Records and Information Governance: where is Records Management going?

Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016
Records and Information
Governance: where is Records
Management going?
Jordi Serra Serra
Master’s Degree in Records and
Information Management in Business (MGDIE)
University of Barcelona
Round table: Information Governance
14es Jornades Catalanes d’Informació i Documentació (COBDC)
4 March 2016

Current situation
Evolution in
nature and
needs of
organizations

Evolution in records format
Interoperable
data
IT IT
Record
eMail
Born digital
record
Structured
data
(transactional)
Web
contents
Social
networks
Structured
data
(open)
Structured
data
(linked)

Today's IT evolution axes
Mobile Cloud
Social
Big
Data
RM

Current situation
Evolution in
nature and
needs of
organizations
Social pressure
Industry
pressure

Social pressure
 Immediacy (if not online, don’t exist)
 New rights relating to information
 Greater accountability (publicly available)
 Dilution of information ownership (reusing)
 Strengthening of identities (heritage)

New dimensions of access and use
Reactive access Proactive access
(public availability)
Use in original
context
Use in a different
context
(reusing)
TRANSPARENCY

New dimensions of access and use:
main challenges
Interoperability
and integration
(systems/CRM)
Proactive access
(public availability)
Semantic
processing
(open/linked/big)
Use in a different
context
(reusing)

Conflict of dynamics
+ Value
(more usability for users)
- Risk
(more security for
organization)
Multiform
Composed
Ubiquitous
Agile

“My recordkeeping system is safe
and effective”...
...Really?

Limitations of traditional RM model
 Overly formal and self-demanding
(perfectionist)
 Discreet perspective (focus on small-data)
 Based on borders and in/out actions
(custodialist)
 Too centralized (system like unique tool)
13

Consequences of this practices
 Low percentage of effective coverage
 Poor reliability and security levels
 Little value-added for end-users
 Too long-term ROI

Percentage of companies with
records manager on staff
30%
46%
48%
50%
70%
54%
52%
50%
0% 20% 40% 60% 80% 100%
Retail
Manufacturing
Energy services
Financial services
They have
They don't
Iron Mountain (2016)

Low percentage of effective
coverage

Poor reliability and security levels
85% of US employees acknowledge that they use
personal email to send corporate records.
37% of companies declare that social network’s
interactions that are considered essential for the
company are not captured nor preserved.
54% of organizations don't include social networks
in their records management policies.
John Newton, AIIM (2016)

Poor reliability and security levels
65%
20%
35%
80%
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
IT Department Legal Department
Unconfident with
company's
recordkeeping system
Confident with
company's
recordkeeping system
Baseline Magazine (2015)
•Cost and sustainibility of data
archiving system
•Features of data archiving
solution
•Easy to use solution for end users
and administrators
•Compliance with laws and
regulations
•Reduction of potential lawsuits
(litigation)
•Speed and accuracy in data
recovery (eDiscovery)

Little value-added for end-users
Iron Mountain Survey (2015)
Do you feel records
management techniques as
tools to face up information
risks, and do you think they
meet your needs?
Do you know the
records management
system of your
organization, and who
are their responsibles?
If yes, do you meet
regularly with those
responsibles for learning,
advice, etc.?
Yes
15%
No
85%
Yes
58%
No
42%
Yes
31%
No
69%

Too long-term ROI
Memòria d’arxius 2013. Departament de Cultura, Generalitat de Catalunya.

Far from meeting employer’s expectations
0% 20% 40% 60% 80%
Ability for change
management
Experiencie in internal
training
Ability for innovative
thinking
Employers that feel it
important
RM that feel able to
deal with
“Next generation information management professionals” AIIM & Iron Mountain (2015)

Decreasing volume of paper
Memòria d’arxius 2013. Departament de
Cultura, Generalitat de Catalunya.
Grows
33%
Stable
28%
Decrease
39%
2014: global growing of 10%
2015: global decreasing of 6%
(21% in companies up from 5000 workers)
Information Governance: too important to be
left to humans. AIIM Industry Watch, 2015.

A profession at risk?
Records
manager
IT and data
analysis
departaments
Legal and
eDiscovery
departaments
Recordkeeping
tasks
automation
Paper
extinction
 “While there are
signs that the natural
habitat of the
records and
information manager
is desappearing, the
future looks bright
for those willing to
adapt”.
Sue Trombley, 2016

Records management evolution
drivers for 2016
New regulatory requirements
New eGovernment Law in Spain
Public accountability and transparency regulations
Coming European data protection rules ("right to oblivion" management)
New opportunities from standards
Updating of ISO 15489 and ISO 16175
Updating ISO 9000 family (documented information)
Further development of ISO 30300 family
Growing organization's priorities
Security breaches affecting business
Advocacy and legal risks of non-compliance (sanctions and litigation)
Loss of reputation and competitive advantage
Capacity and increasing demand for data analysis

Information Governance
 Information governance is the specification of decision
rights and an accountability framework to encourage
desirable behavior in the valuation, creation, storage, use,
archival and deletion of information. It includes the
processes, roles, standards and metrics that ensure the
effective and efficient use of information in enabling an
organization to achieve its goals.
 Information Governance is a framework of people,
principles, processes and tools, that defines why, when and
how information is managed within an organisation, in
order to maximise its value, fulfil obligations, reduce costs
and reduce risk.
George Parapadakis, 2014
Debra Logan, 2010

What activities includes
Information Governance?
Source: eDiscovery Journal

What activities includes
Information Governance?
Records
management
(RIM)
Compliance
Information
technology
Legal
(eDiscovery)
Privacy
And process
management!

Evolution of Information
Governance areas

Current trends
Effectiveness
Automation
(De)centralization
Datification
Outsourcing

Current trends
Effectiveness

Effectiveness
 Moving from formal solutions (policies and procedures) to
practical solutions to ensure the effectiveness of the system
(tools and controls).
 Ensuring minimum compliance over a broad range rather
than maximum compliance over only a focal (limited) range.
 Enhancing control over information at the creation time and
in the original environment (before the formal capture
through declaration as record).
 Keeping and updating constantly indicators to measure the
ROI of the system and the value it provides to the users and
to the organization.
 Automating intensively the records management actions.

Current trends
Automation

Automation
Day to day practice in a lot of companies Current trends
Ask end users to capture (mostly manually) the
relevant records
Automated rules-based capture (RBR)
Train end users to choose the right classification
code from an static classification scheme
Use of autocategorization and automatic
classification systems
Ask end users to fill manually more than three
metadata for every record or case file
Use of file analysis tools, templates and
automatic generation of metadata
Ask users to make specific actions to classify,
describe or dispose records
Embed classification, description and disposal
actions into usual end-user actions (through
collaboration tools or using a Dropbox model)
Concentrate efforts to appraise and destroy
original records
Appraise having in mind a broader and flexible
framework of records uses (processability)
Limit the range of records management actions
to the records that is affordable to keep and
control from a single centralised system
Extend the scope of the RM system, embedding
RM procedures into information silos and ERP’s
Build the records management platform before
having control over creation environments
Begin using collaboration environments and
making transparent to users the records
management infrastructure

Automation
• This requires two changes in RM systems
design:
• Structuring (datifying) the system to make possible the
automation of more processes and tasks.
• Moving towards a rules-based records management
(RBR) to avoid subjectivity and not compliant actions.
• This leads to previously consolidate their
theoretical bases (and make it stronger than
today).

Current trends
(De)centralization

 “Focus all the attention onto a single RM
platform only gives the illusion of
Information Governance maturity”.
 “Knowing where our information lives is
the first step to proficiently governing our
organisation’s information assets”.
RecordLion, 2016

Model 0: information silos

Model 1: records center
SGD

Model 2: in place RM
SGD SGD SGD SGD
SGD

Model 3: integrated in place RM
SGD SGD SGD SGD
SGD
SGD

Current trends
Datification

 “We’ve entered a new era of RIM, with
big data at the forefront.”
 “Data analysis has become a twisting
Mobius strip, looping back not only how
we look at data but also how we manage
data itself.”
Kon Leong, 2016

Datification
 Exponential growing of the capacity to collect and
process data.
 Crisis of the document-like-object:
◦ Unique data principle
◦ Data reuse in different contexts
 Data analysis is still giving less results than it
could ... because of mismanagement of
information by organizations.
 Records management should evolve from
managing discrete entities (documents-like-
objects) to managing information flows.

Agents
mapping
Process
mapping
Impact on RM systems design
Records series
mapping
Systems
mapping
Data mapping

Current trends
Outsourcing

Outsourcing
Direction
Design and
implementation
Rules
management
service
Storage and
preservation
service
Control and
audit service
System update
service
Direction
Design and
implementation
Rules
management
service
Storage and
preservation
service
Control and
audit service
System update
service
Direction
Design and
implementation
Rules
management
service
Storage and
preservation
service
Control and
audit service
System update
service
Direction
Design and
implementation
Rules
management
service
Storage and
preservation
service
Control and
audit service
System update
service
Direction
Design and
implementation
Rules
management
service
Storage and
preservation
service
Control and
audit service
System update
service
Direction
Design and
implementation
Rules
management
service
Storage and
preservation
service
Control and
audit service
System update
service

The future is nomadic: consultancy
Effectiveness Efficiency
ContinuityCompliance
We will
We need

Thank you
Jordi Serra Serra
serra@ub.edu
http://bd.ub.es/pub/serra/
http://www.mgdie.net/es/
Recommended citation: Serra Serra, Jordi. "Records and Information Governance: where is Records Management
going?". In: 14es Jornades Catalanes d’Informació i Documentació (COBDC), Barcelona, 4 Mach 2016.

Records and Information Governance: where is Records Management going?

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