Current Trends in Records Management, Part 1

From the translator . Pursuing the development of an electronic archive and records management system , we closely monitor all publications on current trends in electronic document management and electronic document storage. We recently found on the Internet an article by Mark Mendel, an OpenText Record Management Specialist. The article is written on the material of foreign practice, in many respects far from the current Russian realities, but it is of undoubted interest, as it anticipates some trends that we still have to face in the real future. So far, the first part of the article has been published on the website of the Association for Processing Information and Images. We will translate the second part as soon as it is posted on the site.





Over the past few years, I came to the conclusion that in connection with all the latest changes, our industry has reached a qualitatively new level. Changes are associated with the emergence of new factors of market development, as well as the fact that vendors have proposed new solutions that meet the requirements of today.



In the first part of this article, new market development factors will be considered. In the second part, we will try to analyze how these factors influenced the professional community.

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eDiscovery

Federal civil litigation rules require that all documents in a lawsuit be inspected. This also applies to documents submitted in electronic form. The most important type of electronic content in eDiscovery procedures are email messages. Instant messaging, voice mail, copies, drafts, personal correspondence - all this can be investigated and verified. In this situation, it does not matter at all whether the content has a recording status: everything can be investigated and verified, regardless of the recording status.



The cost of researching documents is very high. The absence of this or that document in the judicial process can also entail very serious consequences: sanctions, fines, negative decisions, and in some cases even imprisonment. In this situation, it is very important that any content can be easily found, classified according to the rules of storage and excluded from consideration if it is not relevant. This approach allows to reduce the cost of research and storage, as well as to avoid or significantly reduce the number of cases of loss of documents.



This approach, called Content Lifecycle Management, involves applying information management techniques to all content from the time it is created or captured to its final deletion. Information management methods apply to email messages, social media, electronic documents with all their versions, shared files, content created using collaboration tools, and so on.



A consequence of changes in legislation was the emergence of a new look at the content of the notion of “record” (record). Previously, information was proclaimed to be a record upon completion of the business process during which it was generated, and the record retention schedule determined how it should be systematized and stored. The system of classification and storage as a whole reproduced the approach of the paper age, in which paper documents were distributed among shelves or boxes.



According to the new definition, everything is a record (everything is a record). It follows that all content must be managed. Such an approach assumes an enlarged classification of records by shelf life. Within this classification, in turn, a special group of records with the status “Transition” is allocated. According to this approach, everything that is not a record (personal correspondence, non-business correspondence, drafts, copies, etc.) receives the status of a transition record. For them, a certain storage period is established (for example, 120 days), after which they can be destroyed. This approach allows to reduce storage requirements, as well as reduce costs.



From the point of view of the new paradigm of records management system (records management, RM), it is one of the subclasses of ECM systems. After the introduction of ECM solutions, records management becomes a key factor in processes such as human resource management, creditors accounting, accounting, customer support, etc. During all these processes, records are received and created, which are captured and indexed as business functions. -processes, and the classification of these records is carried out automatically.



The inclusion of records management in all the above processes entails the need to audit all transactions. Here it is necessary to pay attention to another important factor - readiness for verification.

Readiness for checks

The term “readiness to audit” (born audit readiness) was introduced by the US Department of Defense to indicate the organization’s ability to prepare quickly, accurately and as fully as possible for a possible audit. If we approach this requirement from the standpoint of the old (“paper”) approach, this can lead to negative consequences and very serious problems. Automated solutions allow organizations to keep complete records of all business transactions, which significantly saves time preparing for an audit.



Since the damage from failed audits and inspections can in some cases be measured in millions of dollars, constant readiness for audits is of paramount importance. Due to the use of the content life cycle model, a detailed accounting of all information involved in business processes becomes quite achievable.

Presidential note on the management of government records

On November 28, 2011, President Obama signed a decree according to which every government department must designate a person responsible for translating all paper documentation into electronic form. At the same time, information management departments must necessarily include e-mail, social media, cloud solutions, etc. All agencies have submitted a plan for the transition to electronic storage of documents in the National Archives of the United States, as well as in the Office of Management and Budget. This summer, a directive will be drawn up on the transition to electronic storage of documents, which will take into account the proposals of all departments, as well as the results of a public discussion of the issue.



This work, like the work of implementing most government directives, is an unfunded mandate. However, the transition to electronic storage of documents, as you know, allows you to increase the level of payback. This decision, if properly implemented, will save substantial funds in the future.

Achieve more with less

One of the characteristic trends of the current American government is the desire to "achieve more with less means." This also applies to the current situation: budgets and resources are declining, while the amount of information you need to work with is growing. In today's difficult times for the economy, this situation takes place both in the private sector and in government organizations at all levels. The key factors in solving this problem are the introduction of new technologies and automation. The inclusion of records management and information management in the main business processes, as well as the use of new tools (for example, tools for automatic classification) make it possible to simplify the work of organizations in the face of increasing information volumes.

Extended classification by shelf life

The new paradigm requires a new approach to the problem of archival storage schedules. The current approach developed in the paper age is very detailed; The storage rules formed on its basis are completely inappropriate for the current situation. Records stored in many organizations can be divided into hundreds or even thousands of groups. Recently, the increasing classification of the storage period (eng. Big bucket classification) is becoming more common. If the ECM system already contains all the metadata on the basis of which records can be searched for, the storage schedule is built only around the periods during which the records should be stored. Such a simplified classification system is easier to implement, it is much more understandable, and it is much easier to ensure compliance with standards in such a system.



The US Central Control, for example, implemented a classification in which all entries are divided into 3 large groups and 27 subcategories. Other departments are also following this example; similar trends can be traced in private companies. The Office of National Archives of the United States (NARA) has also begun to use this approach, and in the near future it will become even more widespread.



Summarizing the preliminary result, let us reiterate the factors that currently have a significant impact on the record management practice:

• eDiscovery
• new approach to the definition of the record;
• readiness for checks;
• Presidential decree on switching to electronic storage of documents;
• “Achieve more with less means”;
• transition to an extended classification by retention period.

In the second part of this article, the reaction of the ECM market to the situation will be considered in detail.