Don Lueders, CRM, CDIA ARMA NOVA February 5, 2014

Next Generation Records Management

Don Lueders, CRM, CDIAARMA NOVA

February 5, 2014

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Certified Records Manager (CRM), Certified Document and Imaging Architect (CDIA)

TrueArc/Documentum/EMCSupported Microsoft development of MOSS 07 records

management featuresProduct Manager for team that created Microsoft’s DoD

5015.2 certified MOSS 07 add-onProduct Manager for Microsoft partner that created the

on DoD 5015.2 certified native SharePoint 2010 application

Introduction

Records management has never been more criticalRapid advances in technology pose continuous stream

of new, unprecedented challengesMost old methods no longer apply to the work we doInnovative, transformative solutions to managing the

information lifecycle in the Digital Age

Next Generation Records Management

E-discovery makes everything a ‘record’.

Next Gen RM Issue #1:

Integrated Information Lifecycle Management:

“Cradle-to-the-grave lifecycle management for all recorded information, regardless of format, across the entire enterprise.”

Series1

Total Enterprise Information Higher value

Long term preservation Rigorous business rules

Retention and Disposition Across the EnterpriseElectronic documents Non-electronic documentsEmailsSocial mediaFile sharesWeb sites

VideosWikisBlogsInstant messagesVoice mailOthers…

Requirements for structured content are the same for unstructured content.

Next Gen RM Issue #2:

Integrated Information Lifecycle Management:

“Cradle-to-the-grave lifecycle management for all recorded information, regardless of format, across the entire enterprise.”

Massive volume requires massive simplification.

Next Gen RM Issue #3:

US DoD Record Category Identifier 0430-02:Record Category Name: Foreign Employee Award FilesDisposition Authority: N1-218-00-3 item 18Transfer or Accession to NARA Indicator: YesVital Record Indicator: NoRecord 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 activityDisposition 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 CompleteNote: 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.

US DoD Record Category Identifier 0430-02:Record Category Name: Foreign Employee Award FilesDisposition Authority: N1-218-00-3 item 18Transfer or Accession to NARA Indicator: YesVital Record Indicator: NoRecord 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 activityDisposition 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 CompleteNote: 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.

Disposition approval at the record item level?

Disposition approval at the record item level?Approved retention schedule Documented processesRobust audit trail

Automate, Automate, Automate

Records declaration

Metadata population

Email archiving

Content destruction

TransfersFile plan

classification

Hardware and software obsolescence is the single biggest long term threat to records

management.

Next Gen RM Issue #4:

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.

US DoD Record Category Identifier 0430-02:Record Category Name: Foreign Employee Award FilesDisposition Authority: N1-218-00-3 item 18Transfer or Accession to NARA Indicator: YesVital Record Indicator: NoRecord 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 activityDisposition 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 CompleteNote: 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.

Standardize on software

Cloud computing is here to stay.

Next Gen RM Issue #5:

Proactive about inclusion on cloud discussionsUnderstand the technology

Off-premises On-premisesHybrid

Provide helpful inputFocus on RM issuesSolutions, not obstacles to success

Mobility.

Next Gen RM Issue #6:

Policy and TechnologyMobile Device Records Management Policy

BYOD Privacy concerns Train users Validate compliance

Technology Understand technology available Know where information lives Capture the content

Records created through social media channels are exploding.

Next Gen RM Issue #7:

Policy and TechnologySocial 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

We still haven’t solved the email records management ‘problem’.

Next Gen RM Issue #8:

Policy and TechnologyEmail 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

Legacy electronic records management functional standards have failed.

Next Gen RM Issue #9:

Concerns with DoD 5015.2Based on paper records management paradigmA records management application standard Massively complicatedCreating a compliant product is expensiveModel for records management is unworkable‘On Why I No Longer Support the DoD 5015.2 Standard’

A new standardBased 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.)

The importance of defensible destruction will continue to grow.

Next Gen RM Issue #10:

‘Save Everything’ is unsustainableLets imagine that everyone thought that way, and decided to keep everything forever. In 2011 the world stored 1.8 Zettabytes of data. If we decided to keep it all for the long term in the cloud, we would be effectively endowing it. How big would the endowment be? Applying our model, starting with S3's current highest-volume price of $0.055/GB/mo and assuming that price continues to drop at the 10%/yr historic rate for S3's largest tier, we need an endowment of about $6.3K/TB. So the net present value of the cost of keeping all the world's 2011 data in S3 would be about $11.4 trillion. The 2011 Gross World Product (GWP) at purchasing price parity is almost $80 trillion. So keeping 2011's data would consume 14% of 2011's GWP. The world would be writing S3 a check each month of the first year for almost $100 billion, unless the world got a volume discount.

David Rosenthal, ‘Let’s Just Keep Everything Forever in the Cloud’, May 2012

‘Save Everything’ is unsustainableLets imagine that everyone thought that way, and decided to keep everything forever. In 2011 the world stored 1.8 Zettabytes of data. If we decided to keep it all for the long term in the cloud, we would be effectively endowing it. How big would the endowment be? Applying our model, starting with S3's current highest-volume price of $0.055/GB/mo and assuming that price continues to drop at the 10%/yr historic rate for S3's largest tier, we need an endowment of about $6.3K/TB. So the net present value of the cost of keeping all the world's 2011 data in S3 would be about $11.4 trillion. The 2011 Gross World Product (GWP) at purchasing price parity is almost $80 trillion. So keeping 2011's data would consume 14% of 2011's GWP. The world would be writing S3 a check each month of the first year for almost $100 billion, unless the world got a volume discount.

David Rosenthal, ‘Let’s Just Keep Everything Forever in the Cloud’, May 2012

‘Save Everything’ is unsustainableLets imagine that everyone thought that way, and decided to keep everything forever. In 2011 the world stored 1.8 Zettabytes of data. If we decided to keep it all for the long term in the cloud, we would be effectively endowing it. How big would the endowment be? Applying our model, starting with S3's current highest-volume price of $0.055/GB/mo and assuming that price continues to drop at the 10%/yr historic rate for S3's largest tier, we need an endowment of about $6.3K/TB. So the net present value of the cost of keeping all the world's 2011 data in S3 would be about $11.4 trillion. The 2011 Gross World Product (GWP) at purchasing price parity is almost $80 trillion. So keeping 2011's data would consume 14% of 2011's GWP. The world would be writing S3 a check each month of the first year for almost $100 billion, unless the world got a volume discount.

David Rosenthal, ‘Let’s Just Keep Everything Forever in the Cloud’, May 2012

Defensible DestructionLeave the paper paradigm behindInnovative information lifecycle methods Solutions that are ‘good enough’Understand and leverage helpful legal precedent (e.g.

Rule 37(e) FRCP) Set destruction goalsMonitor progressConfident and aggressive

Next Generation Records Management Resources:NextGenRM.orgNext Generation Records Management LinkedIn

groupTwitter: @NextGenRM Don.Lueders@HarborPointIM.com

Questions