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In this issue:
Dear Records Manager,
This month we've got a great follow-on piece to last month's feature article on RM Software. This latest piece, written by our own Dave Kucz, answers a question we are often asked: what is the difference between ECM and RM software?
We've also put together three of our most popular white papers from the last six issues of On Record. You can download them for free and make these valuable and informative resources part of your records management library!
We always interested in what our readers think, so if you have any feedback, please let us know!
Regards,
TAB
Enterprise Content Management vs. Records Management Software: What's the Difference?
By Dave Kucz
 Organizations are increasingly turning to software solutions to help them manage their records content, not only to improve information access, but also to help them with risk management, compliance and any potential discovery process. Vendors have rushed in to meet this new demand for software, and with so many companies pushing different solutions, there is bound to be some confusion. At TAB, our customers often ask what the difference between enterprise content management (ECM) and records management software (RMS) is, and which one is right for them.
The simple answer is both may be right for them, either rolled up into a single software offering or as two separate applications. The critical distinction here is whether or not the ECM solution suite and vendor fully understand the records management requirements and have addressed functionality in the particular module. Because this is often not the case, an alternative is to utilize the ECM solution for its original purpose and to select a separate RM solution for the records management component and expertise. In this scenario, it then becomes necessary to integrate the two solutions.
What Are We Talking About?
ECM software was developed as electronic content began to replace physical paper in business processes. The primary focus of ECM has been to provide productivity gains, streamline workflow and the routing of processes. ECM software also delivers key capabilities for versioning control and electronic signatures. However, some of these offerings still do not adequately address the management of physical records which still make up a large part of the content used in a business environment.
RM software is designed to manage the content, both physical and electronic, when it is deemed a record of the organization's business activities. The primary goal of RM software is to ensure the necessary controls are in place to manage the retention schedule for the remainder of the record's lifecycle, provide capabilities for retention rules to be changed as needed or added, and to apply legal holds to content when a discovery order is issued.
Issue: Functionality and Ease of Use
While most ECM software products have adopted an RM module to the overall suite, the RM component often has insufficient functionality. The fact is that many of the large-scale ECM suites are very complex to configure and deploy, and this complexity often prevents them from being put into practical use in terms of RM. Large investments are made in the software only to have it sit idle or remain in the hands of the internal IT teams as they determine how to deploy in specific business processes and applications.
Naturally, this same level of complexity often extends to the RM module offered by the ECM vendor. These modules can require extensive vendor intervention or programming to build retention rules around classification structures. This simply adds up to ongoing costs, as retention rules are constantly being updated or changing, not to mention a gap in your RM strategy if the module is simply idle.
The Answer: Co-existence and Integration
Because of these ease of use and functionality issues, many organizations have found that it is beneficial to select an RM solution that is separate from the existing ECM solution already in place. Each solution has certain core competencies and, if integrated properly, will truly deliver the best overall approach. A co-existence is made possible through integration and will deliver the best RM approach based on capabilities, simplicity, and vendor related knowledge of RM in general. It is worth noting that ECM connectors are frequently developed by the RM solution provider to support integration.
Why RMS Matters: Litigation and Discovery
To put the whole topic of litigation into context, take a look at the following statistic from the Enterprise Strategy Group, "47% of companies with 20,000 or more employees, and 56% of those with between 1000 and 4,999 employees, received document discovery orders in 2006".
RM software is designed in part to address discovery related orders through the use of a functionality called "legal holds". Legal holds allow an organization to identify content already classified in the RM software and temporarily override any retention rules applied until the litigation is completed and discovery orders are removed.
This functionality is key, since any content that would pertain in subject matter, date, etc to a discovery order must be produced by the organization. Content destroyed because it had been scheduled for it by retention rules would put the organization in jeopardy of not complying with the discovery order. When you consider the enormous costs of discovery, especially e-discovery, in both time and hours, it isn't hard to see that the ease in which RM software allows for designated individuals to place "legal holds" is a great asset.
RM software, in conjunction with a complete records management program that the organization follows on a consistent basis and audits periodically, forms the risk avoidance part of the equation. Litigation and discovery related orders often result in demonstrating weak or non-existent business practices related to the managing of an organizations business records. If there is no real substance to the lawsuit itself, opposing counsel may simply attack the lack of business practice, policies and procedures which may end up causing an organization to settle and therefore some monetary cost has been incurred.
Choices
So to get back to the question of what the difference between ECM and RMS is, and which one you should choose, the answer is simple: whether or not you choose an RM software solution that is part of an ECM suite, or a stand alone solution, you want the one that most effectively addresses your RM goals.
As we've discussed, the problem with ECM solutions when it comes to records management is that the RM modules often get lost in the shuffle of actually deploying the ECM program, and even when the ECM solution works, there are residual issues of ease of use and functionality which can greatly compromise your ability to realize your RM goals.
The example given of how RM software can help with litigation and discovery issues makes a further, perhaps an even more critical point. For your RM software solution to be maximally effective, it has to be properly tied in to your records management program, most notably your classification and retention rules. Because ECM providers simply do not have the knowledge of records management necessary to do this, the best choice you can make is an RM solution with a provider that knows how to make it work with your RM program.
TAB Can Help
At TAB, we can help you get the right RM software in place, whether you have an existing ECM solution or not. Our comprehensive knowledge of records management and its application to RM software tools gives us a tremendous advantage over a company that only sells software without understanding records management. We take a holistic approach, looking at your entire records situation, paper and electronic, before determine how any software will fit into the organization. We look what your business issues are, which workflows need to be solved, and then customize a solution to fit your organization's requirements.
Dave Kucz is Director Technology Solutions for TAB, and has worked in the Records Management industry for almost three decades. Dave has extensive experience in the areas of document management software, document conversion services and other records management related software. He has held positions in product management and product marketing and was a partner in a document conversion services company.
If you would like to know about how TAB can help you be more efficient by deploying RM Software, please contact us.
Three White Papers for Your RM Library
 How to Optimize Your RM Program with Color Coding
Color Coding was originally designed to help computer programmers organize the huge volume of punch cards they needed to make their systems run. Forty years later, punch cards are history, but color-coded filing techniques remain an integral part of any records management program. Why? Color coding improves the reliability of business information by making it easier to locate a given file on the shelf and proactively addressing the risk of misfiles. It's a simple principle, but the benefits of efficient, accurate information retrieval can extend to a sophisticated array of business needs and situations. After all, effective records retrieval is as much about risk management and legal compliance as it is about everyday convenience.
To find out how color-coding can help you get the most out of your organization's record management, download our FREE white paper here.
 Planning a Document Conversion
Moving to an electronic records system can provide tremendous value to any organization, but it has to be planned and executed perfectly if you are to fully realize this value. The conversion process is filled with challenges, and getting the right resources in place before, during and after is critical. If it isn't done right, your vital information and business operations can be adversely affected. This white paper outlines some of the steps you'll need to take in order to successfully plan and execute your document conversion. Because the resources and expertise needed for conversion are generally beyond the capacity of most businesses, the information provided here is also intended to give you the knowledge you need to evaluate and select the right records management partner to help you with your conversion.
We'll look in depth at:
- Document assessments
- Outsourcing vs. in-house
- Workflow & indexing
- Tracking
- Auditing scanned images
- After the scan
- Transitioning
To find out how to plan your document conversion, you can download the full white paper here.
 Eight Tips for Getting Corporate Buy-In for Your Records Management Program
Successfully developing any records management program requires buy-in from all levels of the organization. Records management professionals who effectively communicate the basic goals and value proposition of records management to everyone from the senior executive to frontline staff are better able to get what they need, whether it is:
- Annual budget dollars to continue offering existing resources and service levels;
- Additional resource investment to expand service levels, program offerings and staffing complement;
- Active input and participation from business units in records management initiatives; and/or
- Formal executive endorsement of records management policies, tools and initiatives, in order to optimize business unit input and resource allocation.
In the ideal world, achieving these should be a simple matter of tying records management's benefits to the broader business objectives of your organization and making this value proposition clear to affected stakeholders. But what does this mean in a real world where records management competes for attention with a wide range of legal, financial and operational challenges?
The trick is to present records management as a valuable tool for meeting those same challenges. To understand how you can situate records management in a broader business context, including tips on what issues to talk about, whom to talk to, and how to deliver the message of records management, download our free white paper here.
Convert Your Files for Greater Efficiency
 When you streamline your existing filing practices, you'll save time, space, and money. TAB can help you transform your current document storage system into a highly efficient, secure system.
We can show you how multiple file organization methods can be consolidated into a single, centralized system that eliminates duplication and confusion. TAB can also facilitate a switch from one storage type to another - such as drawer file cabinets to lateral filing. And we're well equipped to guide you through the challenging process of folder conversion - top-tab to color-coded side-tab, for example.
Throughout the consolidation or conversion, we'll take care of all sorting, validation, and filing of your documents into the new system. That means peace of mind.
We've done countless file conversions for a wide variety of organizations, and you can read a case study on a conversion we did for Manitoba Finance.
For more information on how TAB can help you move, consolidate or convert your files, call 1-800-417-8010 or complete our online response form.
Good RM Practices Part of Uganda's Fight Against Corruption
It is always interesting to see records management in a different light, and in this article written by Dr. Okello-Obura, sound RM practices are cast as a critical weapon in Uganda's ongoing fight against rampant corruption. The good doctor's argument is that sound records management not only underpins due process, but enables accountability. We couldn't agree more! Read the full article on how RM is playing a role in preserving the rule of law in Uganda.
E-discovery: the "E" is for Expensive
One year after the overhaul of the Federal Rules of Civil Procedure in the US, courts and corporations are
understandably concerned about how to contain the scope of expensive e-discovery searches; corporations
are anxious to safeguard business assets, while courts don't want justice to be derived from the legal party
with the biggest budget for searches. According to this article from ByteandSwitch, you can safeguard against the
potential expense of e-discovery with good records management!
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