Phil Brady Regulatory Projects Coordinator Department of Financial Institutions DFI Mediumsized agency180 employees Regulate a variety of financial institutions five divisions four substantive ID: 934437
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Slide1
A Strategic Game Plan for IG/ECM
Phil Brady
Regulatory Projects Coordinator
Department of Financial Institutions
Slide2DFI:Medium-sized agency--~180 employees
Regulate a variety of financial institutions, five divisions (four substantive)
Identified the need for records management early.We’re starting with IG, but with an eye to ECM.Partway down the path, but some lessons learned.
Introduction
Slide3These are my opinions, not my agency’s.
Intelligent, thoughtful people can disagree on all of this.
Caveat:
Slide4Information governance (IG): “specification of decision rights and an accountability framework to ensure appropriate behavior in the valuation, creation, storage, use, archiving, and deletion of information. It includes the processes roles and policies, standards and metrics that ensure the effective and efficient use of information in enabling an organization to achieve its goals.” (Gartner).
Enterprise Content Management (ECM): Powerful tools for managing unstructured data.
Definitions
Slide5Information governance: a plan or system that defines how we collect, store, retrieve, use, and disposition data and documents.
ECM: A tool we use to implement IG.
USEFUL Definitions
Slide6Chicken and the egg?IG as framework, ECM as implementation*.
*Just my opinion
IG vs. ECM
Slide7Get buy-in as early as possible.
Start small, and with projects that produce their own value, independent of IG/ECM adoption.
Enlist the aid of line employees in business units.
Produce demonstrable value for the business lines at each stage!
Basic Tips
Slide8Fix your agency’s retention schedule.
Reorganize your local files.
Get buy-in from the powers that be.Develop an information governance plan.
Pick an ECM product
Implement!
My Proposed Process
Slide9When we started:
125 Records Series
Stored five places~25 Archival series
1. Fix your Retention Schedule
Slide10After revision:
125
12 Records Series (13th added later for business need)Stored five places in one place.
~25
2 Archival series
1. Fix your Retention Schedule
Slide11Provides its own benefits, independent of IG/ECM.
Allows you to get a grasp of what records exist, and your functional units.
Identifies and builds on commonalities across business unitsANDDemonstrates you can provide value to line employees.
Why Fix Your Retention Schedule?
Slide12Shares, individual network drives, thumb drives, hard drives, etc.
Build a logical framework, based on records series and common retention triggers and periods.
2. Organize Your Files
Slide13Licensing Shared Drive
Open Regulated Entity Files
Closed Regulated Entity Files (DAN 12-12-68366, 6 years from closure) Regulated Entity #1Regulated Entity #2
Regulated Entity #3
…
Reports by Regulated Entities
(DAN 12-12-68367
, 6 years from receipt)
2014
Reports
Report #1 (January 8, 2014)
Report #2 (May 22, 2014)
…
2013 Reports
2012 Reports
…
What do I mean?
Slide14Provides its own benefits, independent of IG/ECM.Allows you to get
a
BETTER grasp of what records exist, and your functional units.Demonstrate the benefits of organization to line employees.
Start small, and work your way out.
Why Organize Local Drives?
Slide15Get an executive sponsor, as senior as you can get.
Identify the needed resources, and the order in which they’re needed.
Make a decision on retroactivity, based on risk analysis and appetite.We’re developing a document and talking points that can help with this.
3. Get Buy-in
Slide16Define:
How you receive information;
How you store it, and how long you store it for;How you retrieve it; andHow you disposition it.A place for every thing, and a thing for every place.My goal: any employee should be able to pick the plan up and quickly determine where to put a document, or where to find it.
4. Write the Information Governance Plan
Slide175. Pick Your Product
Gartner 2013
Lots of ECM products.
Different capabilities:
Workflow
Public-facing portal w/data categorization
Online data collection/imaging
Similarly different pricing.
May potentially have a few options available via master contract in the next year.
Slide18????
6. Implement!
Slide19Seriously, we don’t as a state know exactly what this looks like.
Bellevue can be a guide, but some of this we’ll have to figure out.
6. Implement!