| Establishing a solid records management program is a | | | | data that is not pertinent to their businesses. Purging |
| challenge for any organization. Just like the planning of | | | | promotes efficiency, while simplifying searches for |
| a new college campus or the revitalization of an | | | | information. |
| existing city center, it has to be planned carefully from | | | | Vijay Magon, Technical Director for OITUK, Optical |
| start to finish. All organizations benefit from consistent, | | | | Image Technology's partner in the United Kingdom, |
| thorough, and well-maintained records, but records | | | | states, "Timely purging of materials in accordance with |
| management is rarely given priority status. Most | | | | retention schedules is a vital part of compliance. |
| organizations focus on "the next thing" that will take | | | | Companies need to demonstrate that they have a |
| their business forward, without spending enough time | | | | policy and system in place that results in purging the |
| on creating, completing, updating, maintaining, protecting, | | | | right materials at the right time. Technology makes it |
| and even purging or destroying their records at the | | | | much easier to monitor and enforce these policies, |
| appropriate times. | | | | while providing a clear audit trail of access and activity. |
| Humans are notorious for being motivated when there | | | | Without this proof, companies place themselves at |
| is a sense of urgency to act. Many of us can identify | | | | considerable and unnecessary risk." |
| with the need to diet or eat properly, but we first take | | | | Solutions to Document and Record Management |
| action when we realize in a panic that our clothes no | | | | Challenges |
| longer fit. We study like we should when there is a | | | | There are many components to a complete record |
| fear we might not get into the college of our choice, or | | | | management solution. Once a solid policy has been |
| might have to repeat a class. Unfortunately, few | | | | established, there are several powerful tools that can |
| people do what they should do without an external | | | | make management of the document and record |
| motivation. Regulatory compliance, and the fear of | | | | lifecycle considerably easier. Automated workflow |
| litigation that accompanies it, have provided the | | | | (during the business lifecycle of a document), email |
| necessity for records management to move up the | | | | management, a hierarchical storage management |
| organizational priority list for many businesses. Factors | | | | product (to manage document retention and audits), |
| for establishing a successful policy are outlined below, | | | | and Web services are important components of a |
| along with software considerations to make | | | | thorough solution. The role of each component in a |
| implementation easier. | | | | records management program is explained below. |
| Communicating the Need for A Records Management | | | | The Role of Automated Workflow during the Record |
| Policy | | | | Lifecycle |
| The key to a successful records management | | | | Digital workflow is the key to effectively managing, |
| program is a well thought-out records management | | | | monitoring, and auditing each of the steps involved in |
| policy that is accompanied by consistent records | | | | every business process that is related to a document |
| management processes. A clear policy establishes | | | | or record. Automated workflow facilitates a record |
| rules that inform staff what to create, manage, purge, | | | | manager's need to monitor document access and |
| and destroy, and helps record managers, as well as | | | | processes relating to those documents. If a court order |
| the agencies with whose rules they must comply, to | | | | arises, a company may be required to provide access |
| know when infringements have occurred. | | | | to the records or show who viewed, altered, or |
| It is imperative to keep in mind, however, that | | | | forwarded a document or any other action related to |
| automation is not a substitute for a policy. If you are still | | | | it. An automated workflow product with robust |
| working from paper records, automation will not solve | | | | reporting tools makes this process faster, easier, and |
| your problems, nor will it improve upon the inherent | | | | considerably less time consuming and less expensive. |
| weaknesses in the policy. The need for compliance is | | | | Electronic workflow can be configured to demand the |
| true whether records are stored electronically or are | | | | level of consistency and thoroughness that a |
| still on paper. A sound policy sets clear expectations | | | | recordkeeping department requires, and robust |
| for records management, and helps staff to follow | | | | reporting tools to prove that the system and workers |
| procedural expectations consistently. | | | | are following the expectations and rules set forth in the |
| As stated by Steve Weissman, Senior Analyst and | | | | policy guidelines. |
| Director of Marketing from Art Plus Technology, | | | | Leading electronic workflow products on the market |
| "Simply automating your records management | | | | today can integrate thoroughly with diverse |
| program often results in automating the existing chaos. | | | | line-of-business software applications. This maximizes |
| By failing to set up a plan for the creation, | | | | the value of data that is stored in those applications |
| management, and purging of data, companies are at | | | | and enables data to be shared appropriately across |
| risk of simply getting into trouble more quickly. Although | | | | the enterprise based on the company's pre-set rules. |
| managers may aim to prove compliance, their lack of | | | | Digital workflow pushes the right documents and data |
| a policy may actually demonstrate expediently that | | | | to the correct parties for timely action, dramatically |
| they have not complied. This spells unwanted trouble | | | | improving efficiency. Updates in the database relating |
| for those organizations that could have been avoided | | | | to a policy or application can automatically send an |
| if they had established a solid policy from the start." | | | | alert for action, or generate an appropriate call or letter. |
| Even the act of creating a policy can help with | | | | Workflow reporting tools enable all transactions to be |
| legislation, in particular Sarbanes-Oxley compliance, | | | | monitored and analyzed in formats that suit the |
| because it demonstrates that an organization has | | | | business and simplify compliance with auditors. These |
| made sincere efforts to ensure compliance and | | | | same tools provide managers with productivity |
| implement internal controls. If your organization has not | | | | analysis, clear audit trails, and information that enables |
| felt the urgency to create and communicate a clear | | | | continual quality improvement in the processes that |
| records management policy, the records manager | | | | relate to a company's documents. During the business |
| should elevate the importance of compliance and the | | | | lifecycle, the value of digital workflow in aiding |
| undesirable consequences of compliance failure. This | | | | compliance and assisting organizational efficiency can |
| can serve as a motivating tool to implement a plan | | | | not be overstated. |
| from which your company will benefit on multiple levels. | | | | A solution provider with automated workflow should |
| The policy will give management the tools they need | | | | have a product with tools to customize workflows to |
| to effectively oversee one of the most critical assets | | | | the needs of the business, tracking tools to show |
| a company owns: its collective corporate records. | | | | where documents are within a process, and reporting |
| Review: Defining a Record and its Lifecycle | | | | and auditing tools to help facilitate compliance. The |
| The ISO (International Organization of Standardization) | | | | software should be scalable to grow with your |
| defines records as "information created, received, and | | | | organization, and should integrate with other line of |
| maintained as evidence and information by an | | | | business software to provide maximum benefit from |
| organization or person, in pursuance of legal obligations | | | | the investment. Organizations with limited IT staff and |
| or in the transaction of business". The form of a | | | | resources should ask their vendor about the availability |
| record can vary from a paper document to an email, | | | | of professional services to help them design, configure, |
| voicemail, fax, image, or notes about the documents. | | | | and make potential changes the system to fit their |
| Each record should have important information, or | | | | changing needs. |
| metadata, about the record that accompanies it. Who | | | | Email Management Tools to Promote Efficiency and |
| created the record? Where will it be stored? Who is | | | | Compliance |
| allowed to access it? How long must it be stored? | | | | Emails are similar to other corporate records because |
| When should the record be purged from the files? | | | | they hold content relating to a company's business. A |
| When should it be disposed of or destroyed? | | | | large majority of companies' emails have valuable |
| During the first and shortest part of the record cycle, | | | | business content, as well as information regarding how |
| an organization is typically concerned with managing an | | | | decisions were made. Industry statistics suggest that |
| active document and its contents, including who has | | | | 60 to 70% of corporate communications are housed |
| accessed, viewed, annotated, or otherwise taken | | | | within emails, and sometimes more. |
| action on the material. The remainder of the lifecycle is | | | | Effective management of email messages is a critical |
| focused on record storage (records that are | | | | piece of proper records management, since they often |
| temporarily or permanently inactive), controlled access, | | | | store important corporate information and |
| maintenance, purging, and disposal. | | | | communications. As Steve Weissman states, "A |
| Record Storage: Establishing A Clear Path for Easy | | | | record is a record, regardless of its source or its form. |
| Retrieval | | | | Whether the information is stored in a voicemail, fax, |
| The first step in records management is the effective | | | | document, image, or email, there is content, and it is a |
| classification of records and a storage system that | | | | record. Companies are wise to manage all types of |
| enables quick, easy, and secure retrieval of information | | | | records effectively and thoroughly." Email messages |
| when it is needed. Regardless of whether you employ | | | | should be stored in the company repository to enable |
| OCR, ICR, barcodes, or another method of capturing | | | | easy searching of their content, including the |
| your information, electronic storage of your documents, | | | | transmission information in the header and the |
| images, and historical records can make records | | | | metadata about the email. Many companies now store |
| management easier. However, it only works to its | | | | their emails in a corporate repository as a step toward |
| maximum potential if information is classified thoroughly | | | | compliance. If a court of law requires proof that email |
| and intelligently. | | | | messages were sent out or received on a particular |
| In a digital world, a clear indexing plan takes into | | | | topic or in a stated timeframe, the auditors will expect |
| consideration the diverse sets of people and | | | | data to prove facts unequivocally. The cost of |
| departments that need to locate records, and the | | | | providing the data an auditor requires may be irrelevant |
| terms by which they need to search for them. By | | | | to the governing agency, but disastrous for a business |
| taking the time to create a solid record classification or | | | | in cases where searching or complying proves to be |
| indexing plan, your staff, auditors, and regulatory | | | | difficult. |
| agencies will be better served, and you can reallocate | | | | While tracing who forwarded specific emails beyond |
| staff skills to more important tasks than searching for | | | | your company's direct email recipients is an enigmatic |
| records. | | | | challenge, your company needs to be able to prove |
| Recently, e-discovery has made it imperative for | | | | what was sent out, and to whom, if questions arise. |
| companies to be able to provide whatever information | | | | Without a searchable system, the tracking of such |
| is relevant to an issue during investigations and other | | | | data about emails becomes a labor-intensive, time |
| regulatory response projects that require specific data. | | | | consuming, and expensive process. Establishing clear |
| Legislation that was revised as recently as 2006, in | | | | and consistent rules for autoarchiving of emails |
| particular the rules of civil procedure, now give courts | | | | promotes greater efficiency and fewer errors, and |
| of law the power to demand data as evidence, | | | | makes compliance easier. |
| regardless of the cost to the companies that are | | | | An email management solution provider should include |
| required to provide it. Emails, text files, data stored on | | | | robust search tools that make true management of |
| PDAs and other devices, backup tapes, databases, | | | | this critical information easy. The software should be |
| videotapes, voice files, and other materials are all | | | | able to monitor email on multiple servers simultaneously, |
| subject to these regulations. A comprehensive and | | | | and run on any platform to allow easy integration with |
| efficient records management system with easy | | | | other current and future technologies. The solution |
| retrieval helps companies avoid the crippling problems | | | | should be scalable, to enable it to grow with your |
| that can arise from eDiscovery challenges. Companies | | | | company. The inclusion of blacklist and whitelist |
| with technology that enables electronic searching of | | | | capabilities helps record managers to facilitate |
| e-content and compliance with these demands have a | | | | management of incoming emails and provides the |
| significant advantage over those that do not. Those | | | | added benefit of dramatically improving efficiency. |
| that have implemented an efficient system to enable | | | | Hierarchical Storage Management Tools to Automate |
| easy e-discovery, coupled with a clear policy, have an | | | | Retention and Audits |
| indisputable edge in a court of law. | | | | A strong hierarchical storage management product |
| For the long term, companies should aim to create a | | | | removes the human component to managing a |
| corporate file plan, a single hierarchical structure for all | | | | document and information repository. This makes the |
| corporate records. This lofty objective is difficult to | | | | system more efficient and less prone to errors. |
| achieve, and can be accomplished more easily if done | | | | Retention schedules can be automated, with built-in |
| so gradually. By applying record retention policies at the | | | | alerts when a record needs to be purged. Vital |
| department level first, the foundation can be laid for | | | | information can be backed up routinely and |
| enterprise-wide success. | | | | automatically based on the rules you set in place. |
| Controlling and Auditing Access: Creating Clear | | | | A hierarchical storage management solution addresses |
| Guidelines | | | | the document-centered stipulations set forth in |
| The need to control who views, reads, annotates, and | | | | regulations and eliminates the human element in |
| acts upon documents during the active portion of a | | | | ensuring compliance. It includes retention schedules, |
| record's lifecycle was apparent long before regulatory | | | | audit trails, move and purge requirements, data |
| compliance was the buzz. In decades past, | | | | migration, and various other records management |
| organizational hierarchy, trust, and respect provided | | | | tools. It should allow for automated and regular |
| many of the rules related to who should access | | | | backups of data within pre-set rules that state the |
| materials. In today's world, those standards put | | | | hierarchy of data importance. When paired with other |
| organizations at risk if access is not properly controlled | | | | products in an integrated document management suite, |
| and monitored. With HIPAA, Sarbanes Oxley, SEC and | | | | your organization will be empowered with a solution |
| other regulations, it is no longer enough to rely on | | | | that not only addresses regulatory challenges, but also |
| respect and an arms-length handshake. | | | | provides the means to increase the control of content, |
| Easy and effective auditing of the policy is critical. | | | | reduce risks, and ensure document integrity. |
| Breaches of security can and do occur, but they can | | | | Web Services to Ensure Interoperability |
| be prevented easily in a digital solution that is | | | | Recently, Web services have gained increasing |
| configured to control who is authorized to take specific | | | | significance in records management. Since documents |
| actions. Equally important, the system should be | | | | and records concerning those documents often are |
| capable of providing thorough audit reports. If certain | | | | stored in and processed by diverse line of business |
| portions of a form should be accessible to everyone, | | | | applications, interoperability of systems is vital. Web |
| but specific portions require viewing or annotation | | | | services enable the systems to communicate with |
| restrictions, good document management software | | | | each other, ensuring that data stored in different |
| programs can address this need. If documents travel | | | | applications can be accessed and centralized for easy |
| through an automated workflow process during the | | | | reporting and analysis. They enable organizations to |
| active part of the record lifecycle, reporting tools can | | | | tap into multiple technologies within their familiar |
| provide the information needed to demonstrate | | | | applications. Data can be extracted from those |
| compliance with internal policies, as well as external | | | | applications behind the scenes, and as an additional |
| regulations. | | | | benefit, specific operations can be performed by tying |
| Record Maintenance | | | | Web services into workflow to push work behind the |
| Once a policy for records management is in place, | | | | scenes to those who need it. By configuring the |
| many of the maintenance challenges are eliminated. By | | | | system to automatically extract data or perform |
| establishing a clear plan for storage, indexing, and | | | | whatever is needed behind the scenes, efficiency is |
| access, the numerous actions that surround a record | | | | dramatically improved. In addition, compliance is made |
| during its lifecycle are easier to manage. If your | | | | much easier by the ability to pull emails from multiple |
| organization has moved beyond basic digital storage to | | | | sources and provide data about the emails that is |
| include automated workflow, there are multiple | | | | needed for analysis and audits. |
| benefits. Changes to documents or record updates to | | | | Summary |
| a policy or application can be configured to launch a | | | | Records management is a never ending process. It |
| routine process automatically, delivering a document | | | | helps to have a clear policy and effective tools that |
| with instructions for action, generating customized | | | | integrate with each other, both within each department |
| letters or calls based on data stored within a record, | | | | that holds records and even across the enterprise. |
| and much more. While the cost savings and increases | | | | Consider your existing policies before you begin, and |
| in efficiency are enough to encourage any savvy | | | | rectify weaknesses or inconsistencies so you |
| records manager to consider this carefully, the | | | | understand your needs completely before choosing a |
| reporting tools that help to monitor action and maintain | | | | solution provider. |
| compliance make it an important consideration. | | | | When evaluating vendors to contribute to a complete |
| Record Retention: Knowing When to Purge Records | | | | records management solution, make sure you also |
| from the System | | | | consider a workflow-driven document management |
| Since most records gradually lose their relevance to a | | | | solution that will integrate seamlessly and make it |
| company's current business over time, purging helps to | | | | easier for you to manage the business lifecycle of |
| reduce the plethora of irrelevant material through which | | | | your documents while they are still active. Don't wait |
| the staff has to search for pertinent data. Just as the | | | | for an emergency to give you a sense of urgency to |
| Statute of Limitations defines the maximum period that | | | | establish a strong records management program. With |
| one can wait before filing a lawsuit, record retention | | | | a solid plan, and tools that take advantage of |
| schedules guide the user to eliminate information that | | | | workflow, reporting, storage management, email |
| may no longer be relevant to a business from a legal | | | | management, and Web services interoperability, your |
| point of view. Purging appropriately (as soon as it is | | | | business should be able to manage records effectively |
| logical and permitted by law) keeps business data | | | | and you should reap tremendous gains in efficiency. |
| relevant and accessible, and removes what is no | | | | More importantly, you should be able to police your |
| longer needed. Workers are no longer distracted by | | | | records effectively so the real police don't have to. |