Records Management Issues in Present

1. Records Management Issues in Present

2. What are the biggest issues in RM today??? • What issues have the greatest impact on Records Management today? • That is, they are redefining, even revolutionizing both the theory and practice of records management, and will continue to do so for years to come. • While every such list is inherently arbitrary / judgmental, here is mine . . .

3. The growing role of RM as a significant issue in organizational management • RM’s role in the transition to the management of electronic records in the (nearly) paperless office • RM’s role in the new environment for regulatory compliance and litigation risk reduction • RM’s role in enhancing enterprise accessibility of information content • The impact of September 11th and RM’s role in enhancing information protection • Getting to (nearly) perfect in records retention • The role of electronic records retention in improved data life cycle management • Bringing records management / retention to the desktop, messaging and backup environments • The significance of the new software solutions for electronic records management • The role of RM in digital preservation

4. Issue 1 - The growing role of RM as a significant issue in organizational management • With the recent spate of business scandals, now – for the first time ever – records have become pivotal in determining the fate of organizations! • In the case of Arthur Andersen LLP vs. the United States, for the first time ever, a hitherto great corporation was virtually destroyed by acts related directly to records disposal, in which retention practices were a major issue.

5. Electronic records: The management challenges are much greater than for paper! • Higher strategic value • Higher customer / client expectations • Greater technical expertise required • Much higher rates of growth • Greater accessibility challenges • Greater consequences of loss • Much shorter life expectancy and greater preservation challenges • All of these make RM more important than ever before!

6. Issue 2 – RM’s transition to the management of electronic records in the (nearly) paperless office • Many records managers still cling tenaciously – and irrationally – to the notion that paper will be with us forever; that the long-awaited but hitherto unrealized “paperless office” is and will remain a myth. • I will give you my opinions and invite yours!!!

7. The (nearly) all-digital office: Not if but when!!! • Just because it hasn’t happened during the last 30 years doesn’t mean it won’t happen during the next 30! • During the last 30 years, electronic records have become much more prevalent and prolific, relative to their paper counterparts. • And their importance has skyrocketed while that of paper records has gradually declined.

8. But . . . as Bob Dylan said, the times they are a changin’ • The decisive factor in the transition to the less-paper office is . . . • . . . Different behavior patterns on the part of the next generation of office workers. • Our children and grandchildren do not and will not use filing cabinets when they take our places in the offices of today and tomorrow!!!

9. Issue 3: RM’s role in corporate governance, regulatory compliance, and litigation risk reduction • Since the passage of the Sarbanes-Oxley Act of 2002 (and the new regulatory and other legal initiatives that resulted) regulatory compliance, e-discovery and litigation risk reduction have been the key drivers for new records management initiatives in the U.S. • SOX changes executive perceptions about records management, as nothing had ever done before!

10. RM’s role in demonstrating compliance • RM’s goal should be to ensure that the organization’s recordkeeping systems are being managed such that the integrity of their information content can meet the tests of authenticity, integrity and reliability. • In short – full compliance, in letter, spirit and good faith!

11. RM’s role in mitigating litigation risks • The presence or absence of records can be either favorable or unfavorable . . . • . . . exculpatory or incriminating.

12. RM’s role in mitigating litigation risks • The best strategy: • Retain only what’s needed to operate the company, comply with the law, and meet reasonable needs to retain history!

13. Issue 4: RM’s role in enhancing enterprise accessibility of information content • Information accessibility: It’s the foundation for world-class records management! • Wherever records management is practiced at an advanced level, the existence and location of all information content must be known, and precise and timely retrieval must be the rule rather than the exception, so that the organization’s recordkeeping systems effectively support its larger business objectives. • Information accessibility is a strategic business issue and needs to be managed as such.

14. The dreams and aspirations of Miss Lemon (shared by every records manager!) • “Her real passion in life was the perfection of a filing system beside which all other filing systems should sink into oblivion. She dreamed of such a system at night.” • Source: Agatha Christie, “How Does Your Garden Grow,” 1931.

15. The value of information is directly proportionate to its accessibility • An organization may possess a single kernel of information upon which its entire future rests, but if those who seek it cannot find it, the golden nugget is worthless.

16. The system delivers all the documents / information requested and no others. • The system delivers all the documents desired, as well as others deemed not relevant. • The system delivers some of the requested documents, but not all. • The system delivers some documents, none, however, are deemed relevant. • The system delivers no documents at all and some are known to exist that are relevant to the query. It is the task of RM to ensure that No. 1 occurs – consistently across the enterprise! In response to any (properly formulated) search query, one of five things can happen

17. Issue 5 – The impact of Sept. 11th and RM’s role in information protection • There is a persuasive, even compelling, argument that protecting organizational information from loss due to disaster – whether due to natural, technical or human causes – is the most important aspect of records management.

18. Greater risks / consequences of loss • Most organizations could lose all their paper records and survive. • No so for computer records! • A large-scale data loss would likely be cataclysmic and irrecoverable!

19. Organizationsshould adopt the long-term goal of converting to digital format every paper-based recordkeeping system of mission-critical importance – as soon as resources and priorities allow. • Records managers should survey all such applications, and develop a plan for conversion from paper to digital format that can be implemented over a period of several years. • This will permit the records to be backed up off-site. • For all mission-critical recordkeeping systems, we recommend that organizations give themselves 5 years to get out of paper. For all vital, mission-critical records, off-site back is the way to go!

20. Issue 6 – Getting to (nearly) perfect in records retention • Sadly, most records retention programs are not organized around success. • Most have no long-term management plan or strategy for achieving success. • So, just like every “self-fulfilling prophesy, success in retention remains elusive!

21. Best practice in enterprise RM requires the systematic application of rules, tools and implementation strategies in five recordkeeping environments • 1. Active paper records at departmental workstations • 2. Inactive paper records in storage facilities • 3. Personal working papers kept in desks, credenzas and bookcases • 4. Data in computer applications managed by IT • 5. Electronic records in desktops, controlled by their creators

22. Getting to perfect in retention • Organizations should establish a 5-year goal of applying retention rules in all 5 recordkeeping environments. • Poorly managed warehouse storage and IT-managed system applications will require at least 3 years.

23. A top RM goal: No more unmanaged / under-managed storage repositories! • Regardless of whether they used for the storage of paper or electronic records, every storage repository must be managed such that the content is fully accessible, readily retrievable, and safe and secure. • Moreover, the life cycle of the content in all repositories must be properly managed under approved retention rules and policies.

24. Issue 7 – The role of electronic records retention in improved data life cycle management • What happens to computer data as it ages? • Does the value of data increase or decrease as time passes? • Do storage management requirements change as data ages through its life cycle? • In the world of paper, these are questions that records managers have addressed for decades! • But not in the world of IT, where retention has not been widely practiced.

25. If getting rid of dead data is such a good idea, why hasn’t it been widely practiced??? • A largely invisible problem – no physical / visible manifestations. • In some situations, it’s cheaper to retain than purge. • For decades, IT had “carte blanche” to buy all the storage they wanted – no questions asked! • No strong advocate among key stakeholder groups.

26. None of the key stakeholders in business computing strongly advocated ERR, so it didn’t happen! • IT departments – Data retention not a priority; no methodology or expertise. • Vendors – Driven by customer priorities. Data retention not historically an issue. But this is changing! • Data owners – Usually content to take whatever data they can get.

27. The explosive – and unprecedented – growth in data storage • The total cost of managed storage now rivals or exceeds the investment in systems and servers, and often accounts for 50% or more of total IT spending. • Data storage costs will rise to three-quarters of all IT spending over the next few years. • Source: Storage Inc.

28. Issue 8 – Bringing RM / retention to the messaging environment • In most organizations, the desktop is an records management “basket case” – generally under-managed or mismanaged. • But this is where most of the work of organizations is done! • Approx. 56% of all digital content resides here. • To bring better records management to the desktop is one of the biggest records management challenges today.

29. The messaging environment should be restricted to current communications only! • Many e-mail users retain hundreds, even thousands, of e-mails, in their messaging environment. This is not best but worst practice! • A top records management priority is to ensure that the messaging system is not morphed from an e-post office into an unmanaged archive!

30. Consider the analogy of the postal mail you receive at home . . . • When you go home tonight, you’ll get your mail out of your mailbox. • There will be bills, magazines, and “junk mail.” • You’ll discard the junk mail, put the magazines on the coffee table or night stand, and put the bills in the pending file for payment. • But you won’t put any mail back in the mailbox! • Well, that’s exactly what’s happening in the digital environment!!!

31. The only practical retention methodology for e-mail . . . • Asking users to classify 30 to 60 or more e-mails per day in accordance with a taxonomy and save them to an ERMS or ECM solution is not practical – ain’t gonna happen!!! • Therefore, a simpler strategy, one which minimizes user involvement and decision-making, is required. • The only practical, realistic solution: • A uniform maximum retention period, accompanied by aggressive daily management by users!

32. . . . A uniform maximum retention period, of pre-determined length, is established by policy. • It is effectuated by automatically transferring, without user involvement or decision-making, all e-mail remaining in employees’ mailboxes when the messages have aged 90 days to a dedicated e-mail archival repository, where they will remain for the duration of the approved uniform maximum retention period. • When the messages have aged to the duration of the uniform maximum retention period, they will be purged, again without user intervention or decision-making. • To operationalize this strategy, you’ll need an e-mail archiving tool (software solution). The uniform maximum retention strategy: Here’s how it works . . .

33. The uniform maximum retention period: Options for its duration • Not less than 3 years, nor longer than 7 years! • The average retention of all records kept by American business falls within this range! • Because of system obsolescence, 10 years is the longest practical retention period, but it’s usually much longer than needed. • Three years should be sufficient to meet the test of reasonableness and good faith. • If you want to be more conservative, go to 5, 6 or 7 years.

34. The uniform maximum retention period must be accompanied by two major caveats • (1) E-mail of transitory value must be deleted on a daily basis. • This requires 10 to 15 minutes per day. • (2) E-mail of long-term value (for which the retention exceeds the uniform maximum period) must be saved in a separate repository that can satisfy its retention period: • Printed and filed in paper format. • Saved to another software application (ERMS, ECM, or other solution). • Do these things, and your e-mail retention problems will be over!

35. Issue 9 – The significance of the new software solutions for ERM • Today, for the first time ever, the goal of total life cycle management, through a retention methodology supported by computer software, is within reach! • This is the “holy grail” of RM! • At present, a total of 52 software solutions have been certified under DoD 5015.2! • More good news: Retention functionality is increasingly being built into native software applications!

36. For decades, records management was perceived as tangential to the larger enterprise information management agenda because large computer companies weren’t in the records management business. • But, in the last five years, things have changed: • In 2002 – IBM acquired Tarian Software and announced plans to integrate records management capabilities across its entire software portfolio. • In 2006, IBM enhanced its position in the market by its acquisition of FileNet. • In 2003 – EMC acquired Documentum and launched an “Information Lifecycle Management” business. • In 2006, Oracle acquired Stellent. • These and other developments have the potential to elevate records management to another level of legitimacy as an information management initiative of enterprise strategic significance. For the first time, large computer companies get into the RM business

37. Software solutions for content retention • Retention functionality in native applications • ERMS software • Integrated EDMS / ERMS software • Fixed-content archiving solutions • Database archiving solutions • E-mail archiving solutions

38. Issue 10 – The role of RM in digital preservation • “Our IT department tells me they can support data retention requirements up to 5 years with certainty. From 5 to 10 years, with a little bit of luck. After 10 years, there are no guarantees!” • Source: Edie Allen, Records Manager (retired) Battelle Memorial Labs

39. Why digital preservation? • If an organization creates a record in electronic format in, say, the year 2006, and this record will need to be digitally processed and read many years later, how, exactly, can this requirement be supported in a technology environment in which the only constant is rapid change?

40. Digital preservation: Eight best / recommended practices • 1. Records selection • 2. Storage media selection • 3. Data migration • 4. Standardize file formats • 5. Media recopying • 6. Metadata management • 7. Systems documentation • 8. Media storage and maintenance