Copyright 2008 Lockheed Martin Corporation. All Rights Reserved. The Non-Record: Is It Evolving?...

Copyright 2008 Lockheed Martin Corporation.Copyright 2008 Lockheed Martin Corporation.All Rights Reserved.All Rights Reserved.

The Non-Record: Is It Evolving?The Non-Record: Is It Evolving?Session 507Session 507

San FranciscoSan Francisco

August 30, 2008August 30, 2008

San FranciscoSan Francisco

August 30, 2008August 30, 2008


Business processes have changed as technology has been Business processes have changed as technology has been

applied to them, but our thinking about records and their applied to them, but our thinking about records and their management has not kept upmanagement has not kept up

Records are only a part of the information assets that support Records are only a part of the information assets that support business goals business goals

Non records may exist, but the dichotomy is no longer useful Non records may exist, but the dichotomy is no longer useful and, in fact, can be harmfuland, in fact, can be harmful

Our definition of what needs to be managed may be sub-Our definition of what needs to be managed may be sub-optimizing our organizationsoptimizing our organizations

A bigger, more pressing, problem than record/non record: Lack A bigger, more pressing, problem than record/non record: Lack of management of all information assetsof management of all information assets

Better to manage all information assets according to records Better to manage all information assets according to records management principles (ISO 15489)management principles (ISO 15489)

How this is done in the management of records and other How this is done in the management of records and other business assets depends on business needsbusiness assets depends on business needs

Business processes have changed as technology has been Business processes have changed as technology has been

applied to them, but our thinking about records and their applied to them, but our thinking about records and their management has not kept upmanagement has not kept up

Records are only a part of the information assets that support Records are only a part of the information assets that support business goals business goals

Non records may exist, but the dichotomy is no longer useful Non records may exist, but the dichotomy is no longer useful and, in fact, can be harmfuland, in fact, can be harmful

Our definition of what needs to be managed may be sub-Our definition of what needs to be managed may be sub-optimizing our organizationsoptimizing our organizations

A bigger, more pressing, problem than record/non record: Lack A bigger, more pressing, problem than record/non record: Lack of management of all information assetsof management of all information assets

Better to manage all information assets according to records Better to manage all information assets according to records management principles (ISO 15489)management principles (ISO 15489)

How this is done in the management of records and other How this is done in the management of records and other business assets depends on business needsbusiness assets depends on business needs

Our PositionOur Position

Copyright Copyright 2008 2008 Lockheed Martin Corporation.Lockheed Martin Corporation.All Rights Reserved.All Rights Reserved.

A View of the Organization EcosystemA View of the Organization Ecosystem


The RIM Process Model™The RIM Process Model™

Manage

Assess

Preserve

Create & Capture

Use

Search & Access

Leverage/Share/Repurpose

Copyright 2008 Lockheed Martin CorporationCopyright 2008 Lockheed Martin CorporationAll Rights ReservedAll Rights Reserved

Recognize theRecognize theRIMRIMHierarchyHierarchyofofNeedsNeeds

ShareShareRe-useRe-use

Re-purposeRe-purpose

ExploitExploit

Drowning in the Digital SwampDrowning in the Digital Swamp

Get Physical ControlGet Physical Control

Get Intellectual ControlGet Intellectual Control

Get Disposition ControlGet Disposition Control

Preservation CapabilityPreservation Capability


LEVEL SET


Record (components of the definition)Record (components of the definition) All mediaAll media Made or received Made or received In the course of the transaction of public businessIn the course of the transaction of public business Preserved or appropriate for preservation by that agency as Preserved or appropriate for preservation by that agency as

■ Evidence Evidence ■ For informational value For informational value

Other variations on the record definitionOther variations on the record definition

Non record (components of the definition)Non record (components of the definition) Enumerated items Enumerated items Anything that does not meet the definition of a recordAnything that does not meet the definition of a record Older items: Items not on a scheduleOlder items: Items not on a schedule

Unifying conceptsUnifying concepts

Record (components of the definition)Record (components of the definition) All mediaAll media Made or received Made or received In the course of the transaction of public businessIn the course of the transaction of public business Preserved or appropriate for preservation by that agency as Preserved or appropriate for preservation by that agency as

■ Evidence Evidence ■ For informational value For informational value

Other variations on the record definitionOther variations on the record definition

Non record (components of the definition)Non record (components of the definition) Enumerated items Enumerated items Anything that does not meet the definition of a recordAnything that does not meet the definition of a record Older items: Items not on a scheduleOlder items: Items not on a schedule

Unifying conceptsUnifying concepts

Definitions Definitions


What is your understanding of the definitions of What is your understanding of the definitions of

record and non record?record and non record? Is the distinction useful and if so why?Is the distinction useful and if so why? What are your examples of non records?What are your examples of non records? Cited by NARA:Cited by NARA:

■ Information copiesInformation copies Routing slipsRouting slips

■ Tickler filesTickler files Duplicate copies in the Duplicate copies in the same filesame file

■ Catalogs, trade journals, etc., that require no actionCatalogs, trade journals, etc., that require no action

■ Extra copies of printed materials where a record copy Extra copies of printed materials where a record copy existsexists

■ Artifacts with no evidential value.Artifacts with no evidential value.

What is your understanding of the definitions of What is your understanding of the definitions of

record and non record?record and non record? Is the distinction useful and if so why?Is the distinction useful and if so why? What are your examples of non records?What are your examples of non records? Cited by NARA:Cited by NARA:

■ Information copiesInformation copies Routing slipsRouting slips

■ Tickler filesTickler files Duplicate copies in the Duplicate copies in the same filesame file

■ Catalogs, trade journals, etc., that require no actionCatalogs, trade journals, etc., that require no action

■ Extra copies of printed materials where a record copy Extra copies of printed materials where a record copy existsexists

■ Artifacts with no evidential value.Artifacts with no evidential value.

QuestionsQuestions


Some common ones we’ve heard. Is there a match?Some common ones we’ve heard. Is there a match? Emails about lunchEmails about lunch

Desktop documentsDesktop documents

Comments/edits on Comments/edits on documentsdocuments

DatabasesDatabases

Voice mailVoice mail

Information feedsInformation feeds

Surveillance videosSurveillance videos

Mash-ups that mix Mash-ups that mix organizational information organizational information and external informationand external information

Emails about lunchEmails about lunch

Desktop documentsDesktop documents

Comments/edits on Comments/edits on documentsdocuments

DatabasesDatabases

Voice mailVoice mail

Information feedsInformation feeds

Surveillance videosSurveillance videos

Mash-ups that mix Mash-ups that mix organizational information organizational information and external informationand external information

Emails that replace phone callsEmails that replace phone calls

Drafts Drafts

GIS layers from other sourcesGIS layers from other sources

Text messages / IM / TwitterText messages / IM / Twitter

Web sites / Blogs / WikisWeb sites / Blogs / Wikis

Database search resultsDatabase search results

Web sites cachesWeb sites caches

SoftwareSoftware

Google alertsGoogle alerts

Downloaded publicationsDownloaded publications

Emails that replace phone callsEmails that replace phone calls

Drafts Drafts

GIS layers from other sourcesGIS layers from other sources

Text messages / IM / TwitterText messages / IM / Twitter

Web sites / Blogs / WikisWeb sites / Blogs / Wikis

Database search resultsDatabase search results

Web sites cachesWeb sites caches

SoftwareSoftware

Google alertsGoogle alerts

Downloaded publicationsDownloaded publications

Non Record Examples?Non Record Examples?


What is public business of, for which we need evidence?What is public business of, for which we need evidence?

What is a business transaction?What is a business transaction?

Who makes the decision on what is necessary to document Who makes the decision on what is necessary to document public business?public business?

Record of what activity, for what purpose, in whose opinion?Record of what activity, for what purpose, in whose opinion?

Is everything that serves as evidence a record?Is everything that serves as evidence a record?

If we can’t agree on what a record is, how can we agree on If we can’t agree on what a record is, how can we agree on what is a non record?what is a non record?

What is public business of, for which we need evidence?What is public business of, for which we need evidence?

What is a business transaction?What is a business transaction?

Who makes the decision on what is necessary to document Who makes the decision on what is necessary to document public business?public business?

Record of what activity, for what purpose, in whose opinion?Record of what activity, for what purpose, in whose opinion?

Is everything that serves as evidence a record?Is everything that serves as evidence a record?

If we can’t agree on what a record is, how can we agree on If we can’t agree on what a record is, how can we agree on what is a non record?what is a non record?

Gray areas in the definitionsGray areas in the definitions


ObjectivesObjectives

AssumptionsAssumptions

ConditionsConditions

Driving forcesDriving forces

Constraints Constraints

ObjectivesObjectives

AssumptionsAssumptions

ConditionsConditions

Driving forcesDriving forces

Constraints Constraints

Origins of the Non Record ApproachOrigins of the Non Record Approach


Record/non record may be OK in theory, but in Record/non record may be OK in theory, but in practice can be dangerouspractice can be dangerous

Some common views in organizationsSome common views in organizations Records belong to the organization and I may be Records belong to the organization and I may be

responsible for them, but I don’t “own” them responsible for them, but I don’t “own” them (stewardship)(stewardship)

Non records are mine and I can set my own rules Non records are mine and I can set my own rules (ownership)(ownership)

There is no need to manage non records, even There is no need to manage non records, even though the management, from a volume though the management, from a volume perspective, has been seen by RIM for decadesperspective, has been seen by RIM for decades

Record/non record may be OK in theory, but in Record/non record may be OK in theory, but in practice can be dangerouspractice can be dangerous

Some common views in organizationsSome common views in organizations Records belong to the organization and I may be Records belong to the organization and I may be

responsible for them, but I don’t “own” them responsible for them, but I don’t “own” them (stewardship)(stewardship)

Non records are mine and I can set my own rules Non records are mine and I can set my own rules (ownership)(ownership)

There is no need to manage non records, even There is no need to manage non records, even though the management, from a volume though the management, from a volume perspective, has been seen by RIM for decadesperspective, has been seen by RIM for decades

Common misunderstandings/viewsCommon misunderstandings/views


Differing mental models on record/non record cause Differing mental models on record/non record cause confusion and hinder communication confusion and hinder communication

As a mental model, it frames and constrains our thinking to As a mental model, it frames and constrains our thinking to focus on a subset of information assets focus on a subset of information assets

Focus is on what information assets must be managed as Focus is on what information assets must be managed as records rather than how to manage them. EPA examplerecords rather than how to manage them. EPA example

Uneven application results in poorer records and increased Uneven application results in poorer records and increased organization vulnerabilityorganization vulnerability

RMO and archivists are not included in conversations about RMO and archivists are not included in conversations about non record materials.non record materials.

RMOs represent needs of the organization andRMOs represent needs of the organization and Archivists the needs of the larger communityArchivists the needs of the larger community

Differing mental models on record/non record cause Differing mental models on record/non record cause confusion and hinder communication confusion and hinder communication

As a mental model, it frames and constrains our thinking to As a mental model, it frames and constrains our thinking to focus on a subset of information assets focus on a subset of information assets

Focus is on what information assets must be managed as Focus is on what information assets must be managed as records rather than how to manage them. EPA examplerecords rather than how to manage them. EPA example

Uneven application results in poorer records and increased Uneven application results in poorer records and increased organization vulnerabilityorganization vulnerability

RMO and archivists are not included in conversations about RMO and archivists are not included in conversations about non record materials.non record materials.

RMOs represent needs of the organization andRMOs represent needs of the organization and Archivists the needs of the larger communityArchivists the needs of the larger community

Why is this important?Why is this important?


WORKPLACE CHANGES AND WORKPLACE CHANGES AND THEIR IMPLICATIONS FOR THEIR IMPLICATIONS FOR RECORDS AND RECORDS RECORDS AND RECORDS

MANAGEMENTMANAGEMENT

WORKPLACE CHANGES AND WORKPLACE CHANGES AND THEIR IMPLICATIONS FOR THEIR IMPLICATIONS FOR RECORDS AND RECORDS RECORDS AND RECORDS

MANAGEMENTMANAGEMENT


Decline in the number of support staff Decline in the number of support staff

Storage issues change for staffStorage issues change for staff

Accountability, transparency and privacy are driving forces Accountability, transparency and privacy are driving forces in recordkeepingin recordkeeping

New multi media information streamsNew multi media information streams

More documentation is being createdMore documentation is being created

More litigation and regulationMore litigation and regulation

Shift in costs Shift in costs

IT problems have shiftedIT problems have shifted

Record/non record status is not always clear at creation, yet Record/non record status is not always clear at creation, yet many ERMS require it at creationmany ERMS require it at creation

Decline in the number of support staff Decline in the number of support staff

Storage issues change for staffStorage issues change for staff

Accountability, transparency and privacy are driving forces Accountability, transparency and privacy are driving forces in recordkeepingin recordkeeping

New multi media information streamsNew multi media information streams

More documentation is being createdMore documentation is being created

More litigation and regulationMore litigation and regulation

Shift in costs Shift in costs

IT problems have shiftedIT problems have shifted

Record/non record status is not always clear at creation, yet Record/non record status is not always clear at creation, yet many ERMS require it at creationmany ERMS require it at creation

Changes In The Workplace In The Workplace


If we ignored the record / non record question, it could:If we ignored the record / non record question, it could:

Eliminate confusion and/or misunderstanding about record / non Eliminate confusion and/or misunderstanding about record / non recordrecord

Refocus discussion on management of information assets rather Refocus discussion on management of information assets rather than record statusthan record status

Improved managementImproved management No threshold question barrier to prove record statusNo threshold question barrier to prove record status Improves intellectual control of all information assetsImproves intellectual control of all information assets

Reduce complexity and simplifiy management Reduce complexity and simplifiy management all assets managed by same set of policies/proceduresall assets managed by same set of policies/procedures

Reduce confusion between records policy and legal and Reduce confusion between records policy and legal and compliance programscompliance programs

Ensure RMOs and archivists a seat at the table for all Ensure RMOs and archivists a seat at the table for all information assetsinformation assets

If we ignored the record / non record question, it could:If we ignored the record / non record question, it could:

Eliminate confusion and/or misunderstanding about record / non Eliminate confusion and/or misunderstanding about record / non recordrecord

Refocus discussion on management of information assets rather Refocus discussion on management of information assets rather than record statusthan record status

Improved managementImproved management No threshold question barrier to prove record statusNo threshold question barrier to prove record status Improves intellectual control of all information assetsImproves intellectual control of all information assets

Reduce complexity and simplifiy management Reduce complexity and simplifiy management all assets managed by same set of policies/proceduresall assets managed by same set of policies/procedures

Reduce confusion between records policy and legal and Reduce confusion between records policy and legal and compliance programscompliance programs

Ensure RMOs and archivists a seat at the table for all Ensure RMOs and archivists a seat at the table for all information assetsinformation assets

Potential Impact – Overall Potential Impact – Overall


Impact on Ecosystem Components Impact on Ecosystem Components


Actual impact on archives is unclear since most records that Actual impact on archives is unclear since most records that are affected are disposable.are affected are disposable.

What is your mandate for collection?What is your mandate for collection? Activities of government/organization – focus on official Activities of government/organization – focus on official

actionsactions Maintain record for accountability and transparencyMaintain record for accountability and transparency Provide records for researchersProvide records for researchers Where does the archival interest endWhere does the archival interest end

What is your greater fear:What is your greater fear: Getting too much stuffGetting too much stuff Getting too littleGetting too little

Do we want to require electronic records beDo we want to require electronic records bemanaged like paper?managed like paper?

Actual impact on archives is unclear since most records that Actual impact on archives is unclear since most records that are affected are disposable.are affected are disposable.

What is your mandate for collection?What is your mandate for collection? Activities of government/organization – focus on official Activities of government/organization – focus on official

actionsactions Maintain record for accountability and transparencyMaintain record for accountability and transparency Provide records for researchersProvide records for researchers Where does the archival interest endWhere does the archival interest end

What is your greater fear:What is your greater fear: Getting too much stuffGetting too much stuff Getting too littleGetting too little

Do we want to require electronic records beDo we want to require electronic records bemanaged like paper?managed like paper?

Potential Impact On ArchivistsPotential Impact On Archivists


Much that many would consider non record will enrich the Much that many would consider non record will enrich the understanding of decision making.understanding of decision making.

Disagreements among decision makers captured in emailDisagreements among decision makers captured in email Characterizations of other decision makers captured in emailCharacterizations of other decision makers captured in email Who is on the short list of people the decision maker Who is on the short list of people the decision maker

contacts regularlycontacts regularly Emails to spouse and/or love interestsEmails to spouse and/or love interests Email as a telephone logEmail as a telephone log

Do you want top-level officials (or their admins) making a Do you want top-level officials (or their admins) making a record/non record decision?record/non record decision?

Do you want to give them a rationale to purge files?Do you want to give them a rationale to purge files? How would you defend that to the public,How would you defend that to the public,

journalists, etc.journalists, etc.

Much that many would consider non record will enrich the Much that many would consider non record will enrich the understanding of decision making.understanding of decision making.

Disagreements among decision makers captured in emailDisagreements among decision makers captured in email Characterizations of other decision makers captured in emailCharacterizations of other decision makers captured in email Who is on the short list of people the decision maker Who is on the short list of people the decision maker

contacts regularlycontacts regularly Emails to spouse and/or love interestsEmails to spouse and/or love interests Email as a telephone logEmail as a telephone log

Do you want top-level officials (or their admins) making a Do you want top-level officials (or their admins) making a record/non record decision?record/non record decision?

Do you want to give them a rationale to purge files?Do you want to give them a rationale to purge files? How would you defend that to the public,How would you defend that to the public,

journalists, etc.journalists, etc.

Impact On Archival AppraisalImpact On Archival Appraisal


Records are a part of the information assets that support Records are a part of the information assets that support business goalsbusiness goals Records management must balance the records, Records management must balance the records,

requirements for recordkeeping,requirements for recordkeeping, the risks poor management of the records posesthe risks poor management of the records poses the business benefit good management offers, andthe business benefit good management offers, and the available resources to identify what is “good the available resources to identify what is “good

enough” records management for the organizationenough” records management for the organization

Manage everything using records management principles Manage everything using records management principles (ISO 15489)(ISO 15489)

How this is done in the management ofHow this is done in the management ofrecords and other business assets dependsrecords and other business assets dependson business needson business needs

Records are a part of the information assets that support Records are a part of the information assets that support business goalsbusiness goals Records management must balance the records, Records management must balance the records,

requirements for recordkeeping,requirements for recordkeeping, the risks poor management of the records posesthe risks poor management of the records poses the business benefit good management offers, andthe business benefit good management offers, and the available resources to identify what is “good the available resources to identify what is “good

enough” records management for the organizationenough” records management for the organization

Manage everything using records management principles Manage everything using records management principles (ISO 15489)(ISO 15489)

How this is done in the management ofHow this is done in the management ofrecords and other business assets dependsrecords and other business assets dependson business needson business needs

A Better ApproachA Better Approach

Manage

Assess

Preserve

Create & Capture

Use

Search & Access


Manage

Assess

Preserve

Create & Capture

Use

Search & Access



Archivists especially need to think about whether Archivists especially need to think about whether the record/non record distinction is still useful.the record/non record distinction is still useful.

If we maintain a narrow the definition of record we If we maintain a narrow the definition of record we risk losing a lot of the richness of the information risk losing a lot of the richness of the information available that will allow us to provide a fuller available that will allow us to provide a fuller understanding of the past.understanding of the past.

If we don’t do it nobody else will.If we don’t do it nobody else will.

Archivists especially need to think about whether Archivists especially need to think about whether the record/non record distinction is still useful.the record/non record distinction is still useful.

If we maintain a narrow the definition of record we If we maintain a narrow the definition of record we risk losing a lot of the richness of the information risk losing a lot of the richness of the information available that will allow us to provide a fuller available that will allow us to provide a fuller understanding of the past.understanding of the past.

If we don’t do it nobody else will.If we don’t do it nobody else will.

The Next PhaseThe Next Phase


We’d appreciate your:We’d appreciate your:

QUESTIONSQUESTIONS

COMMENTSCOMMENTS

SUGGESTIONSSUGGESTIONS

Michael L. Miller L. Reynolds [email protected] [email protected]: 301-640-3678 Office: 301-640-2844

We’d appreciate your:We’d appreciate your:

QUESTIONSQUESTIONS

COMMENTSCOMMENTS

SUGGESTIONSSUGGESTIONS

Michael L. Miller L. Reynolds [email protected] [email protected]: 301-640-3678 Office: 301-640-2844

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Copyright 2008 Lockheed Martin Corporation. All Rights Reserved. The Non-Record: Is It Evolving?...

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