Enterprise Records Management to Meet Regulatory Guidelines

Simon Baumber Strategic Relationship Manager

Diagonal Solutions

Established 1968 Morse’s ECM Practice Based in Leeds Microsoft Gold Partner in 4 categories Focused on Integrated Information Management solutions for:

Compliance Risk Management Efficiency Improvement

ECM Capabilities

Document management Record management Physical asset management Data capture, recognition and processing Business process automation Collaboration Information publication (web, print and electronic) E-mail archiving

Documents and Records Documents

Information in draft form Team / individual ownership Can be based on a record

Records Organisation ownership Published information Proof of communication (including emails) In force policies Scanned images Information on which accountable decisions are based

Drivers for good record-keeping

“Negative” drivers Protection against:

Legal action Fines Reputation damage

Compliance to information legislation

Information security

“Positive” drivers Platform for cost savings Efficiency improvements Storage management

Wisdom Compliance

Console

Sarbanes Oxley

Fiscal accountability for Fiscal accountability for all US listed public all US listed public

companiescompanies

Basel II Basel II

Capital assessment Capital assessment and reporting standards and reporting standards

for global bankingfor global banking

EU AML directiveEU AML directive

Identification requirementsIdentification requirementsin order toin order to

“KYC and KYCB”“KYC and KYCB”

TNA, MoReq,TNA, MoReq,and DoD 5015.2and DoD 5015.2

National standards National standards for records managementfor records management

eSCReSCR

MiFIDMiFID

New laws relating toNew laws relating toinvestment servicesinvestment services

and activities and activities

Disclosure of personal Disclosure of personal informationinformation

Freedom of Freedom of Information ActInformation Act

Disclosure of recorded Disclosure of recorded informationinformation

Electronic storage of Electronic storage of service userservice user

structured and structured and unstructured data unstructured data

Data ProtectionData ProtectionActAct

Regulatory Compliance

Know what information you have Know where it is Know that it is current Know that it is secure Know that it can be accessed quickly

Regulatory Compliance Freedom of Information Act 2002

Single source of truth Automated process

Data Protection Act 1998 Single source of truth Information lifecycle management

Electronic Social Care Record (eSCR) Interim hybrid folders Interoperability Underpins client index system (line of business system)

Evidential Weight of Electronic Information (PD0008) Full audit Process must be compliant

Wisdom (standalone)

Electronic Document Management Electronic Record Management Physical Asset Management Business Process Management Image Capture Packaged Compliance Modules Integration Hub

Wisdom & Microsoft (2006)

Wisdom & SharePoint 2003

Wisdom WebPart within SharePoint, which is

displaying Records and which has underlying

workflow

Wisdom & Microsoft (2007)

Microsoft has a history of making Diagonal Solutions’ work easier: Operating system Windows Development tools Visual Studio Application server .net Portal SharePoint Workflow Windows Workflow Foundation Record Management MOSS 2007

Wisdom & Microsoft (2007)

Microsoft’s partners take the generic technology and: Localise Verticalise Customise Enhance Deliver!

Wisdom BPM

Case Study South Holland District Council

Provides services to 80,000 citizens in 47 towns and villages in Lincolnshire

Needed to improve accuracy of performance statistics submitted to determine Best Value Performance Indicator ratings (BVPI)

Failure to meet targets would mean financial penalties that could affect thousands of citizens

System in use was a manual, paper-based process that was labour-intensive and difficult to collate data

Needed to implement an integrated information management framework based on records management, BPM and business intelligence

The Challenge Provide 400 services through website

Own services Links to County Council services Links to private sector services

New products must integrate with existing technologies

Need sustainable products from a stable supplier with a track record

The Solution Diagonal assisted in the formulation of an

‘e’-strategy to compliment the business strategy

Implementation of case, document and record management SharePoint Portal Server BizTalk Server Wisdom EDRM Wisdom BPM Wisdom Imaging

WisdomWorkflow

+MS Live

CommunicationServer

+ADFS

MS ContentManagement

Server+

MS Business Scorecard Manager

Document & Document & Information Information

ManagementManagement

Process Process Automation & Automation &

WorkflowWorkflow

CommunicationCommunication & Collaboration& Collaboration

Monitoring & Monitoring & ReportingReporting

WisdomEDRM

+MS SharePointPortal Server

WisdomWorkflow

+WisdomImaging

Enterprise Content Strategy

The Outcome

A reduction of over 25% in time taken to respond to customer enquiries

A cost saving of over £1,500 per member of staff in time taken searching for information

An increased BVPI (Business Value Performance Indicator) rating due to increased electronic service delivery

Next steps

To enable management to effectively monitor overall performance in real time and drill down to identify issues affecting performance by providing business intelligence tools

To limit uncontrolled e-mail distribution of confidential reports by providing rights management in the central document repository

To reduce the time and costs of generating reports by centralising information and automating workflow

The future…

Currently coming to the end of the Office 2007 TAP (technology adoption programme)

Analysed benefits of and going to implement: Office 2007 MOSS 2007 Excel Server 2007 Infopath 2007 SQL Server 2005 Analysis Services

Closing advice

Organisations are drowning in advice, guidelines, recommendations and legislation

Bottom line is ‘managing ALL your information’ – emails, documents and images – as one

Provide an information management platform that will underpin all compliance needs, not just a specific requirement

Derive efficiency improvements through system integration – not replacement

Any Questions?