From MER Conference 2012 Speakers: Christine Burns and Carol Stainbrook This session explains "why" your organization's technology selections impact "how" the updated retention schedules described in part one of this two-part session can be applied to electronically stored information (ESI). Learn reasonable and actionable approaches for embedding retention policies into e-mail, file shares and enterprise applications. This session will address: - Why "perfection" is often impractical, when it comes to applying retention policy to ESI and some reasonable alternatives to perfection. - How the technologies for email, file shares, and other ESI affect the implementation of retention policies. - When it may be necessary to choose different retention strategies for different technologies such e-mail, file shares and enterprise applications. - Considerations for applying retention policy to data in enterprise applications. - Criteria to help prioritize where to begin when applying retention policy. In this session you will learn how to tailor your organization's approach to retention schedules so they are reasonable, actionable and result in the orderly destruction of eligible information, given your organization's technology selections.

1. Cohasset Associates, Inc.
NOTES
Retention & ESI
Paths to Success
Part Two
Carol Stainbrook & Christine M. Burns
May 7, 2012 1
Applying Retention to ESI Using
Semi-Automated & Automated Tools
Devise a Plan Based on Reasonableness
Exploit Capabilities of Your Tools
Creation Date
Event Date
E D
Versioning
Retention Strategy for Different System
Types
Be Responsible & Avoid Paralysis
© 2012 May 7, 2012 2
Retention & ESI
Paths to Success
Think Strategically
Learn Capabilities
Act Reasonably
© 2012 May 7, 2012 3
2012 Managing Electronic Records Conference 7.1

2. Cohasset Associates, Inc.
NOTES
All Information is Not Equal
Official
Business
Record Information
that Matters
Core Support
Internal
Non-Regulated Info
Information
that Clutters
Drafts, Duplications, Transient
Information & Non-Records
© 2012 May 7, 2012 4
Compilation of Metrics for Large Clients
Network Storage Growth Rate = 60%
2012 2013 2014 2015 2016 2017 2018
© 2012 May 7, 2012 5
Centralized control Decentralized control
Probably not Web2.0 Probably Web2.0
IT driven Friendly, user-driven
Friendly user driven
Corporate development Peer collaboration
Collaborative structure
Controlled structure
Engaging
Transactional
Connect & collaborate
Execute Social backbone & oh, by the
Information backbone way, it contains
“R”ecords, “r”ecords &
information
© 2012 May 7, 2012 6
2012 Managing Electronic Records Conference 7.2

3. Cohasset Associates, Inc.
NOTES
Understand Capabilities of Your Tools
Examples of Metadata Examples of Examples of
Used for Triggers Aggregations Actions
Date Closed Category Archive
Date Created
Folder Destroy
Date Declared
Date Last Accessed Record Export
Date Last Modified Document Sets Transfer
Date Last Retrieved Volume Inactive
Major/Minor Version Status
Review
Status
Workflow Trigger
Wrapped in Workflow
© 2012 May 7, 2012 7
Understand Capabilities of Your Tools
Metadata Period Then Take Action
Metadata Period Then Take Action
Metadata Period Then Take Action
Metadata Period Then Take Action
© 2012 May 7, 2012 8
Understand Capabilities of Your Tools
Metadata Period Then Take Action
Annual Aggregation or “Cut Off”
Metadata Period Then Take Action
Metadata Period Then Take Action
Metadata Period Then Take Action
© 2012 May 7, 2012 9
2012 Managing Electronic Records Conference 7.3

4. Cohasset Associates, Inc.
NOTES
Act Reasonably
Minimize manual entry of metadata
Capture through workflow, etc.
For retention management, rely on
existing metadata, when practical
metadata
Simplify Security
Proactively apply Holds
Streamline disposition
Replace “Review & Approve” with “Notify”
© 2012 May 7, 2012 10
Act Reasonably
Official
Be Precise
Business
Record Information
that Matters
Core Support Be Careful
Internal Focus on
Non-Regulated Info Delete
Information
that Clutters
Drafts, Duplications, Transient
Information & Non-Records Delete ASAP!
© 2012 May 7, 2012 11
Retention & ESI
Paths to Success
Exploit Capabilities of Your
Tools
© 2012 May 7, 2012 12
2012 Managing Electronic Records Conference 7.4

5. Cohasset Associates, Inc.
NOTES
Consider Change “Until Tax
Audit” or “Exam”
Alternatives to:
Before Using
XX Years = Typical
“Conditional” Tax Settlement
Retention /Exam Cycle
Periods:
Accounting Use Records Holds
for Exceptions
© 2012 May 7, 2012 13
Create Date 10 Years Then Delete
© 2012 May 7, 2012 14
Create Date 10 Years Then Delete
Annual Aggregation or “Cut Off”
© 2012 May 7, 2012 15
2012 Managing Electronic Records Conference 7.5

6. Cohasset Associates, Inc.
NOTES
Create Date 2 Years Then Archive
Annual Aggregation or “Cut Off”
“To Be
Archive Date 8 Years Then
Deleted”
“To Be
30 Days Then Delete
Deleted”
© 2012 May 7, 2012 16
Create Date 9 Months Then Delete Drafts
Create Date 2 Years Then Archive
Annual Aggregation or “Cut Off”
“To Be
Archive Date 8 Years Then
Deleted”
“To Be
30 Days Then Delete
Deleted”
© 2012 May 7, 2012 17
Date Last
6 Months Then Delete Drafts
Modified
Create Date 2 Years Then Archive
Annual Aggregation or “Cut Off”
Archive Date
A hi D t 8Y
Years
“To Be
Then
Deleted”
Fixed Date 12/31/2015
“To Be
30 Days Then Delete
Deleted”
© 2012 May 7, 2012 18
2012 Managing Electronic Records Conference 7.6

7. Cohasset Associates, Inc.
NOTES
Separate Projects
by
Consider Metadata, Librarie
Alternatives s, Folders...
Before Using
Change “Project
“Conditional”
Completion
Completion” to:
Retention
Periods: Last Action for
Projects Specific Project’s
Library or Folder
© 2012 May 7, 2012 19
“Case Files”
Characteristics of a “Case We think in terms of
File” “folders” holding “Case
Accumulates records and Files”
information over time But, what is a “folder”?
Information is “put
“Folder”
Folder
together” either logically or
physically Library
Nearly always requires an Metadata
“event-based” retention
period
© 2012 May 7, 2012 20
Enter Event Manual or Automatically
Data Fed by an Upstream System
Event Date 2 Years Then Archive
“To Be
Archive Date 8 Years Then
Deleted
Deleted”
“To Be
30 Days Then Delete
Deleted”
© 2012 May 7, 2012 21
2012 Managing Electronic Records Conference 7.7

8. Cohasset Associates, Inc.
NOTES
Last Content
2 Years Then Archive
Modify Date
“To Be
Archive Date 8 Years Then
Deleted
Deleted”
“To Be
30 Days Then Delete
Deleted”
© 2012 May 7, 2012 22
Longest
Consider Employment
Period?
Alternatives
Before Using
Change
“Conditional”
“Termination” to:
Termination
Retention
Periods: 50 Years (Longest
Payroll Employment + 7-
10 Year Period)
© 2012 May 7, 2012 23
Eliminate the Event Date
Termination of Employment+ 10 Years
Longest employment period is 40 Years
Implement retention as “50 Years”
Create Date 2 Years Then Archive
“To Be
Archive Date 48 Years Then
Deleted”
“To Be
30 Days Then Delete
Deleted”
© 2012 May 7, 2012 24
2012 Managing Electronic Records Conference 7.8

9. Cohasset Associates, Inc.
NOTES
Establish 3-Year
Consider P&P Review
Process
Alternatives
Before Using
Change “Until
“Conditional”
Updated
Updated” to:
Retention
Periods: 10 Years (3-Year
P&Ps Review + 7 Year
Period)
© 2012 May 7, 2012 25
Eliminate the Event Date
Obsolescence + 7 Years
Establish 3 year review cycle
Implement retention as “10 Years”
Kick-Off
Ki k Off
Create Date 3 Years Then
Review WF
3 Years +
Create Date Then Archive
6 Months
“To Be
Archive Date 48 Years Then
Deleted”
“To Be
30 Days Then Delete
Deleted”
© 2012 May 7, 2012 26
Use Versions to Manage Event
Obsolescence + 7 Years
Establish 3 year review cycle
Implement retention as “10 Years”
Date Last Auto Declare &
6 Months Then
Modified Delete Drafts
Kick-Off
Date Declared 3 Years Then
Review WF
Delete Prior
Date Declared 7 Years Then
Versions
© 2012 May 7, 2012 27
2012 Managing Electronic Records Conference 7.9

10. Cohasset Associates, Inc.
NOTES
Consider
Alternatives
Before Using
“Conditional”
Retention Official
Periods: Business
Record
Information
Information
that Matters
Core Support
that Clutters
Focus on Internal
Delete Non-Regulated Info
Information
Delete Drafts, Duplications, Transient that Clutters
ASAP! Information & Non-Records
© 2012 May 7, 2012 28
Non-Regulated Internal Operating
Information with Event-based Retention
Examples
Maximum of X Years after [Event]
While Useful for Internal Operations
Collaborate with users
Accept imprecision of creation-date retention
A ti i i f ti d t t ti
Creatively use existing metadata
Date Last Viewed
Status or “user rating” of information
Set a maximum period, using a date field that is
always populated
© 2012 May 7, 2012 29
Retention & ESI
Paths to Success
Collapse Retention Periods
© 2012 May 7, 2012 30
2012 Managing Electronic Records Conference 7.10

11. Cohasset Associates, Inc.
NOTES
Option 1: Select the
Longest Retention Period
Product
Marketing
(10 Years)
Brand
Corporate
Management
Granting
& Outreach
(7 Years)
(5 Years)
Collaboration
Site
10 Years
© 2012 May 7, 2012 31
Option 2: Select a Few
Retention Periods
3 Years
(General)
<1 Year 7 Years
(Transitory) (Regulated)
E-Mail
Archive E-Mail > 7 Years:
3 & 7 Years Other Repository
© 2012 May 7, 2012 32
Option 2: Select a Few
Retention Periods
7 Years (General Accounting)
Disposition+7 Years
Max+7 Years (Financial Planning)
(Assets, Investments, Obligations)
Enterprise
Application
Permanent (GAAP Annual
2 Years (Internal Controls)
7 Years, Statements)
Disp+7 Years &
Permanent
© 2012 May 7, 2012 33
2012 Managing Electronic Records Conference 7.11

12. Cohasset Associates, Inc.
NOTES
Retention & ESI
Paths to Success
Be Responsible & Avoid
Paralysis
© 2012 May 7, 2012 34
RM Tools
Technology High
Manual Labor Low
Resource Controls &
Requirements Results
© 2012 May 7, 2012 35
The 2011/2012 ESI Survey Says….
Does your organization use fully automated, semi-automated or
completely manual processes when deleting info that is stored in:
Paper
Email
Email Archives
Voice Mail
Network Files
Desktop Fil
D k Files Completely Manual
Mobile Devices Semi-Automated
Collaborative Tools Fully Automated
EDM/ECM/Imaging
App Data
Data in the Cloud
Social Networking
© 2012 May 7, 2012 36
2012 Managing Electronic Records Conference 7.12

13. Cohasset Associates, Inc.
NOTES
The 2011 ERM Survey Says….
How effectively are retention schedules applied
and eligible information destroyed when stored in:
Paper
Email
Email Archives
Voice Mail
Network Files Marginal
Desktop Fil
D k Files Fair
Mobile Devices Good
Collaborative Tools Great
EDM/ECM/Imaging
Excellent
App Data
Data in the Cloud
Social Networking
© 2012 May 7, 2012 37
The 2011/2012 ESI Survey Says….
Combination of both charts on the
deletion of eligible information, when stored in:
Paper
Completely Manual
Email Semi-Automated
Email Archives Fully Automated
Voice Mail
Network Files
Desktop Files
Marginal
Mobile Devices
Fair
Collaborative Tools
Good
EDM/ECM/Imaging
Great
App Data
Excellent
Data in the Cloud
Social Networking
0% 20% 40% 60% 80% 100%
© 2012 May 7, 2012 38
Start a Continuous Improvement
Program for Records Management
Define a continuous improvement Records management is:
process A compliance program
Chip away at the barriers A risk mitigation program
Do what is reasonable A series of processes
Do not become paralyzed by the
Records management is not a
fear of imperfection
p
project
Doing nothing is not an option
Projects may be
Consider resources and prioritize
undertaken, but the program
retention implementation
is not merely a series of
New or replacement systems
projects
Regulated or long-term
recordkeeping systems Records management cannot
Loop back and improve processes be cost-justified considering
using new resources, as they are storage, alone
available
© 2012 May 7, 2012 39
2012 Managing Electronic Records Conference 7.13

14. Cohasset Associates, Inc.
NOTES
Achieve the Right Mix of
Great and Good Enough
Understand
organizational barriers
Engage stakeholders
Focus on risk and value
Choose a path f the
Ch h for h
journey
Commit to the journey
© 2012 May 7, 2012 40
Q&A
© 2012 May 7, 2012 41
Retention & ESI
Paths to Success
Part Two
Carol Stainbrook & Christine M. Burns
May 7, 2012 42
2012 Managing Electronic Records Conference 7.14