Enterprise Records Management to Meet Regulatory Guidelines


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Enterprise Records Management to Meet Regulatory Guidelines

  1. 1. Enterprise Records Management to Meet Regulatory Guidelines Simon Baumber Strategic Relationship Manager
  2. 2. Diagonal Solutions <ul><ul><li>Established 1968 </li></ul></ul><ul><ul><li>Morse’s ECM Practice </li></ul></ul><ul><ul><li>Based in Leeds </li></ul></ul><ul><ul><li>Microsoft Gold Partner in 4 categories </li></ul></ul><ul><ul><li>Focused on Integrated Information Management solutions for: </li></ul></ul><ul><ul><ul><li>Compliance </li></ul></ul></ul><ul><ul><ul><li>Risk Management </li></ul></ul></ul><ul><ul><ul><li>Efficiency Improvement </li></ul></ul></ul>
  3. 3. ECM Capabilities <ul><ul><li>Document management </li></ul></ul><ul><ul><li>Record management </li></ul></ul><ul><ul><li>Physical asset management </li></ul></ul><ul><ul><li>Data capture, recognition and processing </li></ul></ul><ul><ul><li>Business process automation </li></ul></ul><ul><ul><li>Collaboration </li></ul></ul><ul><ul><li>Information publication (web, print and electronic) </li></ul></ul><ul><ul><li>E-mail archiving </li></ul></ul>
  4. 4. Documents and Records <ul><li>Documents </li></ul><ul><ul><li>Information in draft form </li></ul></ul><ul><ul><li>Team / individual ownership </li></ul></ul><ul><ul><li>Can be based on a record </li></ul></ul><ul><li>Records </li></ul><ul><ul><li>Organisation ownership </li></ul></ul><ul><ul><li>Published information </li></ul></ul><ul><ul><li>Proof of communication (including emails) </li></ul></ul><ul><ul><li>In force policies </li></ul></ul><ul><ul><li>Scanned images </li></ul></ul><ul><ul><li>Information on which accountable decisions are based </li></ul></ul>
  5. 5. Drivers for good record-keeping <ul><li>“ Negative” drivers </li></ul><ul><ul><li>Protection against: </li></ul></ul><ul><ul><ul><li>Legal action </li></ul></ul></ul><ul><ul><ul><li>Fines </li></ul></ul></ul><ul><ul><ul><li>Reputation damage </li></ul></ul></ul><ul><ul><li>Compliance to information legislation </li></ul></ul><ul><ul><li>Information security </li></ul></ul><ul><li>“ Positive” drivers </li></ul><ul><ul><li>Platform for cost savings </li></ul></ul><ul><ul><li>Efficiency improvements </li></ul></ul><ul><ul><li>Storage management </li></ul></ul>
  6. 6. Wisdom Compliance Console Sarbanes Oxley Fiscal accountability for all US listed public companies Basel II Capital assessment and reporting standards for global banking EU AML directive Identification requirements in order to “KYC and KYCB” TNA, MoReq, and DoD 5015.2 National standards for records management eSCR MiFID New laws relating to investment services and activities Disclosure of personal information Freedom of Information Act Disclosure of recorded information Electronic storage of service user structured and unstructured data Data Protection Act
  7. 7. Regulatory Compliance <ul><li>Know what information you have </li></ul><ul><li>Know where it is </li></ul><ul><li>Know that it is current </li></ul><ul><li>Know that it is secure </li></ul><ul><li>Know that it can be accessed quickly </li></ul>
  8. 8. Regulatory Compliance <ul><li>Freedom of Information Act 2002 </li></ul><ul><ul><li>Single source of truth </li></ul></ul><ul><ul><li>Automated process </li></ul></ul><ul><li>Data Protection Act 1998 </li></ul><ul><ul><li>Single source of truth </li></ul></ul><ul><ul><li>Information lifecycle management </li></ul></ul><ul><li>Electronic Social Care Record (eSCR) </li></ul><ul><ul><li>Interim hybrid folders </li></ul></ul><ul><ul><li>Interoperability </li></ul></ul><ul><ul><li>Underpins client index system (line of business system) </li></ul></ul><ul><li>Evidential Weight of Electronic Information (PD0008) </li></ul><ul><ul><li>Full audit </li></ul></ul><ul><ul><li>Process must be compliant </li></ul></ul>
  9. 9. Wisdom (standalone) <ul><li>Electronic Document Management </li></ul><ul><li>Electronic Record Management </li></ul><ul><li>Physical Asset Management </li></ul><ul><li>Business Process Management </li></ul><ul><li>Image Capture </li></ul><ul><li>Packaged Compliance Modules </li></ul><ul><li>Integration Hub </li></ul>
  10. 10. Wisdom & Microsoft (2006)
  11. 11. Wisdom & SharePoint 2003 Wisdom WebPart within SharePoint, which is displaying Records and which has underlying workflow
  12. 12. Wisdom & Microsoft (2007) <ul><li>Microsoft has a history of making Diagonal Solutions’ work easier: </li></ul><ul><ul><li>Operating system Windows </li></ul></ul><ul><ul><li>Development tools Visual Studio </li></ul></ul><ul><ul><li>Application server .net </li></ul></ul><ul><ul><li>Portal SharePoint </li></ul></ul><ul><ul><li>Workflow Windows Workflow Foundation </li></ul></ul><ul><ul><li>Record Management MOSS 2007 </li></ul></ul>
  13. 13. Wisdom & Microsoft (2007) <ul><li>Microsoft’s partners take the generic technology and: </li></ul><ul><ul><li>Localise </li></ul></ul><ul><ul><li>Verticalise </li></ul></ul><ul><ul><li>Customise </li></ul></ul><ul><ul><li>Enhance </li></ul></ul><ul><ul><li>Deliver! </li></ul></ul>
  14. 14. Wisdom BPM
  15. 15. Case Study <ul><li>South Holland District Council </li></ul><ul><ul><li>Provides services to 80,000 citizens in 47 towns and villages in Lincolnshire </li></ul></ul><ul><ul><li>Needed to improve accuracy of performance statistics submitted to determine Best Value Performance Indicator ratings (BVPI) </li></ul></ul><ul><ul><li>Failure to meet targets would mean financial penalties that could affect thousands of citizens </li></ul></ul><ul><ul><li>System in use was a manual, paper-based process that was labour-intensive and difficult to collate data </li></ul></ul><ul><ul><li>Needed to implement an integrated information management framework based on records management, BPM and business intelligence </li></ul></ul>
  16. 16. The Challenge <ul><li>Provide 400 services through website </li></ul><ul><ul><li>Own services </li></ul></ul><ul><ul><li>Links to County Council services </li></ul></ul><ul><ul><li>Links to private sector services </li></ul></ul><ul><li>New products must integrate with existing technologies </li></ul><ul><li>Need sustainable products from a stable supplier with a track record </li></ul>
  17. 17. The Solution <ul><li>Diagonal assisted in the formulation of an ‘e’-strategy to compliment the business strategy </li></ul><ul><li>Implementation of case, document and record management </li></ul><ul><ul><li>SharePoint Portal Server </li></ul></ul><ul><ul><li>BizTalk Server </li></ul></ul><ul><ul><li>Wisdom EDRM </li></ul></ul><ul><ul><li>Wisdom BPM </li></ul></ul><ul><ul><li>Wisdom Imaging </li></ul></ul>
  18. 18. Wisdom Workflow + MS Live Communication Server + ADFS MS Content Management Server + MS Business Scorecard Manager Wisdom EDRM + MS SharePoint Portal Server Wisdom Workflow + Wisdom Imaging Enterprise Content Strategy Document & Information Management Process Automation & Workflow Communication & Collaboration Monitoring & Reporting
  19. 19. The Outcome <ul><li>A reduction of over 25% in time taken to respond to customer enquiries </li></ul><ul><li>A cost saving of over £1,500 per member of staff in time taken searching for information </li></ul><ul><li>An increased BVPI (Business Value Performance Indicator) rating due to increased electronic service delivery </li></ul>
  20. 20. Next steps <ul><li>To enable management to effectively monitor overall performance in real time and drill down to identify issues affecting performance by providing business intelligence tools </li></ul><ul><li>To limit uncontrolled e-mail distribution of confidential reports by providing rights management in the central document repository </li></ul><ul><li>To reduce the time and costs of generating reports by centralising information and automating workflow </li></ul>
  21. 21. The future… <ul><li>Currently coming to the end of the Office 2007 TAP (technology adoption programme) </li></ul><ul><li>Analysed benefits of and going to implement: </li></ul><ul><ul><li>Office 2007 </li></ul></ul><ul><ul><li>MOSS 2007 </li></ul></ul><ul><ul><li>Excel Server 2007 </li></ul></ul><ul><ul><li>Infopath 2007 </li></ul></ul><ul><ul><li>SQL Server 2005 Analysis Services </li></ul></ul>
  22. 22. Closing advice <ul><li>Organisations are drowning in advice, guidelines, recommendations and legislation </li></ul><ul><li>Bottom line is ‘managing ALL your information’ – emails, documents and images – as one </li></ul><ul><li>Provide an information management platform that will underpin all compliance needs, not just a specific requirement </li></ul><ul><li>Derive efficiency improvements through system integration – not replacement </li></ul>
  23. 23. Any Questions?