Managing Records Strategies That Work

Transcription

1 Autonomy an HP Company Managing Records Strategies That Work Bill Manago, CRM VP, Information Governance Solutions Copyright 2012 Autonomy Inc., an HP Company. All rights reserved. Other trademarks are registered trademarks and the properaes of their respecave owners.

2 Learning Objectives Upon completion of this session, participants will be able to: 1. Survey four classification strategies, including Auto-classification, highlighting the strengths and weaknesses of each strategy 2. Identify the role of the file plan and how it relates to retention schedules 3. Implement change management strategies to drive enterprise-wide employee compliance 4. Enable real, enterprise-wide, defensible deletion 5. Avoid both the most common and worst mistakes

3 Average s Per User Per Day Average Sent Average Received Source: Taneja Group

4 Increase in Size of Stores

5 Records Found Exclusively in Shipping Notifications Supplier Contracts Employee Vacation Request Expense Approvals Budget Approvals Project Approvals Internal Correspondence External Correspondence Requisitions Employee review Legal Opinions Filings 3 rd Party Subpoenas Quarterly Reviews Vendor Transmittals Contract Negotiations

6 Purchase Authorization Via

7 s May Contain Sensitive Data HR Records SensiAve Corporate Financial Data Trade Secrets Non Disclosure Documents Credit Card InformaAon PCI Health Care InformaAon HIPPA Customer PII Employee Data PII Intellectual Property

8 What Percentage of s are Business Records Transient 80% Working 15% Records 5%

9 Where To Store Records Where in ? server Users PST files archiving system SharePoint / other DMS Records management system Printed and stored Which will be your system(s) of record? Does this provide appropriate controls

10 Manage In Place Requirements Preserve original content? Apply access controls? Apply retention? Delete / Expunge?

11 The 5 Second Rule Employees will spend up to five seconds manually classifying documents If it takes longer, they will use the five seconds to subvert the classification system Some users comply, but overall policy compliance drops significantly when classification takes longer than five seconds

12 Bad Management Strategies Strategy Arbitrary mailbox size limit Aggressive 30/60/90 day deleaon Print and store paper copies Declaring there are no records in Save monthly backup tapes or servers Allow users to save whatever they want to PST files Allow users to save s anywhere, including MSG files on file shares Allow s to be stored on removable media, including USB drives Result Underground archiving, compliance failure Underground archiving Ever increasing storage costs, increased discovery costs, inability to preserve metadata, decreased search capability Compliance failure, e discovery nightmare Increased discovery costs, inability to meet regulatory requirements Over retenaon, increased costs, no assurance or defensibility of records compliance, decreased search capability Over retenaon, increased discovery costs, increased storage costs Over retenaon, privacy breaches, indefensible e discovery

14 4 D s Decision Making Model Delete It Do It Delegate It Defer It

15 Delete It Does the message relate to a meaningful objective you're currently working on? If not, you can probably delete it. Why keep information that doesn't relate to your job? Does the message contain information you can find elsewhere? If so, delete it. Does the message contain information that you will refer to within the next six months? If not, delete it. Does the message contain information that you're required to keep? If not, delete it.

16 Do It If you can't delete the messages, ask yourself: What specific acaon do I need to take? Can I do it in less than two minutes? If you can, just do it. There is no point in filing an or closing an if you can complete the associated task in less than two minutes. You can probably handle about one-third of your messages in less than two minutes

17 Delegate It If you can't delete it or do it in two minutes or less, can you forward the to an appropriate team member who can take care of the task? If you can delegate it (forward it to another team member to handle), do so right away. You should be able to compose and send the delegating message in about two minutes. After you have forwarded the message, delete the original message or move it into your reference system.

18 Defer It If you cannot delete it, do it in less than two minutes, or delegate it, the action required is something that only you can accomplish and that will take more than two minutes. Because this is your dedicated processing time, you need to defer it and deal with it after you are done processing your . You ll probably find that about 20 percent of your messages have to be deferred. There are two things you can do to defer a message: Turn it into an actionable task, or turn it into an appointment. When you're using Outlook, you can defer s that require action by dragging the messages to your Task List to turn them into tasks.

19 Practice the 4 D s Daily On average, people can process about 100 messages an hour. If you receive 40 to 100 messages per day, all you need is one hour of uninterrupted processing time to get through your Inbox. Statistics show that of the you receive 50 % can be deleted or filed 30% can be delegated or completed in less than 2 minutes. 20% can be deferred to your Task List or Calendar:.

21 Three Zone Approach

22 Zone 1 All s are automatically deleted from a user's personal inbox after a set time period unless the user marks the for further use. The common time period is 90 days, but the timeframe is organization definable. This keeps a user's inbox relatively small and current. The user takes no actions against the s that have no business value, including spam and junk mail that make it past the organization s filters. The user simple ignores those messages and they will automatically be deleted at the pre-set interval. The user may, at his own discretion, manually delete the messages at his own choosing. :.

23 Zone 2 The s in this zone have business value to the user, but are not records. Should the user choose to retain the messages longer than the 90 day pre-set period, then the user may drag and drop the messages into a Zone 2 folder in his mailbox. New content in the user s Zone 2 folder will be detected by the organization s archiving system. The new Zone 2 content will then be automatically captured and moved into the archive system for de-duplication and storage. The system could be configured to permit convenience copies of Zone 2 content to be left behind in the user s inbox. Convenience copies will also be automatically deleted after 90 days. :.

24 Zone 3 user drags and drops the messages that they judge to be organizational records into the Zone 3 folder for preservation. For manual classification, the user is prompted by the records management system to classify the message and/or attachments: Most top tier records management vendors provide auto-classification tools. Users need only to drag and drop Zone 3 messages into the Zone folder and the auto-classification software does the rest. s and attachments that are left behind in the Zone 3 folders may also be scheduled for automatic deletion after 90 days.

25 Advantages of Zone 3 s are managed appropriately according to content and function Spam and junk s are automatically deleted without requiring user intervention s that have business value will be set aside for archiving by the mailbox owner s that meet the organization s definition of a record will be automatically captured and classified using autoclassification tools

26 Advantages of Zone 3, continued Archived will be de-duplicated so that a single copy is retained [Zone 2] records will be de-duplicated so that a single copy is retained [Zone 3] Retention periods will be applied to all content Records management discipline will be applied to all content designated as records s will be deleted when they reach the end of their retention (unless a hold is applied).

27 Disadvantages of Zone 3 Relies upon the users to (1) identify and (2) drag and drop messages into the Zone 2 or Zone 3 folders Users may be required to use multiple search tools, each with a different user interface, to search for s. Users may be required to the use the search tools provided by the system to search for content in Zone 1. Users may be required to use the search tools provided by the archival system to search for Zone 2 content. And, finally, users may be required to use the search tools provided by the records management application to search for Zone 3 records.

29 Capstone Developed by NARA s are their own record category No classification of is needed All will be retained with one of two possible retentions applied. Permanent Temporary Monolithic retention applied to temporary mail 5 years 7 years 10 years

30 Capstone

31 Advantages of Capstone is retained systematically for a specified period Business as usual for users Meets retention requirements for monolithic period(s) Facilitates legal holds No training of auto-classification tools is required. Implementation will be completely transparent to users. Low cost to implement. Easiest management solution for both users and records administrators

32 Disadvantages of Capstone Developed by NARA s are their own record category No classification of is needed All will be retained with one of two possible retentions applied. Permanent Temporary Monolithic retention applied to temporary mail 5 years 7 years 10 years

34 Creating an File Plan Trash Working Documents up to 1 year retenaon Short Term Records 2 year retenaon Medium Term Records 5 year retenaon Long Term Records 10 year retenaon Indefinite Event driven retenaon

35 File Plan Considerations Identify which records to be retained exclusively in vs. other media Specify which function or organization will be record owner (vs. convenience copies) Determine any necessary role or function requirements Address country-specific privacy exceptions or customizations Segment go-forward vs. legacy data Create archiving and server system configuration settings Determine strategy for permanent and indefinite records

36 File Plan Advantages Users work with folders within Outlook, which are familiar and comfortable, filing as usual Results in immediate and sustained reduction in volume Accepted process, recommended by The Sedona Conference for legal defensibility Exceptions can be made for high-impact Executives for longer retention and initial hand-holding to setup folder structures and migrate legacy data

37 File Plan Disadvantages Requires RIM training, audit, & monitoring Places burden on employees to classify records to save them longer than a default period One Time Employee burden to classify Legacy One Time IT project to ingest PSTs into Archive

39 Modern Computers Can Process Data Read text files View video files Listen to audio files Index all Form a conceptual understanding of data

40 Facts About Auto ClassificaAon Facts ImplicaAons 1 2 Humans provide, at best, marginally better accuracy in executing classification, in controlled tests Business users find forced manually classification burdensome and at least 50% will not participate 1 2 Compliance professionals hold the incorrect assumption that humans are the best option for piece by piece decision-making Results of human-reliant filing are inconsistent and inaccurate, resulting in effective accuracy of 50%, at best 3 Every manual classification forced on your users will cost your organization 17 cents in productivity 3 Wide-spread adoption of archiving or records management in your organization will lead to large, measurable productivity loss 4 Unstructured content makes up 80% of the volume of information in the average enterprise and that segment is growing 30% annually 4 Deploying an archiving or records management initiative is increasingly important, large scale and difficult problem

41 Cri7cal Dimensions of Auto Classifica7on Manual Automated Accuracy: 50% 80 90% Cost (per doc): Consistency: $ 0.17 < $ 0.01 <50% 100%

42 Auto-Classification

43 Auto ClassificaAon Techniques Accurac y Consistent ParAcipaAon & Enforcement MulAple Methods Simple Rules Complex Policies Rules Based ClassificaAon Context Based ClassificaAon Authoring Templates Manual ClassificaAon Cost Savings ProducAvity

44 Auto-Classification Key word matching: Yes The bird? Yes The publishing company? Penguin Yes Yes The hockey team? Batman s nemesis?

45 Auto-Classification Meaning based Compu7ng Conceptual Understanding Yes The bird? No The publishing company? Penguin No No The hockey team? Batman s nemesis?

46 Auto-Classification

47 Training Auto-Classification Software 1. For each category, pick sample of exemplar documents 2. Have a human expert classify 3. Have system classify documents for training 4. Equally important to train non-record and transitory content 5. Have human correct misclassifications 6. Repeat training 7. Go after increasingly larger sets of documents in category 8. At certain point accuracy will not improve with additional training 9. Expect at least three rounds

48 Advantages of Auto-Classification No end user involvement New algorithms are improving reliability Higher rate of accuracy Higher rate of consistency Recent preliminary acceptance of automated review tools by courts may drive automated categorization acceptance in the future

49 Disadvantages of Auto-Classification Software is considered to be in the early adopter stage Users may not know where there records went Large initial Records Management Project Ongoing maintenance, training, and audit of the engine Deletion of unnecessary may/may not be required No case law, creating obstacle for counsel

50 Which Strategy Will Work Best In Your Organization? Copyright 2012 Autonomy Inc., an HP Company. All rights reserved. Other trademarks are registered trademarks and the properaes of their respecave owners.

51 Hybrid Solution Auto classifica7on

52 ARMA SESSION