AIIM16 presentation by: Maria Luisa Di Biagio, Information Management Expert and Beatriz Garcia Garrido, Information Management Expert, European Central Bank.

1. Implementing Automated
Retention at the European
Central Bank
Maria Luisa Di Biagio
Beatriz García Garrido

2. A Bit of Background
European Central Bank
1998 – Frankfurt am
Main (Germany)
2002 – Introduction of
the €uro
A knowledge
organization
At the heart of the
Eurosystem and the
Single Supervisory
Mechanism
Information is key to
prepare decisions and
perform our assigned
tasks

3. Who We Are, What We Do
Our goals:
• Ensure the systematic and efficient creation, management and retrieval of information
throughout its lifecycle
• Support collaboration and efficient access to timely and relevant information
• Ensure compliance with legal, accountability, and transparency rules
• Safeguard our institutional memory
Information
Management Services
Library Archives IM Solutions
IM Policies &
RM

4. DARWIN: Our EDRMS Since 2007
For the
users
Document
creation and
management
Collaboration
with other
users
Knowledge
pool
For the
institution
Institutional
memory
Accountability
&
transparency
Legal
compliance
Some numbers
+ 18000 users (ECB and
counterparts across Europe)
+ 8 million documents
~300 workflows
~300 communities
~500 blogs

5. Why Retention?
To keep only what we need
• As defined in the ECB Filing and Retention Plan
• And in order to…
– Ensure the information that needs to be kept is identified
and retained to serve current and future business needs
and for historical reasons
– Allow compliance with legal/regulatory requirements (e.g.
data protection)
– Ensure an effective management of information and
minimise the cost of retrieval and preservation

6. Automating Retention: Overview
2010 - Pilot
2012
Dedicated task
force
2013
Preparation and
Planning
2015
Retention
implementation

7. 2010 – Pilot
Aim
• Find out the effort of designing the retention schedules
• Understand how to apply them to the relevant information
• Test the process of managing the information throughout it’s lifecycle
Results
• Each retention schedule consisted of a very complex set of different stages
• There were a lot of schedules to be created
• Assigning the schedules to the information was going to be lengthy as the
classification was done at a very deep level
• Executing the disposition processes was going to require far more resources
than anticipated

8. 2012 – Task Force
Complexity of the ECB
Filing and Retention Plan
Lack of optimisation of
the technical solution
Step back and focus on the final goal
Retention
plan
Design
System

9. Old Retention Plan
Code Classes Scope notes Series Records lifecycle
Active stage Semi-active stage Inactive stage
1.1 Definition of the ECB’s institutional framework
1.1.1
Policy
framework
Involves policy issues relevant to the
ECB’s institutional framework.
Includes, inter alia, the regime for ECB
legal acts, statutes, mission
statements, appointments of Board
members and authority to sign. This
and any other official documentation
representing the basis of the ECB
accountability shall be filed as
separate series
Master files (kept in SEC) -
Signed original legal documents
to be preserved on paper
5 years T P
Local copies or convenience files
(kept in BAs others than SEC)
5 years T
D after
relevant master
file has been
transferred
Administrative files; notifications;
transmission letters
3 years D
Appointment of Board members 5 years T + 15 years D
Stages reflect paper moves
One classification but 4
retention schedules

10. Simplify Stages and Actions
- Reduce stages
- Appraisal after 15 years
(20 years and
Permanent)
- Reduce Permanent
No.
Years
Transfer
No.
Years
Destroy
No.
Years
Destroy
No.
Years
Transfer
No.
Years
Permanent
No.
Years
Transfer
No.
Years
Appraisal
Permanent

11. Reduce Retention Periods
In addition 1 and 2 years for
data protection

12. Class.
Code
Series Format Retention Trigger Point
Retention
Period
1.1
1.1.1.1
Master files (kept in SE/SEC) - Signed original
legal documents to be preserved on paper
Physical Permanent
1.1.1.2
Convenience files (kept in BAs others than
SE/SEC)
Digital
E - Date of termination of
the activity
5 years (D/SA)
1.1.1.3
Administrative files; notifications;
transmission letters
Digital
E - Date of termination of
the activity
5 years (D)
1.1.1.4 Appointment of Board members Digital E - End of contract period 20 years (D)
1.1.1.5 Official signatories Digital E - Repeal date 5 years (D)
1
Definition of the ECB’s institutional framework
1.1.1
Involves policy issues relevant to the ECB’s institutional framework. Includes, inter alia, the regime for ECB legal acts,
statutes, mission statements, appointments of Board members and authority to sign. This and any other official
documentation representing the basis of the ECB accountability shall be filed as separate series
Covers corporate governance subjects, such as the ECB legal and organisational structures, decision-making body
appointments, headquarters agreement and other issues of general interest to the whole ECB
Policy framework
Establishment of the ECB / Eurosystem / ESCB - Corporate governance
New Retention Plan
Trigger: Event-based or
Time-based
Authoritative format:
Physical or Digital
4th level with only one
retention period

13. Automating Retention: Overview
2010 – Pilot
2012
Dedicated task
force
2013
Preparation and
Planning
2015
Retention
implementation

14. 5 Focus Areas
Retention
approach
Business
processes
Roles &
responsibilities
Implementation
strategy
Communication

15. Retention Approach
• Records management classification
(retention plan series and retention
schedules) is applied to folders in
workspaces
• The system automatically performs
retention activities
• Reports for final disposition of
records are created for approval by
the business areas
• Evidence of final disposition is kept
permanently

16. User-driven
• Ongoing, no end date
• Declaration of individual
records as trigger
• Document based retention
• Automatic declaration 2
years after last editing
action
Time-based
activities
• Clear start & end date
• Declaration of folders as
trigger
• Folder based retention
• Manual declaration
Event-based
activities
Automated Retention Trigger

17. Business Processes
Definition of 18
retention
processes
Process description
Stakeholders & systems
Clear responsibilities

18. Process Example

19. Roles & Responsibilities
Project Board
• IM management
and staff
assigned to
project
• Discuss and
approve project
related decisions
Project Manager
• Oversee
implementation
and track
progress
• Ensure
consistency
Implementation
Teams
• 1 records
manager
• 1 archivist
• 2 nominated staff
from each
business unit
(Senior)
Management in
Business Areas
• Approve retention
periods on
workspaces
• Approve final
disposition of
records

20. Implementation Strategy
Pilot with 2
business areas
Jan 2015 –
1st group of
business areas
Gradual
implementation
in groups of
business areas
End 2016 –
implementation
completed

21. Implementation Phases
Explain
implementation
process
Present roles &
responsibilities
Agree timeline
Present
proposal of
retention
periods to be
assigned on
folders
Discuss & agree
on final
retention set-up
Approve
retention
periods to be
assigned on
folders
Adjust folder
structures &
retention plan
Assign approved
retention periods
on folders
Communicate
to end users in
business area
Activate
retention
functionalities
Carry out final
disposition of
records
Kick-off
meeting
Preparation Approval Implementation Activation

22. Communication
Executive Board
• Approval of retention
plan
• Validation of
approach for future
reviews
IM Advisory
Group
• Feedback during
preparation
• Information on
implementation
progress
(Senior)
Management
• Presentations prior
to start of
implementation
End Users
• Kick-off
meetings
• Go-live

23. Lessons Learned
Generous time allocation is needed
• Analysis of folder structures leading to retention proposal is time
consuming and requires maximum accuracy
Iterative approach
• Retention plan may need adjustments
• Review of folder structures is often needed
Adaptability and flexibility
• System upgrades may involve changes to the functionality
• Unexpected technical issues may delay process

24. Winning Factors
•To raise awareness on importance of retention
•To ensure end users’ engagement and availability during
implementation
Management
involvement
•Project manager overviewing whole implementation process
•Archivists ensuring consistency of retention periods across
business areas (e.g., retention of common activities)
Centralised control
during implementation
•9 years after EDRMS introduction
•Enforcement of standard approach for common activities (e.g.,
administration)
Improvement of folder
structures

25. Simplification of approval
process for final disposition
•Yearly approval of retention periods
on folders replacing approval of
detailed lists of records
Implement process for use
of “holds”
•Use of holds for litigation and few
other defined processes
Monitoring tools & reports
•Ensure timely closure of event-
triggered folders
•Check correctness of retention
periods on workspaces
Training framework on
retention management
•IM staff
•End users with IM responsibilities
New ECB banking
supervision tasks
•Update of retention plan
•High amount of documents and
data
•More regulated environment
What Is Planned

26. Future Challenges
Preservation of records with long term retention
•Project started
What about other content?
•Non captured emails, social media, other systems …
Can Big Data Analytics help in streamlining retention processes?
•Identify patterns in the use of documents …

27. Conclusions
Implementing automated
retention is a complex task
Integration of policy, systems,
people & processes is essential
Flexibility and readiness to
adjust to changing
requirements are at the basis
of a successful implementation
Communication &
management buy-in are key
factors

28. • Beatriz García Garrido
Information Management Expert
Email: Beatriz.Garcia@ecb.europa.eu
• Maria Luisa Di Biagio
Information Management Expert
Email: MariaLuisa.DiBiagio@ecb.europa.eu