Next Generation Records Management

1. Next Generation Records Management Don Lueders, CRM, CDIA ARMA NOVA February 5, 2014

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3. Introduction Certified Records Manager (CRM), Certified Document and Imaging Architect (CDIA) TrueArc/Documentum/EMC Supported Microsoft development of MOSS 07 records management features Product Manager for team that created Microsoft’s DoD 5015.2 certified MOSS 07 add-on Product Manager for Microsoft partner that created the on DoD 5015.2 certified native SharePoint 2010 application

4. Next Generation Records Management Records management has never been more critical Rapid advances in technology pose continuous stream of new, unprecedented challenges Most old methods no longer apply to the work we do Innovative, transformative solutions to managing the information lifecycle in the Digital Age

5. Next Gen RM Issue #1: E-discovery makes everything a ‘record’.

13. Integrated Information Lifecycle Management: “Cradle-to-the-grave lifecycle management for all recorded information, regardless of format, across the entire enterprise.”

14. Total Enterprise Information • Higher value • Long term preservation • Rigorous business rules

15. Retention and Disposition Across the Enterprise • Videos • Wikis • Blogs • Instant messages • Voice mail • Others… Electronic documents Non-electronic documents Emails Social media File shares Web sites

16. Next Gen RM Issue #2: Requirements for structured content are the same for unstructured content.

20. Integrated Information Lifecycle Management: “Cradle-to-the-grave lifecycle management for all recorded information, regardless of format, across the entire enterprise.”

21. Next Gen RM Issue #3: Massive volume requires massive simplification.

22. US DoD Record Category Identifier 0430-02: Record Category Name: Foreign Employee Award Files Disposition Authority: N1-218-00-3 item 18 Transfer or Accession to NARA Indicator: Yes Vital Record Indicator: No Record Category Description: Decorations to foreign nationals and US citizens not employed by the US Government consisting of: case files of recommendations, decisions, awards announcements, board meeting minutes, and related documents which are maintained by any JS/combatant command activity Disposition Instructions: Permanent. Cut off on completion of case, hold 2 years, then retire to offline storage. Transfer to federal records holding area 5 years after retirement to offline storage. Transfer to NARA 25 years after cutoff. Event: Case Complete Note: One folder per case. Expected Behavior: Folder becomes due for cutoff after the case is complete. Cutoff folder is transferred to offline storage facility 2 years after cutoff. Folder is transferred to the federal records holding area 5 years after transfer to offline storage facility (based on transfer date). Folder is transferred to NARA 25 years after cutoff.

23. US DoD Record Category Identifier 0430-02: Record Category Name: Foreign Employee Award Files Disposition Authority: N1-218-00-3 item 18 Transfer or Accession to NARA Indicator: Yes Vital Record Indicator: No Record Category Description: Decorations to foreign nationals and US citizens not employed by the US Government consisting of: case files of recommendations, decisions, awards announcements, board meeting minutes, and related documents which are maintained by any JS/combatant command activity Disposition Instructions: Permanent. Cut off on completion of case, hold 2 years, then retire to offline storage. Transfer to federal records holding area 5 years after retirement to offline storage. Transfer to NARA 25 years after cutoff. Event: Case Complete Note: One folder per case. Expected Behavior: Folder becomes due for cutoff after the case is complete. Cutoff folder is transferred to offline storage facility 2 years after cutoff. Folder is transferred to the federal records holding area 5 years after transfer to offline storage facility (based on transfer date). Folder is transferred to NARA 25 years after cutoff.

24. Disposition approval at the record item level?

25. Disposition approval at the record item level? • Approved retention schedule • Documented processes • Robust audit trail

26. Automate, Automate, Automate • Content destruction • Transfers • File plan classification Records declaration Metadata population Email archiving

27. Next Gen RM Issue #4: Hardware and software obsolescence is the single biggest long term threat to records management.

28. Storage Media Durability Floppy disk: 3-5 years.  Though no longer made, many still exist; examples include 8”, 5.25” and 3.5” disks, along with items such as Zip and Jaz disks. Flash media: 1-10 years.  This category includes USB flash drives (also known as jump drives or thumb drives), SD/SDHC cards and solid-state drives; all generally are less reliable than traditional spinning-disk hard drives. Hard drive: 2-8 years.  The health of a spinning disk hard drive often depends on the environment; excessive heat, for example, can lead to quick failure. CD/DVD/Blu-ray optical disk: 2-10 years.  There is large variation in the quality of optical media; note that “burnable” discs typically have a shorter life than “factory pressed” discs). Magnetic tape: 10-30 years.  Tape is a more expensive storage option for most users–it depends on specialty equipment–but it is the most reliable media available.

29. US DoD Record Category Identifier 0430-02: Record Category Name: Foreign Employee Award Files Disposition Authority: N1-218-00-3 item 18 Transfer or Accession to NARA Indicator: Yes Vital Record Indicator: No Record Category Description: Decorations to foreign nationals and US citizens not employed by the US Government consisting of: case files of recommendations, decisions, awards announcements, board meeting minutes, and related documents which are maintained by any JS/combatant command activity Disposition Instructions: Permanent. Cut off on completion of case, hold 2 years, then retire to offline storage. Transfer to federal records holding area 5 years after retirement to offline storage. Transfer to NARA 25 years after cutoff. Event: Case Complete Note: One folder per case. Expected Behavior: Folder becomes due for cutoff after the case is complete. Cutoff folder is transferred to offline storage facility 2 years after cutoff. Folder is transferred to the federal records holding area 5 years after transfer to offline storage facility (based on transfer date). Folder is transferred to NARA 25 years after cutoff.

30. Standardize on software

31. Next Gen RM Issue #5: Cloud computing is here to stay.

34. Proactive about inclusion on cloud discussions • Understand the technology • Off-premises • On-premises • Hybrid • Provide helpful input • Focus on RM issues • Solutions, not obstacles to success

35. Next Gen RM Issue #6: Mobility.

38. Policy and Technology • Mobile Device Records Management Policy • BYOD • Privacy concerns • Train users • Validate compliance • Technology • Understand technology available • Know where information lives • Capture the content

39. Next Gen RM Issue #7: Records created through social media channels are exploding.

41. Policy and Technology • Social Media Records Management Policy • Personal social channels vs. organization’s accounts • Procedures for capturing the content • Train users • Validate compliance • Technology • Understand that posts are permanent • Create methodologies for managing social media content

42. Next Gen RM Issue #8: We still haven’t solved the email records management ‘problem’.

45. Policy and Technology • Email Records Management Policy • Enterprise email records management strategy • ‘Capstone’ model • Permanent archiving of all mission critical staff emails • Shorter term archiving remaining users • ‘Capstone plus’ for private sector? • Like Capstone, but still supports traditional email declaration strategies for major decision makers • Train users • Validate compliance • Technology • Native archiving features • Least burdensome email declaration solution available

46. Next Gen RM Issue #9: Legacy electronic records management functional standards have failed.

48. Concerns with DoD 5015.2 Based on paper records management paradigm A records management application standard Massively complicated Creating a compliant product is expensive Model for records management is unworkable ‘On Why I No Longer Support the DoD 5015.2 Standard’

49. A new standard • Based on latest technologies for managing the entire lifecycle of electronically stored information • A records management services standard • Massively simple • Few core requirements (e.g. referential integrity, forensic destruction) • Broadly defined optional components (e.g. item level security, vital records management, cutoff processing, etc., etc.)

50. Next Gen RM Issue #10: The importance of defensible destruction will continue to grow.