» 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 . . .
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
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
» 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.
» 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!
» Many records managers still
cling tenaciously – and
irrationally – to the notion
that paper will be with us
forever; that the longawaited but hitherto
unrealized “paperless
office” is and will remain a
myth.
» I will give you my opinions
and invite yours!!!
» 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.
» 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!!!
» Since the passage of the
Sarbanes-Oxley Act of 2002 (and
the new regulatory and other
legal initiatives that resulted)
regulatory compliance, ediscovery 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!
» 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!
» The presence or
absence of records can
be either favorable or
unfavorable . . .
» . . . exculpatory or
incriminating.
» The best strategy:
» Retain only what’s
needed to operate the
company, comply with
the law, and meet
reasonable needs to
retain history!
» 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.
» “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.
» 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.
1.
The system delivers all the documents / information
requested and no others.
2. The system delivers all the documents desired, as
well as others deemed not relevant.
3. The system delivers some of the requested
documents, but not all.
4. The system delivers some documents, none, however,
are deemed relevant.
5. 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!
» 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.
» 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!
» Organizations should 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.
» 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 “selffulfilling prophesy, success
in retention remains
elusive!
» 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
» 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.
» 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.
» 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.
1. A largely invisible problem
– no physical / visible
manifestations.
2. In some situations, it’s
cheaper to retain than
purge.
3. For decades, IT had “carte
blanche” to buy all the
storage they wanted – no
questions asked!
4. No strong advocate among
key stakeholder groups.
» 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.
» 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.
» 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.
» 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!
» 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!!!
» 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 decisionmaking, is required.
» The only practical, realistic
solution:
˃ A uniform maximum retention
period, accompanied by
aggressive daily management
by users!
» . . . A uniform maximum retention period, of predetermined 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 decisionmaking.
» To operationalize this strategy, you’ll need an e-mail
archiving tool (software solution).
» 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.
» (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!
» 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!
» 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.
» Retention functionality in
native applications
» ERMS software
» Integrated EDMS / ERMS
software
» Fixed-content archiving
solutions
» Database archiving
solutions
» E-mail archiving solutions
» “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
» 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?
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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