View
217
Download
0
Category
Tags:
Preview:
Citation preview
Effects of Social Networks Effects of Social Networks on Managing Electronic on Managing Electronic
RecordsRecords
Carol E.B. Choksy, Ph.D., CRM, PMPSchool of Library and Information Science
Indiana University, Bloomington
Organizational management
Metadata and media preservation are certainly very important in the management of electronic records, but just as important is the organizational structure, both formal and informal, for managing electronic records.
Until very recently, records managers in corporations reported primarily to Facilities or Administration and had little input into any part of the management of electronic records. ◊ Records managers were associated with shelving
and boxes.
Organizational management
Information Technology departments implemented many different applications without knowledge of how records, documents, or content should actually be managed. Most of the products implemented: email, content management, even Microsoft Office were used to create and distribute documents without concern for finding the documents again, much less preservation or destruction.
The net results have been major problems that have cost corporations millions of dollars in litigation discovery and clean-up, as well as lost opportunity costs—records can be used to improve business processes.
Organizational management
As records managers have begun to report to the Legal department and Compliance, their roles in the management of electronic records, and the management of electronic records, has changed dramatically.
Legal and Compliance are a better fit for records management because those departments cross corporate boundaries in the same way RIM does.
And Legal and Compliance are concerned with the enterprise level, not the department level.
Example of difference between IT and RIM concerns
IT interested only in “high value” documents◊ Large quantities◊ High intrinsic value, like IP
Records management interested in anything that can get the organization into trouble◊ Non-business emails from one employee
harassing another employee ◊ Cost UBS Warburg $38 million.
Premise of study
That reporting higher in the organizational hierarchy, i.e., closer to the Board of Directors will create more opportunities for better electronic records management.
Measures of success◊ RM and IT are speaking together about
records◊ Integrated RM and DM programs◊ Management of email as a document
Problem with study
Little historical information, other than ad hoc, about where records managers reported before this.◊ One study from Saffady done in 2000 of
45 records managers in “industry” reports that more than 2/3 of respondents report to• Administration• Facilities
Participation
900 potential companies◊ Fortune 500◊ Forbes 300◊ Transnational 100
332 contacted◊ This probably represents 80% of all potential
contacts◊ Most of them belong to ARMA◊ 100% of 150 cold calls of companies that did
not have ARMA members did not have a records management program
48 participated = 14% participation rate
Reasons for not participating
#1 confidentiality #2 do not participate in surveys #3 not enough time
Number of Companies Contacted
0
100
200
300
400
500
600
Fortune Forbes Transnationals
Company Category
Nu
mb
er Total
# contacted
Method
Contact records managers for participation in the study ◊ Fortune 500, ◊ Forbes 300, and ◊ Transnational 100.
Ask participants for comments to improve the draft survey for ◊ Achieving their own benchmarking goals◊ Receiving comments to improve survey◊ Assuring confidentiality
Put survey on surveymonkey.com◊ Get anonymous responses
Creating the survey
Every company contacted responded enthusiastically to the study topic.
Every comment to improve the survey was directed precisely at the desired subject of study, despite the opportunity to ask other types of “benchmarking” questions.
Only 5 companies gave comments
Demographics & Training
Age Gender Highest Level of Education Subject Degrees Received
In From where did you
receive your training in records management?
How long ago did you receive your training?
All sources of RIM training received
Formal training in business Years in Records
Management Do you have a CRM? If you have a CRM, when
did you earn it? Years at Current Company Years in Current Position Your Title Your Job Description (brief)
Interesting demographics
83% have college or higher degree1/3 have a CRM
◊ ARMA cohort only 1 in 10Training
◊ 64% Seminars & workshops◊ 81% On-the-job training
66% have 6+ years on the job76% have 6+ years in records
management
Records management portfolio
Records management responsibilities
0
10
20
30
40Document control/management
Distribution
Storage hard copy
Storage electronic
Destruction
Long-term preservation
Audit program
None
Policies
Procedures
Custodian of a records roomor off-site storage
Advisor only
Technology selection
Technology implementationadvice
Auditing program
Record type responsibility #1
Responsibilities for record types
0
10
20
30
40Policies
Procedures
Custodian of a records room or off-site storage
Advisor
Technology selection
Technology implementation advice
IM
Images
Desktop documents (like MSOffice)
Forms
Reports
Databases
Hard copy
None
Record type responsibility #2
Responsibilities for record types
0
10
20
30
40Email
IM
Images
Desktop documents (like MSOffice)
FormsReports
Databases
Hard copy
None
Policies
Procedures
Custodian of a records roomor off-site storage
Advisor
Technology selection
Technology implementationadvice
Company & department structure
Company major industry
Type of OwnershipMultinational
Corporation?Department NameTitle of officer
department reports directly to?
Location in relation to your own direct report
Department Is Part of What Division?
Other information that would help us understand the chain of command to which you report within your company
Companies that responded
77% Publicly traded15% Private8% Foreign-owned75% are multinationals (US or
foreign)
Reporting networks—Corporate
RIM
SVPHuman
Resources
CEO
CAO
33
ManagingDirector
Marketing &Communications
CorporateOr
AdminServices
3
2 CFO
3
ChiefInfo
SecurityOfficer
Reporting networks—Legal
AssistantGeneralCounsel
RIM
GeneralCounsel
CEO
10
CorporateSecretary
SVPCompliance
SVPOperationsExcellence
3
2
3
DirectorIT
CIO
2
Engineering&
Technical orFacilities
ChiefCompliance
Officer
5
2
Knowledge chains
In your corporation but outside your chain-of-command, who seeks you out for advice?
Within your corporation but outside your chain-of-command, from whom do you seek advice?
Are there other records managers within your corporation with whom you discuss RIM?
If there are other records managers within your corporation, how many are there?
From whom do you seek advice
Who speaks to whom
Who gets advice from whom
0
5
10
15
20
25
30
35
40
45
Lega
l
Complianc
e IT
Accou
nting Tax
Line-o
f-busin
ess m
anage
rs
Other
(plea
se sp
ecify)
Who seeks you out for advice
From whom do you seek advice
From whom is advice sought about a particular topic #1
Advice about a particular subject #1
0
10
20
30
40Organization of information
Life cycle
General technology
Electronic records
Policies and procedures
Auditing program
RM within company
RM at similar company
RM at dissimilar company
Employee in IT department
Friend
Paid consultant
RM Listserv
Internet
None
From whom is advice sought about a particular topic #2
Advice about a particular topic #2
0
10
20
30
40RM within company
RM at similar company
RM at dissimilar company
Employee in IT department
FriendPaid consultant
RM Listserv
Internet
None
Organization of information
Life cycle
General technology
Electronic records
Policies and procedures
Auditing program
Integration of RM & DM programs
How tightly integrated are RM and DM programs
0
2
4
6
8
10
12
14
16
Not at all Somewhat Very integrated Same program/product
Who files the electronic documents?
How records classified
0
2
4
6
8
10
12
14
16
18
None is performed User entirely Some userinvolvement
Automatic Other (pleasespecify)
Conclusions #1
Because of the lack of historical reporting information, it is difficult to tell whether electronic records are being managed “better” because records managers report to a “higher” level. ◊ Ad hoc information would suggest that it is.
Recent headlines for large, publicly traded companies regarding email in litigation would suggest that management of electronic records has reached its nadir.
Conclusions #2
Disproportionate numbers of records managers reporting to General Counsel◊ Many General Counsels report regularly to
the Board of Directors or are the Corporate Secretary.
◊ The expensive litigation penalties resulting from corporate mishandling of email has corporate attorneys, both in-house and outside counsel, going to seminars on electronic discovery in record numbers.
Conclusion #3
RIM knowledge network includes◊ Legal◊ IT◊ Line-of-business managers
RM and IT are speaking together about records◊ Integrated RM and DM programs◊ Management of email as a document
Portfolio of responsibility◊ Policies and procedures for most record types◊ Advice on electronic records implementation
Recommended