E-Records Management for e-Mail  Jane Connerton, CRM Procter & Gamble May, 2011
Upfront <ul><li>This is more of a business problem and NOT just an IT problem.  </li></ul><ul><li>There are no magic syste...
E-Records at P&G <ul><li>From over 6,000 systems to 3,800 – Success! </li></ul><ul><li>Centralized control in a decentrali...
Getting RM into IT <ul><li>For every MAJOR system launch or upgrade, there is an intervention </li></ul><ul><li>For others...
 
E-Records Guideline <ul><li>Retention Times </li></ul><ul><ul><li>Does the system have the ability to apply retention time...
E-Records Guidelines (2) <ul><li>Preservation & Migration </li></ul><ul><ul><li>Preservation plan been to ensure that the ...
E-Records Guidelines (3) <ul><li>Electronic Signatures </li></ul><ul><ul><li>Does the process of creating an electronic si...
E-Mail (and other e-Records) Now More in General
Today’s Environment <ul><li>The economy </li></ul><ul><ul><li>Cut costs </li></ul></ul><ul><ul><li>Add to revenue </li></u...
DifferentPerspectives Information Technology Management End User Records Management
The IT Perspective <ul><li>It’s just data </li></ul><ul><li>We don’t own it </li></ul><ul><li>There’s a big cost here </li...
The Perspective of Management <ul><li>If it doesn’t add value, we don’t need it </li></ul><ul><li>Don’t add cost or compli...
The User Perspective <ul><li>It’s mine! </li></ul><ul><li>I know what I have to keep </li></ul><ul><li>I’ll decide what to...
The Records Management Perspective <ul><li>It is A RECORD! </li></ul><ul><ul><li>“ Recorded information , regardless of me...
What does the Law Say? <ul><li>E-mail is subject to same status as paper </li></ul><ul><li>E-mail is subject to discovery ...
So where to start?
Who Are You? <ul><li>Industry, Culture, Environment </li></ul><ul><ul><li>Gov’t Agency – very clear what is business, need...
Unique Email Strategy <ul><li>Each organizations e-mail strategy will reflect it’s own culture and the legal and regulator...
Low Hanging Fruit <ul><li>E-mail </li></ul><ul><ul><li>How much personal e-mail is being maintained in your infrastructure...
Procedural Changes before Technology <ul><li>These also may require BUSINESS TRANSFORMATION </li></ul><ul><ul><li>View e-m...
Possible Solutions <ul><li>K.I.S. – use tools within your e-mail system </li></ul><ul><ul><li>Big Bucket theory </li></ul>...
Possible Solutions <ul><li>Move Records to where Records are Maintained </li></ul><ul><ul><li>If it’s key to the business,...
Possible Solutions <ul><li>Empower the people – let them decide what they need to do business </li></ul><ul><ul><li>No ret...
At the End of the Day... <ul><li>It’s all about creating value </li></ul><ul><ul><li>Everyone receives something that is e...
Thank You!
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Jane Connerton

  1. 1. E-Records Management for e-Mail Jane Connerton, CRM Procter & Gamble May, 2011
  2. 2. Upfront <ul><li>This is more of a business problem and NOT just an IT problem. </li></ul><ul><li>There are no magic systems that will solve all your issues, automating garbage is just expensive garbage. </li></ul><ul><li>At the end of the day, it’s more about about business processes and partnering, not just technical solutions </li></ul>
  3. 3. E-Records at P&G <ul><li>From over 6,000 systems to 3,800 – Success! </li></ul><ul><li>Centralized control in a decentralized environment </li></ul><ul><ul><li>E-Records Guidelines </li></ul></ul><ul><ul><li>Controlled Self Assessments (and live audits) </li></ul></ul><ul><li>Handful of corporate standard software </li></ul><ul><ul><li>E-mail system – Outlook Exchange </li></ul></ul><ul><ul><li>Authoring Softwares – MS Office </li></ul></ul>
  4. 4. Getting RM into IT <ul><li>For every MAJOR system launch or upgrade, there is an intervention </li></ul><ul><li>For others, follow the e-Records guidelines </li></ul><ul><ul><li>Consult as requested </li></ul></ul>
  5. 6. E-Records Guideline <ul><li>Retention Times </li></ul><ul><ul><li>Does the system have the ability to apply retention times listed in the RRS? Sec. VI. 1. & 2. </li></ul></ul><ul><ul><li>Has a process/trigger been developed for notifying, at least yearly, which e-records have reached their disposal date? Sec. VI. 3. </li></ul></ul><ul><ul><li>Does the system have the ability or process to suspend the disposal date of e-records? Sec. VI. 4. </li></ul></ul><ul><ul><li>Does the system have the ability or process to recalculate the disposal date of e-records? Sec. VI. 5. </li></ul></ul><ul><li>Date Format </li></ul><ul><ul><li>Is the date format documented and the year includes four digits? Sec. VII. 1. </li></ul></ul><ul><ul><li>Does the date format meet ISO 8061? Sec. VII. 2. </li></ul></ul>
  6. 7. E-Records Guidelines (2) <ul><li>Preservation & Migration </li></ul><ul><ul><li>Preservation plan been to ensure that the e-record’s meta-data, content, context and structure is maintained throughout its retention time? </li></ul></ul><ul><ul><li>Process to periodically review the readability/usability of e-records on alternate media ? </li></ul></ul><ul><ul><li>Consideration been given to the migration of e-records to microfilm based on cost of volume, use and length of retention time? </li></ul></ul><ul><ul><li>Web site, has it been rated as a High, Medium or Low risk site regarding the ability to recreate the web site or track its changes? </li></ul></ul><ul><ul><li>Audit trail capture at a minimum, the date, time, person and action taken? </li></ul></ul><ul><ul><li>Have legal or regulatory guidelines been considered for future search and retrieval capabilities? </li></ul></ul><ul><li>E-Record Disposal </li></ul><ul><ul><li>Has a process been developed or tool selected to dispose of e-records in a way that they cannot be reconstructed? </li></ul></ul><ul><ul><li>Does the system’s audit trail capture the disposal of e-records and retain sufficient meta-data?   </li></ul></ul>
  7. 8. E-Records Guidelines (3) <ul><li>Electronic Signatures </li></ul><ul><ul><li>Does the process of creating an electronic signature ensure the authenticity of the signer and the integrity of the signature? Section X. </li></ul></ul><ul><ul><li>Has additional regulatory compliance controls been addressed? Section X. </li></ul></ul><ul><li>  </li></ul>
  8. 9. E-Mail (and other e-Records) Now More in General
  9. 10. Today’s Environment <ul><li>The economy </li></ul><ul><ul><li>Cut costs </li></ul></ul><ul><ul><li>Add to revenue </li></ul></ul><ul><li>Legal Guidelines </li></ul><ul><ul><li>The courts are starting to understand electronic records and expect an organization to have its act together </li></ul></ul><ul><ul><li>E-mail is a big target, with lots of volume </li></ul></ul>
  10. 11. DifferentPerspectives Information Technology Management End User Records Management
  11. 12. The IT Perspective <ul><li>It’s just data </li></ul><ul><li>We don’t own it </li></ul><ul><li>There’s a big cost here </li></ul><ul><li>Just give us the number of years to keep this stuff – why is this so hard? </li></ul>
  12. 13. The Perspective of Management <ul><li>If it doesn’t add value, we don’t need it </li></ul><ul><li>Don’t add cost or complicate matters </li></ul><ul><li>What is the minimum that we need to do? </li></ul><ul><li>But, don’t do anything that will get us put in handcuffs – because we don’t look good in horizontal stripes </li></ul>
  13. 14. The User Perspective <ul><li>It’s mine! </li></ul><ul><li>I know what I have to keep </li></ul><ul><li>I’ll decide what to do with it </li></ul><ul><li>How much can it cost? My home e-mail is free. </li></ul><ul><li>I have real work to do, not this filing stuff </li></ul><ul><li>If it costs so much, I’ll just burn a CD </li></ul><ul><li>Can’t I just save it all to my desktop? </li></ul>
  14. 15. The Records Management Perspective <ul><li>It is A RECORD! </li></ul><ul><ul><li>“ Recorded information , regardless of medium or characteristics, that has been created or received by the company, and is deemed necessary for its business purposes”. </li></ul></ul><ul><li>We have legal, regulatory, audit and tax issues to consider </li></ul><ul><li>We have to be consistent </li></ul>
  15. 16. What does the Law Say? <ul><li>E-mail is subject to same status as paper </li></ul><ul><li>E-mail is subject to discovery and public access </li></ul><ul><li>E-mail is not just the message, but attachments, and metadata </li></ul><ul><li>The entire e-mail system and back-up tapes are subject to discovery </li></ul><ul><li>Depending on laws, employees do not have a right to privacy if using an employers e-mail system. </li></ul>
  16. 17. So where to start?
  17. 18. Who Are You? <ul><li>Industry, Culture, Environment </li></ul><ul><ul><li>Gov’t Agency – very clear what is business, need to make things publically available? </li></ul></ul><ul><ul><li>Company that makes things and is a big target for litigation? </li></ul></ul><ul><ul><li>Company that is information intensive and needs better control of records overall? </li></ul></ul><ul><ul><li>Company where innovation, creativity and “free thought” are encouraged? </li></ul></ul>
  18. 19. Unique Email Strategy <ul><li>Each organizations e-mail strategy will reflect it’s own culture and the legal and regulatory environment in which it operates. </li></ul><ul><li>Need to understand you organizations: </li></ul><ul><ul><li>Risks (and risk tolerance) </li></ul></ul><ul><ul><li>What e-mail is REALLY being used for </li></ul></ul><ul><ul><li>How the business uses or could use e-mail as a tool. (and if people are rule followers) </li></ul></ul>
  19. 20. Low Hanging Fruit <ul><li>E-mail </li></ul><ul><ul><li>How much personal e-mail is being maintained in your infrastructure? </li></ul></ul><ul><ul><li>How much old, unnecessary and obsolete e-mail is being maintained? </li></ul></ul><ul><ul><li>How are attachments being handled? </li></ul></ul><ul><ul><li>How are back-ups handled (philosophy and time) </li></ul></ul><ul><li>Savings: reduced server storage, backup requirements, reduced bandwidth needs, tape costs and IT labor costs. </li></ul><ul><ul><li>IT will embrace you if you can help them deliver cost savings </li></ul></ul>
  20. 21. Procedural Changes before Technology <ul><li>These also may require BUSINESS TRANSFORMATION </li></ul><ul><ul><li>View e-mail as a delivery mechanism, not a storage repository </li></ul></ul><ul><ul><li>If it’s predominantly used to distribute attachments, have people post the attachment in a central repository and just share a link in the e-mail </li></ul></ul><ul><ul><li>Centralized vs Decentralized </li></ul></ul><ul><ul><li>Mailbox size and/or default retention times </li></ul></ul>
  21. 22. Possible Solutions <ul><li>K.I.S. – use tools within your e-mail system </li></ul><ul><ul><li>Big Bucket theory </li></ul></ul><ul><ul><li>Everyone has 10-15 buckets to store email based on content. </li></ul></ul><ul><ul><li>They can make folders under the big buckets </li></ul></ul><ul><ul><li>The buckets take care of retention time </li></ul></ul><ul><ul><li>TRAVEL (1 yr) </li></ul></ul><ul><ul><li>Itineraries </li></ul></ul><ul><ul><li>Expense report submissions </li></ul></ul>
  22. 23. Possible Solutions <ul><li>Move Records to where Records are Maintained </li></ul><ul><ul><li>If it’s key to the business, make it an official record in the managed system </li></ul></ul><ul><ul><li>Use e-mail to point to it or make it easy to declare it into the system (whole e-mail or just attachment) </li></ul></ul><ul><ul><li>Only keep transient (short term) records in e-mail and force a short time (30/60 days) </li></ul></ul>
  23. 24. Possible Solutions <ul><li>Empower the people – let them decide what they need to do business </li></ul><ul><ul><li>No retention time in e-mail </li></ul></ul><ul><ul><li>There is a size limit!!! </li></ul></ul><ul><li>Do you let them keep NSF’s/PST’s? </li></ul><ul><ul><li>Balance enabling the business with controlling information </li></ul></ul>
  24. 25. At the End of the Day... <ul><li>It’s all about creating value </li></ul><ul><ul><li>Everyone receives something that is equal to or greater than what is expected </li></ul></ul><ul><ul><ul><li>IT: Cost savings, reduction in infrastructure needs, improved service levels </li></ul></ul></ul><ul><ul><ul><li>Management: Cost savings, reduced legal exposure </li></ul></ul></ul><ul><ul><ul><li>Records: Better management of e-Records </li></ul></ul></ul><ul><ul><ul><li>End User: Better access to information, sharing of information, peace of mind </li></ul></ul></ul>
  25. 26. Thank You!

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