Transcript Session 01 Tom Reding.ppt

Compliance in an on demand environment
®
IBM Software Group, Information Management Software
Taking Control over the Wild, Wild
West within your Organization
Tom Reding, CRM, Executive Consultant: Risk, Governance, & Compliance Solutions
© 2006 IBM Corporation
IBM Software Group | DB2 Information Management Software
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
2
Compliance in an on demand environment
®
IBM Software Group, Information Management Software
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 compliance
without Records Management”
© 2006 IBM Corporation
IBM Software Group | DB2 Information Management Software
Defining the “Wild, Wild West of your enterprise
 Desktops & Laptops
 Network file shares
 Various Corporate Archives
 Data Warehouses
 Report Management Systems (IDARS, COLD)
4
Compliance in an on demand environment
®
IBM Software Group, Information Management Software
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 compliance
without Records Management”
© 2006 IBM Corporation
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.
IBM Software Group | Information Management Software
OK, I’ll Set Up Records Management
Policies…zzz!
Records Retention Policies are … well … rather boring,
But consistent adherence to Policies
helps to demonstrate Compliance
IBM Software Group | Information Management Software
Are you one of those in the Board Room
or “middle management”?
IBM Software Group | Information Management Software
Examples of What NOT to do | Compliance Hall of Shame
Bernie Ebbers
Former CEO of WorldCom
Now Serving 25 Years
Luke Duffy
Formerly of Bank of Australia
Now Serving Time, Took Down CEO
Ken Lay
Former CEO of Enron
Faced 175 Years
Gale Norton
Secretary of the Interior
Held in Contempt of Court
Morgan Stanley
Fined $1.45 Billion
Stock Price Down
CEO Removed
Liu Jinbao
Former CEO of Bank of China
Now on Death Row
®
IBM Software Group
IBM Software Group | Information Management Software
Effective Records Management is the Goal for MOST
Corporate Legal Departments….
IBM Software Group | Information Management Software
Records Management from Creation to Core
Secure Data Management at the “Desktop Edge”
& Records and Content Management at the “Core”
Desktop Applications
Microsoft
Notes
Office
Database
eMail
Lotus
Notes
Document Management
Secure
Desktops
Laptops &
Fileshares
Business Applications
MS
Exchange
Peoplesoft
Siebel
SAP
Email Archiving
Data Capture and Classification upon Creation
Information Routing
Immediate Out-of-the-box functionality
today
Records Management Administration
Professional Services
Records Management
Information Integration
(Federation, Search)
(Retention Schedule, File Plan)
Content Management
Commercial
Rcds Store
Physical
Records
(Storage, Search, Security)
Rpts Mgmt
Strategic
Content
Repository
R
Documentum
OpenText
SharePoint, Stellent,
etc.
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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 purposes
All of the plans are subject to change. Features may be pulled out of the release at any time for any reason.
IBM Software Group | Information Management Software
Most Corporations Unready for New Federal Rules
of Civil Procedure on Electronic Evidence
IBM Software Group | Information Management Software
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
Evidence
Discovery
Legal
• Search • Redact
• Review • Present
IBM Software Group | Information Management Software
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.
IBM Software Group | Information Management Software
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.”
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
RM + ECI = Federated Records Management (FRM)
Records
Manager
1
Strategic
Content
Repository
DCTM
Stellent OTEX
Leave records in
native repository
MS SP
… Other Content Repositories …
2
Move records to a
strategic repository
at declaration
IBM Software Group | Information Management Software
Declare & Classify
Workflow Process
3
Records can be
consistently declared
and classified:
1
Business
Application
2
1. As a preconfigured step in a
workflow process or when
lifecycle state changes
Records Manager
Subscription
Event Services
Content
Monitor
Classification
and Retention Rules
Federated Records
CM
R
Event
Handler
2. Via simple insert of content into
a records-enabled folder
3. Through buttons or drop-down
menu items in applications
IBM Software Group | Information Management Software
Discovery + Application
& Release of Hold Orders
• Reduces discovery costs
• A records administrator
performs a…
… single search
… across multiple repositories
Records Manager
• All relevant records identified
are placed on hold to suspend
normal retention schedules
Subscription
Event Services
Content
Monitor
Classification
and Retention Rules
Event
Handler
Federated Records
CM
R
R
R
R
IBM Software Group | Information Management Software
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
Records Manager
Subscription
Event Services
Content
Monitor
Classification
and Retention Rules
Event
Handler
Federated Records
CM
R
R
R
R
IBM Software Group | Information Management Software
WebSphere II Content Edition - Content Integration Platform
Imaging/
Document
Mgmt
Report
Mgmt
Web Content/ Workflow/
Network
Media Asset
Business
File
Mgmt
Process Mgmt Systems
Custom
Systems
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 Software Group | Information Management Software
IBM Federated Records Management Solution
RM Expertise: Consulting, defining file plans, workflows, etc.
Custom Client Applications
Discover content,
hold and destroy records, browse and search file plans
Web Components
Search
Records Manager
Declare
Hold
Connector
RM Host Interface
W-flow
Subscription
Event Services
Content
Monitor
RM Logic Extensions
Existing IICE
Records
Database
FRM Software Assets
Enterprise
Search
MQ W-flow
Event
Handler
Repository
Repository
Repository
IBM Software Group | Information Management Software
Federated Records Management
for 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 lifecycle
Jonathan Smith
123-45-6789
Records
Ronald Smith
234-56-7890
William Smith
345-67-8901
IBM Software Group | Information Management Software
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 hold
Reload them into a new application group
• All their records metadata and properties are maintained
The rest of the original load completes disposition
Disposed
Jonathan Smith
123-45-6789
Unload & Reload with
records metadata in tact
Disposed
Ronald Smith
234-56-7890
William Smith
345-67-8901
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
Benefits of IBM Federated Records Management
 Reduce risk through automated, consistent application of the
records program all content stores
Bring 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
IBM Software Group | Information Management Software
Federating Access to Enterprise Information
SQL
SQL
Content
Web Services & Applications
Traditional Structured Systems,
Applications & Repositories
Mainframe
databases
Mainframe
files
IMS,
VSAM,
Adabas
Sequential
CA-Datacom
CA-IDMS
Relational
databases
DB2 UDB
Informix
Oracle
Sybase
Teradata
Microsoft
SQL
Server
ODBC
Unstructured Repositories
XML
Web services
Packaged
applications
WebSphere
BI Adaptors
SAP
PeopleSoft
Siebel
Web
Other
Collaboration
Systems
OLE DB
Excel
Flat files
IBM Lotus
Extended
Search
Web
search
 LDAP
Custom-built
Lotus Notes
Microsoft
Index Server
IBM Lotus
Extended
Search
Sametime
QuickPlace
Microsoft
Exchange
Content
& Imaging
Workflow
systems
DB2 CM WebSphere
Family
FileNet
Domino.doc
Documentum
FileNet
Open Text
Stellent
Interwoven
Hummingbird
Plus partner tools and custom-built connectors extend access to more sources
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
Archive Services - Part of IBM ECM Portfolio
Invoices, statements,
reports
Scanned
Paper and fax
Wireless
& PDA
ERP, SAP,
SCM,
CRM data
Business
Content in a
Strategic
Repositories
E-mail
File systems,
SharePoint,
IBM Workplace
Audio,
Video,
Photo
Kiosk
Portal /
Browser
Web
Content
Call Center
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
Control of the Wild, Wild West behind your firewall
 Who
 When
File Systems Archive
•Automated or End-users
Records Crawler
•Automated
Trusted Edge
•End-users
File Systems Archive
•At project / case closure
Records Crawler
•Anytime
Trusted Edge
•Upon Creation / Receipt
IBM Software Group | Information Management Software
File System Archive
Consists of
File System Archive Example
 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
Before
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
*Services Offering
After
IBM Software Group | Information Management Software
Accessing Archived Content
 Use Explorer-like interface to browse or search for archived content.
IBM Software Group | Information Management Software
FRM Solutions – File System Archive
Client Workstation
(with FileSystem Archive)
Target Content
Management System
File Server
IICE and FRM
Server
DB2 Records
Manager (Optional)
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
Imaging
Email
Management
File System
Management
Records
Management
Content
Discovery
Prove
Compliance
IBM Software Group | Information Management Software
Records Crawler – How it Works
Business Users
Records Capture
Rules and Profiles
Applies
Rules and
Profiles
Monitors
and
identifies
Records
ECM
Move, Copy
or Stub
Unmanaged
File System Records
Documents
Spreadsheets
Web Content
Images
PowerPoint
Records Crawler
Repository
File Plan
Policy
Management
Records Manager
IBM Software Group | Information Management Software
Records Crawler Overview




Manage network file shares
Simple manipulation of files
Intelligent indexing
Multiple source and target system options for file management
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
IBM Software Group | Information Management Software
Unified Document and Email Management / Discovery
Classify
Monitor or
Supervise
Search,
Retrieve,
Deliver
Manage
Disposition
Audit
Destructive
Delete
Federated Repositories (2..n)
Capture
● Mailbox
Secure, Scalable
Archive
● Real-time
 Email
 Reports
 Printed Output
 IM
 Office documents
 etc.
Capture
Classify
Supervise*
Manage
Ingest records
(email, IM,
documents)
into archive
(automatic)
Record
classification
utilizing
corporate file
plan
Monitor
records to
detect
violations of
regulatory or
corporate
policy (e.g.,
NASD
3010/3110)
InformationLife
Cycle
Management
Legal Hold
Search,
Retrieve,
Deliver
Full text
federated
seach across
all data types
Audit
Delete
Recording of
every
interaction from
capture to
destruction
Mitigate risk
with full
disposition
management
Documents on
Federated
Fully auditable
records
PCs and shared
Federated
reports
to verify
Legal
management
drives is
Classification
compliance
discovery
notoriously
Records Policy
Must search
End Users know * Optional function
Need to audit
unmanaged
applies to records
controlled
“best” how to
records and
repositories
and
classify
non-records
IT Policy applies
uncontrolled
– at file creation
to non-records
PCs and shared
drives
Customer Challenges
Destructive
deletes
according to
policies
Need to
disposition
records and
non-records
IT storage
management
IBM Software Group | Information Management Software
Value-Add for Managing Convenience Copies
Classify
Monitor or
Supervise
Search,
Retrieve,
Deliver
Manage
Disposition
Audit
Destructive
Delete
Federated Repositories (2..n)
Capture
● Mailbox
Secure, Scalable
Archive
● Real-time
 Email
 Reports
 Printed Output
 IM
 Office documents
 etc.
Capture
Classify
Supervise*
Manage
Capture
electronic
documents
and email at
the “edge”
from the
moment they
are created
Classify
according to
“blended” IT
and Records
Policies
Monitor
records to
detect
violations of
regulatory or
corporate
policy (e.g.,
NASD
3010/3110)
ILM of both
records and
non-records
Automated
classification *
Inventory *
* Inventory existing
documents and
emails is a potential
future value-add
* Integration
with iPhrase is a
potential future
value-add
* Optional function
Legal Hold of
records and
non-records
Search,
Retrieve,
Deliver
Search all
federated
repositories
AND
Search all
PCs and
shared drives
Audit
Delete
Record every
interaction
from capture
to destruction
for records
and nonrecords
Disposition
according to
“blended” IT
and Records
Policies
Fully
auditable
reports to
demonstrate
compliance
IBM Software Group | Information Management Software
Managed Convenience Copy Architecture
XML
Visibility
and
Control
Applications
Data Capture and Classification upon Creation
Information Routing Layer
Storage
Content & Records
Management
Archiving
IBM Software Group | Information Management Software
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.
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
 Server:
 Centralized Policy Management / Policy
Inheritance
 Metadata database
 Reporting, Analytics, and Forensics
 Heterogeneous Infrastructure Support
 Range of Enterprise Systems Includes:
 Office Applications
 Email
 ECM
 Archives
 Records Managers
 Storage Filesystems
 Directory Services / Microsoft AD
 Enterprise Applications
 Desktop Client :
 Comprehensive Application Independent
Document and Email Capture
 Interactive Classification
 Intelligent Filing
 Digital Disposal
 Litigation Hold
IBM Software Group | Information Management Software
Trusted Edge Extends the IBM FRM Story
Desktop
Applications
eMail
Shared
Drives
Federation to PCs, Shared Drives
Manage at the Desktop
Data Capture, Classification & Control upon Creation
Records Management
(Retention Schedule, File Plan)
Federation to Repositories
Business Applications
App 1
App 2
App 3
Content / Document
Management and eMail Archive
Information Integration
(Federation, Discovery, Policy)
(Store, Manage, Discover, Secure)
Strategic
Content
Repository
Reports
Mgmt
R
Sellent, Documentum
OpenText, SharePoint,
etc.
IBM Software Group | Information Management Software
Conceptual Integration of RM with a Host Application
Destroy/Delete Records
Get List of users and Groups
Permission Synchronization
Other Lifecycle Events
Synchronize Metadata
Render/Retrieve Content
Full Text Search
Host Interface
Host Interface Implementation
HOST
Application
The functionality encapsulated in the
RED arrows is currently implemented
within the RME
Authenticate User
API
Login User
Declare Records
Other …
RM
ENGINE
IBM Software Group | Information Management Software
RM Enablement of Customer Business Applications and its Repository
Customer Business Application
Business
Application
Application
Connector
IBM Records Manager
IRM
System
Admin
Declare
Classify
Retrieve
Document
Search
IRM API
IHost
(Delete)
Repository
DB
Metadata &
Fulltext
Server
DB
Color Map
Existing Rep component
DB
Object
Store
Existing eRS component
Integration component
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
Conclusions Regarding the Relationship Between the
Two Technologies:
 Too much information can significantly effect the speed,
quality, efficiency, and effectiveness of discovery activities
The 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
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
Content Services
Provide a comprehensive infrastructure to support a broad
range of business processes that need unstructured data
IBM Software Group | Information Management Software
Services Oriented Architecture
Information Services are Key
You will waste your investment in SOA unless you have enterprise information that SOA can exploit.
Gartner, March 2005
IBM Software Group | Information Management Software
A Federated Enterprise Policy Services Vision
 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.
Physical Records Mgt
e-Mail
Archive
CM
Document
Mgmt
Records
Mgmt
Access
Control
LDAP
Content
Manager
Strategic
Content
Repository
Physical
RM
Commercial
Rcds
Center
Search apps
Workflow
Information Integration Layer
Rpts
Mgmt
Content
& Web
Mgt
e-mail
Archives
Shared
Drives
Databases
Privacy
Mgmt
Digital
Rights
Mgmt
IBM Software Group | Information Management Software
e-Mail Archiving & Search
e-Mail / IM System
All e-Mails are captured
by archiving solution.
e-Mail
Archiving
Archiving
Solution
Solution
Upon ingestion e-mails
should be given a default
retention rule
e-Mail
Search
Content Management
Content
Management
Repository
/ e-Mail Repository
The e-Mail Search
application should have
export feature to copy
selected emails from
the repository for
litigation or other
reasons
The e-Mail Search
allows for
the search and
retrieval of e-mails
across multiple
mailboxes based on
attributes and / or full
text.
IBM Software Group | Information Management Software
e-Mail Archiving, Search & Records Management
e-Mail / IM System
Archiving
Solution
Hold Orders should be
placed on e-mails from
the within the e-Mail
Search application.
e-Mail
Search
Upon ingestion e-mails
should be given a default
retention rule
Records
Management
Solution
Content Management
/ e-Mail Repository
The records disposition
process will utilize the
the Content Management
solution workflow for
the deletion process.
e-Mails outside of
the default retention
are declared as
records.
IBM Software Group | Information Management Software
Full Enterprise-wide or Federated Records Management
e-Mail / IM System
Archiving
Solution
The solution is designed
for growth to meet all
potential future Records
Management
requirements.
e-Mail
Search
Records
Management
Solution
Content Management
/ e-Mail Repository
Other Content Systems
Enterprise
Content
Integration
Solution
File Systems
IBM Software Group | Information Management Software
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)
IBM Software Group | Information Management Software
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?
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
IBM Software Group | Information Management Software
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
Questions & Answers
®
IBM Software Group
“Risk mitigation can NOT be
realized, nor good corporate
governance, and compliance
achieved without records
management”.
In the end, all that matters, is our integrity.