Effects of Social Networks on Managing Electronic Records

1. Effects of Social Networks on Managing Electronic Records Carol E.B. Choksy, Ph.D., CRM, PMP School of Library and Information Science Indiana University, Bloomington

2. Organizational management • Metadata and media preservation are certainly very important in the management of electronic records, but just as important is the organizational structure, both formal and informal, for managing electronic records. • Until very recently, records managers in corporations reported primarily to Facilities or Administration and had little input into any part of the management of electronic records. • Records managers were associated with shelving and boxes.

3. Organizational management • Information Technology departments implemented many different applications without knowledge of how records, documents, or content should actually be managed. Most of the products implemented: email, content management, even Microsoft Office were used to create and distribute documents without concern for finding the documents again, much less preservation or destruction. • The net results have been major problems that have cost corporations millions of dollars in litigation discovery and clean-up, as well as lost opportunity costs—records can be used to improve business processes.

4. Organizational management • As records managers have begun to report to the Legal department and Compliance, their roles in the management of electronic records, and the management of electronic records, has changed dramatically. • Legal and Compliance are a better fit for records management because those departments cross corporate boundaries in the same way RIM does. • And Legal and Compliance are concerned with the enterprise level, not the department level.

5. Example of difference between IT and RIM concerns • IT interested only in “high value” documents • Large quantities • High intrinsic value, like IP • Records management interested in anything that can get the organization into trouble • Non-business emails from one employee harassing another employee • Cost UBS Warburg $38 million.

6. Premise of study • That reporting higher in the organizational hierarchy, i.e., closer to the Board of Directors will create more opportunities for better electronic records management. • Measures of success • RM and IT are speaking together about records • Integrated RM and DM programs • Management of email as a document

7. Problem with study • Little historical information, other than ad hoc, about where records managers reported before this. • One study from Saffady done in 2000 of 45 records managers in “industry” reports that more than 2/3 of respondents report to • Administration • Facilities

8. Participation • 900 potential companies • Fortune 500 • Forbes 300 • Transnational 100 • 332 contacted • This probably represents 80% of all potential contacts • Most of them belong to ARMA • 100% of 150 cold calls of companies that did not have ARMA members did not have a records management program • 48 participated = 14% participation rate

9. Reasons for not participating • #1 confidentiality • #2 do not participate in surveys • #3 not enough time

10. Method • Contact records managers for participation in the study • Fortune 500, • Forbes 300, and • Transnational 100. • Ask participants for comments to improve the draft survey for • Achieving their own benchmarking goals • Receiving comments to improve survey • Assuring confidentiality • Put survey on surveymonkey.com • Get anonymous responses

11. Creating the survey • Every company contacted responded enthusiastically to the study topic. • Every comment to improve the survey was directed precisely at the desired subject of study, despite the opportunity to ask other types of “benchmarking” questions. • Only 5 companies gave comments

12. Age Gender Highest Level of Education Subject Degrees Received In From where did you receive your training in records management? How long ago did you receive your training? All sources of RIM training received Formal training in business Years in Records Management Do you have a CRM? If you have a CRM, when did you earn it? Years at Current Company Years in Current Position Your Title Your Job Description (brief) Demographics & Training

13. Interesting demographics • 83% have college or higher degree • 1/3 have a CRM • ARMA cohort only 1 in 10 • Training • 64% Seminars & workshops • 81% On-the-job training • 66% have 6+ years on the job • 76% have 6+ years in records management

14. Records management portfolio

15. Record type responsibility #1

16. Record type responsibility #2

17. Company major industry Type of Ownership Multinational Corporation? Department Name Title of officer department reports directly to? Location in relation to your own direct report Department Is Part of What Division? Other information that would help us understand the chain of command to which you report within your company Company & department structure

18. Companies that responded • 77% Publicly traded • 15% Private • 8% Foreign-owned • 75% are multinationals (US or foreign)

19. Reporting networks—Corporate

20. Reporting networks—Legal

21. Knowledge chains • In your corporation but outside your chain-of-command, who seeks you out for advice? • Within your corporation but outside your chain-of-command, from whom do you seek advice? • Are there other records managers within your corporation with whom you discuss RIM? • If there are other records managers within your corporation, how many are there? • From whom do you seek advice

22. Who speaks to whom

23. From whom is advice sought about a particular topic #1

24. From whom is advice sought about a particular topic #2

25. Integration of RM & DM programs

26. Integration of RM & DM programs

27. Who files the electronic documents?

28. Integration of email into RM

29. Conclusions #1 • Because of the lack of historical reporting information, it is difficult to tell whether electronic records are being managed “better” because records managers report to a “higher” level. • Ad hoc information would suggest that it is. • Recent headlines for large, publicly traded companies regarding email in litigation would suggest that management of electronic records has reached its nadir.

30. Conclusions #2 • Disproportionate numbers of records managers reporting to General Counsel • Many General Counsels report regularly to the Board of Directors or are the Corporate Secretary. • The expensive litigation penalties resulting from corporate mishandling of email has corporate attorneys, both in-house and outside counsel, going to seminars on electronic discovery in record numbers.

31. Conclusion #3 • RIM knowledge network includes • Legal • IT • Line-of-business managers • RM and IT are speaking together about records • Integrated RM and DM programs • Management of email as a document • Portfolio of responsibility • Policies and procedures for most record types • Advice on electronic records implementation

32. Conclusion #4 • Probably should perform the same study in a few years. • Will be performing the same study on government entities within the next few months.