choosing technology solutions for legal & regulatory requirements
DESCRIPTION
Choosing Technology Solutions for Legal & Regulatory Requirements. Bud Porter-Roth Porter-Roth Associates 415-381-6217 [email protected] http://www.rfphandbook.com. I think they’re all the same aren’t they? I’ll just call a few vendors and put a spec together. Lunch is back on!!!!. - PowerPoint PPT PresentationTRANSCRIPT
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Bud Porter-RothPorter-Roth Associates
http://www.rfphandbook.com
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Mike, do we need imaging or document
management for the HR records project? Should
we think about workflow?
What about records
management?
I think they’re all the same aren’t they? I’ll just call a few vendors and put a spec together. Lunch is back on!!!!
Also, can you find out about enterprise content management? I think it may be replacing document imaging for records management.
Oh No! There goes
lunch!!
What about records
management?
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Warm-up Exercise
You are going to buy a car, what are the considerations (why you need it) and requirements (what do you need)?Write 3 considerations that are essential to
you and your needs. (why)Write 3 functional requirements that are
essential for your car. (what)Do you need to know mechanically how
a car operates to write requirements?
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Initial Observations
This technology area, EDMS or ECM, or RM, is getting even more complex with New lawsNew companiesNew merged companiesNew business applications coming down the pike
that will require RM capabilities In addition to the above, many companies are
complex entities with many different applications spread across many different business units
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Which Technologies do What?
Document imagingElectronic document management (EDM)Workflow technologiesEnterprise report management (ERM)Enterprise content management (ECM)Intranet (or Internet) content
managementKnowledge management (KM)Records management (RM)
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Document Imaging
Capture Index Distribute Store and Retrieve
Document Imaging = Techniques for capturing, recording, processing, storing, transferring and using images of paper documents electronically
Imaging Technologies…
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Classic Benefits from Imaging
Gets rid of the paper (WHFO)Gives storage space backFewer lost documentsParallel use of documentsDisaster recovery??What else
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Basic Problem with Imaging Systems
They do not typically meet/incorporate the classic RM rules such as classification, enforced retention, audit trail, some access control, no distinction between records and non-records.
While better than a simple backup system they do not meet requirements for such things as e-mail, IM, etc.
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Workflow Technologies
Distribute Route Track Manage
Workflow = Techniques for transferring and using images of paper documents or electronic documents/data electronically
Workflow Technologies…
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Workflow Technologies
High ValueBusiness Process
Low ValueBusiness Process
RepetitiveProcesses
UniqueProcesses
Production Collaborative
Administrative / Ad Hoc
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Typical Workflow
Receive Resume
Requestinterview with
candidate
Return resume,request "no thank
you" letter
Hiring managerreviews resume
Purge after sixmonths
Send resume tohiring manager
for review
File resume forfuture job
requirements.Write reject ltr.
Match resume tocurrent job listing
and criteria
Resumequalifies?
NO
Yes
Resumequalifies?
EndProcess
Go to B
BNO
Yes
EndProcess
Wkflow route resumeto appropriate
department personnel
Setup interviewtimes with
appropriatedepartmentpersonnel
Interviewcandidate Go to C
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Classic Workflow Benefits
Computer control of a work processAuto routing of designated documentsAuto tracking of individual designated
documentsPrioritize work according to rules and
to re-prioritize on-the-flyCollect and report tracking data
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Basic Issue with Workflow Systems
“Workflow” as a technology is not a store and retrieval system
Workflow is an electronic routing system used for specific work, not necessarily documents….
Workflow, as a technology, offers very little in terms of RM and compliance
But, coupled with RM systems can be useful in kicking off events such as destruction schedules
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Electronic Document Management
Automated Capture/Save Index/ Version Control Distribute/ Check-in/Check-out Store Retrieve
Electronic Document Management = Techniques for capturing, indexing, processing, storing, transferring and using electronic documents
Electronic Document Technologies…
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Classic Benefits of Document Management
Centralized file controlCheck in/outVersion control
Remote retrievalParallel processingBut no real RM capability
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Basic Issue with EDM
EDM is one part of the equation In the early days of EDM (Saros? PC Docs? &
Documentum) they were sometimes thought of as RM systems but suffered many of the same problems as imaging systems
Today, EDM systems incorporate RM features by adding 3rd party software or buying 3rd party software and reengineering
Still not “good” with e-mail, IM, DAM, etc
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Enterprise Content Management
Automated Capture/Save Index/ Version Control Authoring Distribute/ Check-in/Check-out Store Retrieve
Enterprise Content Management = Techniques for capturing, indexing, processing, storing, transferring and using electronic documents
Enterprise Content Technologies…
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But, what is ECM?
Document managementCorporate content managementIntranet content managementInternet content managementAll of the above??? “But wait, it you
buy now….”
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Basic System Components
View / EditOutput
User 1User 1
User 2User 2
Network
Intranet
Internet
Network
Intranet
Internet
Input
Store
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ECM Benefits
Centralizes/consolidates contentAllows for better managementProvides library servicesContent creation and managementPublish directly
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Enterprise Report Management (ERM)
Capture Index Distribute Store and Retrieve
ERM = Techniques for capturing, recording, processing, storing, transferring and using data (also COLD, computer output to laser disk)
ERM Technologies…
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Enterprise Report Management (ERM)
John Smith1234 Main St.Anytown, USA
456 Any St. Anytown, USA Acct: 123456
Date Transaction Amt. Bal.
01-03-94 Root Canal $2,500 $2,500
03-04-94 Cleaning $ 100 $2,600
03-31-94 Payment ($2,600) $ 0
12349 23478 234872 2312349 23478 234872 2312349 23478 234872 2312349 23478 234872 2312349 23478 234872 2312349 23478 234872 2312349 23478 234872 2312349 23478 234872 2312349 23478 234872 23
Dental Insurance
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ERM Benefits
Paperless reportsData accessible reports (can copy and
edit the data)Data rich report environment
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Records Management
Automated Capture/Save Index/ Version Control Distribute/ Check-in/Check-out Store Retrieve
The planning, controlling, directing, organizing, activities of records creation, records maintenance, and records disposition whether the record is paper, data, or an electronic document
Electronic Document Technologies…
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RM Benefits
Control and tracking of designated records
Retention periods definedRecords purged on scheduleEnsures legal and regulatory
complianceMinimizes legal risk
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Knowledge Management
Is this a technology or a business application using many and varied technologies – technologies change depending on the use and application and the individual interpretation of what KM is
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Document Input Subsystems
Specialize front-end systems to handle just the input of paper into the system
Have become inter-mixed with other technologies such as forms capture and processing, OCR, ICR
Kofax, Input Accel (Captiva)
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Related Technologies
Optical Character Recognition (OCR)ICR (intelligent character recognition)Forms RecognitionMark Sense RecognitionForms processing
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Outsourcing and ASP Models
Newest model in EDMS is to give the paper to an ASP and let them deal with it
Can give them the paper (and be done with it???)
They can do it on-site – outsourced management of your resources
Jury is still out on this - many pros and cons
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Optical and Magnetic Storage
Optical storage – coming or going Magnetic storage – cheap, fast, but legal? Optical seems to be a shrinking market and
technology, will DVD unify the technology and finally become an accepted archival media?
Does this storage issue affect basic records management?
Yes it does, but how?
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The Need for RM!!
File SystemsFile Systems
e-Mail Serverse-Mail Servers
Local DrivesLocal Drives
WebWebServersServers
ImagingImagingRepositoriesRepositories
PaperPaperFilesFiles
Document Document RepositoriesRepositories
MicrofilmMicrofilm
BusinessBusinessSystemsSystems
Video LibrariesVideo Libraries
PhotographsPhotographs
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The Need for RM
Need to accurately store and retrieve business documents to run a business
Need to comply with a variety of regulations
Need to mitigate potential litigation Need to mitigate cost of litigation when
it happensOthers?
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Technology Justifications & Decision Factors
What are we buying?A document management systemA records management systemA CYA system for any record type and legal situation
When do these areas converge and when do they not?
What about paper? What systems currently manage paper and who ties this together?
Who is in charge of the records? IT, IM, RM? What perspective does each group bring?
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Where did I go Wrong?
Findings of a 1995 Department of Defense Software Study
The Standish Group Study
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Some Recommendations
Decide on what is being purchasedImaging for local paper storageRM for the enterprise
Don’t jump into an RFP immediately! Do a ballpark analysis of what problem you
are solving Use the analysis to get buy-in for the project Establish goals, objectives, critical success
factors
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How are We Buying It?
Develop a potential list of vendors and….Invite them in for presentationsInvite them in for demonstrationsInvite yourself to their company for toursAsk them to informal help guide you with directionsAttend user meetings, conferences, Visit other companies with the same “problem”
Verify, through education, that your assumptions are correct
Do a benchmark survey of peer companies
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How are We Buying It?
Now think RFP or RFI if still not sure As part of the purchase cycle
Ask short listed vendors to present to youAsk for a full-day demonstration with a target
database that you supplyAsk of a “live test demonstration” in which you run
the software for 30 days in a controlled test mode Ask how the vendor will remain current with
emerging technology Ask what is the emerging technology and how
they will help you avoid the sinkholes
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How are We Buying It?
This is a huge (potentially) step, take your time and
“measure twice, cut once”
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Bud Porter-RothPorter-Roth Associates
http://www.rfphandbook.com
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Why have Records Management from a Business Perspective?
Cost Savings Improved Access to Valuable
Information Consistency of Records Identification Consistency of Records Destruction Legal Compliance Protection During Litigation,
Government Investigation, or Audit
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Why do We Need RM?
Records destroyed without authorization Records retained too long Historical records are not preserved Deleted records are not consistently destroyed Records are abandoned in obsolete software and
are rendered inaccessible Disorganized records Lack of naming conventions
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Why do We Need RM?
Lack of version control Duplicate storage of records Electronic records are stored in a variety of
locations and drives File sharing is difficult Users only have access to records in their
custody
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What are we looking at?
Sarbanes-OxleyPatriot ActSEC 17aGramm-Leach Bliley Act (GLBA) HIPPAWhat about 5015.2? And others….
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Sarbanes-Oxley
“ . . . whoever knowingly alters, destroys, mutilates, conceals, covers up, falsifies or makes a false entry in any record, document or tangible object with intent to impede, obstruct or influence the investigation or proper administration of any matter within the jurisdiction of any department or agency of the United States or any case filed under title 11 or in relation to, or contemplation of any such matter of case, shall be fined under this title, imprisoned not more than 20 years, or both.”
Paper records Electronic records E-mail Instant messaging Pretty much anything that qualifies as a business record….
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Patriot Act
Search – Allow Gov’t to issue warrant for searches and can be “secret”
Records – allows Gov’t to obtain special warrant to obtain records
Wiretaps – allows for wiretapsComputers – allow Gov’t to track activityEvidence – allows Gov’t to get the goodsBanks – Verify identity and track
accounts
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SEC 17a
SEC rule that requires certain conditions for SEC regulated company when considering using digital imaging for records management
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NASD 2210 & 3010 & 3110
A separate file of all advertisements and sales literature, including the name(s) of the person(s) who prepared them and/or approved their use, shall be maintained for a period of three years from the date of each use.
Supervision, Review, and Record Retention of Correspondence with the public
Each member shall review the activities of each office, which shall include the periodic examination of customer accounts to detect and prevent irregularities or abuses and at least an annual inspection of each office of supervisory jurisdiction.
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Gramm-Leach Bliley Act (GLBA)
Financial privacy Broad range of rules applying to
financial institutions and companies that collect financial data
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HIPPA
Patient privacy User authentication and role-based
authorizationDisclosures requiring revocable
authorization and loggingRequests for copies of PHIRequests to amend PHI
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Federal Rules of Civil Procedure
Rules 26 and 34 of the Federal Rules of Civil Procedure (which regulate the production of evidence in litigation) are the critical rules governing the discovery of electronic information. These rules make electronic information available for broad discovery but provide some significant protections for the party whose electronic information is sought
Rule 26 states that all parties in litigation must disclose "a copy of, or description by category and location of, all documents, data compilations, and tangible things in possession, custody, or control of the party that are relevant to disputed facts alleged with particularity in the pleadings
Rule 34 states, any party may serve on any other party a request (1) to produce . . . designated documents (including writings, drawings, graphs, charts, photographs, phono-records, and other data compilations from which information can be obtained, translated, if necessary, by the respondent through detection devices into reasonably usable form
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ISO 15489
International standard for RMISO 15489 was developed to
standardize international best practices in records management
ISO 15489 is a guideline
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DOD 5015.2
Does not mandate record keeping rules but is a set of requirements that an electronic record keeping system must comply with
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What does this Mean?
More regulatory complianceEquals more costs to companySome companies going private –
increase is about 22% over normalSome teeth to the bite….Not all companies are prepared or will
be Compliance will be like insurance…