Aiim electronic records management trends

Electronic Records Management

- still playing catch-up with paper

An AIIM Survey conducted during July 2009

Full ERM report available from www.aiim.org/research

Demographics

Page 3

Total respondents: 768

1-10

101-500

1,001-5,000

10,000+

0% 5% 10% 15% 20% 25%

US; 61%

Canada; 12%

UK & Ireland; 13%

Mainland Europe; 5%

Australia/New Zealand; 3%

Other; 7%

Government & Public Services - Provincial, State,

City, LocalGovernment & Pub-lic Services - Fed-

eral, National

Finance, Banking, Insurance

Utilities, Telecoms, Oil & GasIT & High Tech - ERM supplier

Manufacturing

Healthcare

Consultants

Charity, Not-for-Profit

Education

Pharmaceutical

Professional Services and

Legal,

Engineering & Construction

Retail, TransportIT & High Tech– NotCM Media, Publishing, Web

Demographics 2

Page 4

Records or Docu-ment Management

staff

Head of Records, Compliance, or

LegalProject Management or Business Development

Consultant or Ana-lyst

IT staff

CIO or Head of IT

LOB process owner

President, CEO, MD

Other

Paper vs Electronic

Page 5

Paper vs Electronic

Page 6

Is the volume of your PAPER records?

Paper vs Electronic

10+ employees non-Trade (648)

Paper records are still

increasing in 56% of

organizations, but in 21% it is at last showing

signs of decreasing

Increasing rapidly

Increasing somewhat

Stable

Decreasing somewhat

Decreasing rapidly

0% 5% 10% 15% 20% 25% 30% 35% 40%

Increasing rapidly

Increasing somewhat

Stable

Decreasing somewhat

Decreasing rapidly

0% 10% 20% 30% 40% 50% 60% 70% 80%

Electronic

Paper

Page 7

Is the volume of your ELECTRONIC records?

Paper vs Electronic

10+ employees (656)

But electronic is going crazy!

None

Small proportion

Significant proportion

Majority

All

0% 10% 20% 30% 40% 50% 60%

Electronic

Paper

Page 8

What proportion of your records would you say are UNMANAGED:

Paper vs Electronic

And it’s the electronic ones

that are less well managed

- electronic more than

twice as likely to be

unmanaged (44%)


Page 9

What proportion of your PAPER records would you say are:

Paper vs Electronic

The majority of paper records

are not electronically

indexed

Unmanaged

Managed in-house manually

Managed in-house electronically – dedicated system

Managed in-house electronically – alongside electronic records

Off-site warehoused

Outsource managed

0% 10% 20% 30% 40% 50% 60% 70%

10+ employees non-Trade (648)(weighted)

Unmanaged

Managed in file-shares

Managed in-house in dedicated ERM system(s)

Managed in dedicated Email Archive system(s)

Managed as part of an ECM system

Managed as records in SharePoint

Managed externally/outsourced

0% 5% 10%15%20%25%30%35%40%45%50%

Page 10

What proportion of your ELECTRONIC records would you say are:

Electronic

For those records that

are managed, just as likely to be managed in

a dedicated ERM system as

in ECM


Page 11

What proportion of the records generated by line of business applications and business process workflow are:

Business Process

LOB records are as likely to be printed and

managed as paper as filed outside of the

system.


)

Printed and managed as paper

Managed in business application databases

Managed in a dedicated ERM system

Managed as part of an ECM system

Managed externally/outsourced

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

Page 12

Which of the following policies and practices do you generally apply to paper records?

Business Process

Paper, paper, paper - even

when we have the electronic

original,

10+ employees non-Trade (648)multi-choice

We manually file newly received items as paper

We manually file newly received items as paper but index them electronically

We print newly generated office documents and file them

We print important emails and file them

We print anything that may need to be accessed for audit

We scan newly received items and file them electronically

We scan paper records if they are pulled from the manual file

We have a project to scan all of our paper records over time

0% 10% 20% 30% 40% 50% 60%

Page 13

Which of the following policies and practices do you generally apply to paper records?

Business Process

But half are scanning incoming

items, or at least indexing

them

And 30% are looking to go

paperless

10+ employees non-Trade (648)multi-choice

We manually file newly received items as paper

We manually file newly received items as paper but index them electronically

We print newly generated office documents and file them

We print important emails and file them

We print anything that may need to be accessed for audit

We scan newly received items and file them electronically

We scan paper records if they are pulled from the manual file

We have a project to scan all of our paper records over time

0% 10% 20% 30% 40% 50% 60%

Legal Discovery

Page 14

Legal Discovery

Page 15

Do you have a procedure that details how to apply legal hold on relevant records in the event of a litigation?

Legal Discovery

Better than expected –

electronic just 14% less than

paper

But still only just over half.


Paper records in-house

Paper records outsourced

Electronic office documents

LOB system documents/case files

Emails

Website

0% 10% 20% 30% 40% 50% 60% 70% 80%

Page 16

Do you have a procedure that details how to apply legal hold on relevant records in the event of a litigation?

Legal Discovery

Bigger organizations

have responded

faster to 2006 FRCP ruling

.


10-500 emps

500-5,000 emps

5,000+ emps

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

Electronic - 2006

Paper records - 2006

Electronic records - 2009

Paper records - 2009

Page 17

How long would a legal discovery search process take across your paper/electronic records:

Legal Discovery

Paper takes longer

25% > 1 monthvs

17% electronic


1 day

2-5 days

5-10 days

10-21 days

1 month

2 months

More than 2 months

0% 5% 10% 15% 20% 25%

Electronic

Paper

Page 18

Who would be responsible for doing the legal discovery search across your:

Legal Discovery

Reliance on IT staff to carry out searches on electronic

records


Paper records and archives in-

house

Paper records and archives outsourced

Electronic office documents

LOB system documents/case

files

Emails Website0%

10%

20%

30%

40%

50%

60%

Records staff IT staff Legal Staff LOB users Others

Page 19

As regards the tools you use for in-house legal discovery:

Legal Discovery

13% using dedicated

e-discovery tools and a further 22%

planning to do so


We use the functions within our ECM/ERM system

We have invested in Enterprise Search to help with legal discovery

We are using dedicated e-discovery tools or modules and find them useful

We are planning to invest in specific e-discovery tools or modules

We have found e-discovery tools to be of limited use

We could justify the investment but haven’t addressed this yet

We don’t have the volume of cases to justify any specific investment

0% 5% 10% 15% 20% 25% 30% 35% 40% 45%

Page 20

If challenged, how confident could you be that your electronic records have not been changed, deleted, or inappropriately accessed?:

Legal Discovery

37% not confident,

cf: 44% in 2007


Very confident

Confident

Fairly confident

Not very confident

Not at all confident

0% 5% 10% 15% 20% 25% 30%

Very confident

Confident

Fairly confident

Not very confident

Not at all confident

0 5 10 15 20 25 30 35 40

No System

With System

Page 21

If challenged, how confident could you be that your electronic records have not been changed, deleted, or inappropriately accessed?:

Legal Discovery

29% with ECM/ERM

systemnot confident,

60% without a system not confident

10+ employees non-Trade

260 with

80 without

Legal Discovery

Page 22

Governance

We have a set of policies for physical records but none for electronic records

We have a single set of policies which are applied to physical and electronic records

We have two sets of policies, one for physical and the other for electronic records

We have a number of policies dependent on whether electronic or physical, as well as location, business unit, media, complexity, etc.

We only have very basic policies

0% 10% 20% 30% 40% 50%

Page 23

Which of the following most accurately describes your records management policies?

Governance

45% have integrated policies for electronic and paper

16% of 5,000+ “only have very basic policies”


No enforcement at all

Occasional reminders

Sporadically monitored and highlighted

Monitored with some enforcement

Monitored and strongly enforced

0% 5% 10% 15% 20% 25% 30% 35%

Page 24

How would you describe monitoring and enforcement of records management policies in your organization?

Governance

But 38% do very little to encourage compliance


Train new staff in how to deal with paper records

Train new staff in how to deal with electronic records

Update existing staff regularly on how to deal with paper records

Update existing staff regularly on how to deal with electronic records

Have guidelines on what constitutes a record

Set guidelines on where or how it should be stored

Set guidelines on how to deal with emails as records

Enforce a standard fileplan/classification scheme

Maintain an official thesaurus

None of these

0% 10% 20% 30% 40% 50% 60% 70%

Page 25

Does your organization?

Governance

~40% do not provide any

staff guidance on how to deal with records

55% set no guidance on dealing with

emails as records


Page 26

Regarding your fileplan or classification scheme?

Governance

Getting there...~60%


We have an agreed scheme organization-wide

We adopted a sector-specific scheme

We have different schemes for different departments

We are still working to agree a scheme

We have yet to draft a scheme

We have no plans to use a classification scheme

0% 5% 10% 15% 20% 25% 30% 35%

Page 27

Regarding your retention schedules?

Governance

Some interesting differences


We are applying them consistently across all formats

We require approval to confirm destruction at the end of the retention schedule for paper records

We require approval to confirm deletion at the end of the retention schedule for electronic records

We only have very basic retention rules

0% 10% 20% 30% 40% 50% 60%

We have a Chief Records Officer at Executive Level

We have a Records Officer who reports to the CFO

We have a Records Officer who reports to the Corporate Secretary

Resides within Finance

Resides within Risk/Compliance

Resides within Legal

Resides within the IT Department

Records Management is devolved to Line of Business units

We have nobody with specific responsibility for these records

Other

0% 5% 10% 15% 20% 25% 30%

Electronic

Paper/Physical

Page 28

Which of the following would best apply in your organization as regards the highest level of records management expertise and responsibility for PAPER/PHYSICAL records?

Governance

5% at C-level

27% Still expecting IT to

take on new responsibilities


There will be an executive or C-level responsibility with specific knowledge of RM

It will be a specific responsibility of the legal/compliance department

It will be absorbed into the responsibilities of the IT department

It will be a responsibility of staff within the Line of Business units

It will stay split between Finance/Legal/Records and IT

Don't know

0% 5% 10% 15% 20%

Page 29

Which direction do you think Records Management responsibility is heading in, say, 3-5 years time?

Governance

C-level up from 5% to

18%

IT down from 27% to 12%


Legal Discovery

Page 30

Integration with Enterprise Systems

Page 31

From which of the following systems are you able to directly declare a record within your defined retention and classification schemes?

Integration

RM System still mostly stand-

alone


Physical/paper records management

Scanning/imaging/capture

Email

Document Management

Shared drives

SharePoint

Finance

Website

Other LOB applications

ERP

CRM

Phone

Instant Messaging

SMS/Text

Blogs

Wikis

CCTV

None of these

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

Page 32

How will your spending on Records Management in the next 12 months compare with the previous 12 months?

Integration

Planned spend is up

(except consultancy)


Dedicated RM systems

RM modules within ECM system

Connectivity/middleware/portals between systems

Electronic systems for physical records

Enterprise search

Legal hold

Consulting services

Training

0.00% 20.00% 40.00% 60.00% 80.00% 100.00% 120.00% 140.00%

Series1 Much less Less Same More Much more

Page 33

What use is made of standards in your organization for best practice records management?

Standards


There is no real knowledge of RM standards

We are aware of the RM standards but don’t follow closely

We follow general business standards such as ISO 9001

We have knowledge of ISO 15489, but are not trying reach compliance

We are working towards compliance with IS0 15489

We are compliant and audited to ISO 15489-1

We use DoD 5015 as a best practice reference

We use MoReq2 as a best practice reference

0% 5% 10% 15% 20% 25% 30%

27% working to ISO 15489

and/orDoD5015 or

MoReq2

Page 34

Which of the following would you say are the most important for encouraging user adoption of Records Management? (max 4)

User Adoption


Regular training

Automatic classification

Blocking C: drives, share drives and removables

Automated email rules

Classification prompts

One-click declaration

Seamless with email client

Seamless with SharePoint

Favorites

SharePoint site archive wizards

0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

Carrot, hands-off,or stick?

Legal Discovery

Page 35

Manage in Place

5 or less

5-10

10-15

15-20

20-30

30-50

More than 50

0% 5% 10% 15% 20% 25% 30% 35%

Page 36

How many separate content repositories do you have in your organization that could usefully be linked or managed in one place for single-point access?

Multiple Repositories


31% of organizations

have 20 or more

repositories that could be

linked

Page 37

Which repositories would you like to link or manage in one place?



Email is the priority

Email

Existing DM system(s)

RM system(s)

Business/document process workflow system(s)

Outsourced storage

SharePoint system(s)

CRM

ERP

Other Line Of Business applications

WCM system(s)

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Already have Priority Sometime Unlikely

Page 38

Which connection mechanisms are you using or developing to link repositories?



Considerable use of

customized links

In-house developed

Vendor supplied as standard

Vendor custom-developed

Third-party middleware

Enterprise search

None of these

0% 5% 10% 15% 20% 25% 30% 35% 40%

XML

Open Source

CMIS

BPEL

XAM

JSR171

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Very important Quite important Not at all important Not sure what this is

Page 39

How important are the following standards for you?



But little under-

standing of CMIS

Search

Sign-on with rights

Hold

Delete

Retention

Destruction

All of these across 2 repositories

All of these across 3-4 repositories

All of these across 5 or more repositories

None of these

0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%

Page 40

As regards “Manage in Place”, which functions are you currently able to use across 2 or more repositories?



Some early pioneers are getting it to

work

Legal Discovery

Page 41

Cloud, and long-term archive

Page 42

In view of security considerations, would you store ELECTRONIC RECORDS in any of the following? ("Cloud" = managed records, off-premise, on an un-specified server)



If the Cloud were owned within the

“family”, half might go for

it

Local (identifiable) outsource

Corporate cloud

Government organized cloud

Google/MS/Amazon/etc cloud within defined national locale

Google/MS/Amazon/etc cloud stored anywhere

0% 25% 50% 75% 100%

Using now Plan to use (next 2yrs) Possibly Wouldn't use

Page 43

Do you have ELECTRONIC records which need to be retained for:

Long-Term Archive


Most organizations

have some very long-

term retention

requirements

6 years

20 years

Person lifetimes

Forever/historical

0% 10% 20% 30% 40% 50% 60% 70% 80%

Page 44

Do you store a significant proportion of your records in the following formats?

Long-Term Archive


But they are happy to use

native file formats!

Native (eg, DOC, XLS)

PDF

HTML (eg. Emails, web)

TIFF

JPEG

PDF-A

VERS

0% 10% 20% 30% 40% 50% 60% 70%

Now

Archive

Already have

Within 1 year

Within 2 years

Within 3 years

Within 5 years

Unlikely

0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%

Page 45

Do you plan to converge to PDF-A?

Long-Term Archive


Slow progress!

Page 46

Do you have a POLICY/BUDGET for ?

Long-Term Archive


Nearly 70% have no

forward view on long-term

archive

Media migration

Format translation

Application archive or virtualization

None of these

0% 10% 20% 30% 40% 50% 60% 70% 80%

Budget

Policy

Page 47

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Aiim electronic records management trends