeriods:
Official Business Record
Information
© 2012
Information that Clutters
May 7, 2012 28
Record
Core Support
Internal Non-Regulated Info
Drafts, Duplications, Transient Information & Non-Records
that Matters
Information that Clutters
Focus on Delete
Delete ASAP!
Non-Regulated Internal Operating Information with Event-based Retention
ExamplesMaximum of X Years after [Event]While Useful for Internal Operations
Collaborate with usersA t i i i f ti d t t ti
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Accept imprecision of creation-date retentionCreatively use existing metadata
Date Last ViewedStatus or “user rating” of information Set a maximum period, using a date field that is always populated
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Retention & ESI Retention & ESI Paths to Paths to SuccessSuccess
© 2012
Collapse Retention Periods
30May 7, 2012
Cohasset Associates, Inc.
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7.112012 Managing Electronic Records Conference
Option 1: Select the Longest Retention Period
Brand Management
Product Marketing (10 Years)
Corporate
© 2012 31May 7, 2012
Collaboration Site
10 Years
Management & Outreach
(5 Years)
Granting(7 Years)
Option 2: Select a FewRetention Periods
<1 Year
3 Years (General)
7 Years
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E-Mail Archive
3 & 7 Years
<1 Year (Transitory)
7 Years (Regulated)
E-Mail > 7 Years:Other Repository
32May 7, 2012
Option 2: Select a FewRetention Periods
Max+7 Years (Financial Planning)
7 Years (General Accounting)
Disposition+7 Years (Assets, Investments, Obligations)
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Enterprise Application
7 Years,Disp+7 Years &
Permanent
2 Years (Internal Controls) Permanent (GAAP Annual Statements)
33May 7, 2012
Cohasset Associates, Inc.
NOTES
7.122012 Managing Electronic Records Conference
Retention & ESI Retention & ESI Paths to SuccessPaths to Success
© 2012
Be Responsible & Avoid Paralysis
May 7, 2012 34
RM ToolsTechnology High
© 2012 May 7, 2012 35
Manual Labor Low
Resource Requirements
Controls & Results
Does your organization use fully automated, semi-automated or completely manual processes when deleting info that is stored in:
D k FilNetwork Files
Voice MailEmail Archives
EmailPaper
The 2011/2012 ESI Survey Says….
© 2012
Social NetworkingData in the Cloud
App DataEDM/ECM/ImagingCollaborative Tools
Mobile DevicesDesktop Files Completely Manual
Semi-Automated
Fully Automated
May 7, 2012 36
Cohasset Associates, Inc.
NOTES
7.132012 Managing Electronic Records Conference
How effectively are retention schedules applied and eligible information destroyed when stored in:
D k FilNetwork Files
Voice MailEmail Archives
EmailPaper
Marginal
The 2011 ERM Survey Says….
© 2012
Social NetworkingData in the Cloud
App DataEDM/ECM/ImagingCollaborative Tools
Mobile DevicesDesktop Files Fair
Good
Great
Excellent
May 7, 2012 37
Combination of both charts on the deletion of eligible information, when stored in:
Desktop FilesNetwork Files
Voice MailEmail Archives
EmailPaper
Completely Manual
Semi-Automated
Fully Automated
The 2011/2012 ESI Survey Says….
© 2012
0% 20% 40% 60% 80% 100%
Social NetworkingData in the Cloud
App DataEDM/ECM/ImagingCollaborative Tools
Mobile DevicesDesktop Files
Marginal
Fair
Good
Great
Excellent
May 7, 2012 38
Start a Continuous Improvement Program for Records Management
Define a continuous improvement processChip away at the barriersDo what is reasonableDo not become paralyzed by the fear of imperfection
Records management is:A compliance programA risk mitigation programA series of processes
Records management is not a project
© 2012
pDoing nothing is not an option
Consider resources and prioritize retention implementation
New or replacement systemsRegulated or long-term recordkeeping systems
Loop back and improve processes using new resources, as they are available
projectProjects may be undertaken, but the program is not merely a series of projects
Records management cannot be cost-justified considering storage, alone
39May 7, 2012
Cohasset Associates, Inc.
NOTES
7.142012 Managing Electronic Records Conference
Achieve the Right Mix of Great and Good Enough
Understand organizational barriersEngage stakeholdersFocus on risk and valueCh h f h
© 2012
Choose a path for the journeyCommit to the journey
40May 7, 2012
Q & A
© 2012 May 7, 2012 41
Retention & ESIRetention & ESIPaths to SuccessPaths to Success
Part Two
May 7, 2012 42
Carol Stainbrook & Christine M. Burns
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