Hong Kong Knowledge Management Society October 31 2006 IBM, Taikoo Place John James OBrien, BA, CRM,...

Hong Kong Knowledge Management Society

October 31 2006

IBM, Taikoo Place

John James O’Brien, BA, CRM, MALT

Partner & Principal ConsultantInformation Resource Management (IRM) StrategiesHong Kong

Insights on Records Management Programs

Practical Realities

© 2006 IRM Strategies All rights reserved.

RM is Big Business

• The records management (RM) market is projected to grow at a robust 25 percent per year over the next five years, according to Gartner, reaching nearly $200 million per year in software revenue.

• More broadly, the costs of compliance, including products and professional services, are predicted by IDC to reach $20 billion within the next three years.

KM World Judith Lamont - Posted Apr 26, 2006

http://www.gartner.com/

http://www.idc.com/


Discussion Topics

• Why Records Management?

• What is Records Management?

• How are RM Programs Configured Internationally

• Q & A

3


What is a record?

• Information created, received and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business ISO 15489

Accepted case law has held that a 'document' means anything upon which evidence or information is recorded in a manner intelligible to the senses or capable of being made intelligible by the use of equipment.

Peter Bullock, Masons, 2006


What is a record?

• Information is recorded and stored within containers (e.g. paper, DVD, servers, etc.)

• Format and media of containers are constraints on managing records, but are not of primary value in defining the needs and implications of retaining, using, disclosing and disposing recorded information.


Characteristics of Records

• Official (& unofficial)• Exist in context• Contain content • Structured• Accessible• Readability (usability)• Authenticity & integrity• Legally admissible• Exist through time• Can be migrated or

converted to another mediaCouncil Decree inscribed circa 196 BC, Egypt


• Old paradigm: records management focused on:– administrative support functions– office filing and file storage– warehouse operations

• New paradigm: recorded information management:– strategic focus on information content from three

perspectives:• Risk assessment and control• Quality achievement and improvement• Knowledge capacity building


Today’s Record Challenge

• Incompatible and obsolete soft / hardware

• Un-captured e-mail, work notes, SMS

• Un-managed imaging & audio

• Off-line storage tapes /disks

• Backup tapes & storage

• Laptops, PDAs, Tablets, Mobiles, I-Pods

• Voice-Mail, E-Calendars & Day Planners

• Web & multi-media records

• Organizations cannot know what they know

• Organizations cannot claim a consistent management of decision making processes


Media and Content

Dimensions of the challenge:– Unstructured information on

PC’s, email, etc.– Structured information in

defined computer systems– Web based: e-biz and B2P

(public) web presence– Multi-media collections– Organisations rarely value

recordkeeping as integral to quality outcomes

– Assumption that managing IT is the same as managing recorded information: it is not.

Past drivers for RM were:– Active File Management– Space cost reduction

through “inactive file” management

– Storage and retrieval needs

Today’s drivers are:– Multi-media content– Risk reduction– Cost management– Knowledge management


Models for Life Cycle Management

active

semi-active

inactivecreation

receipt

destruction

archival preservation

administrativeoperationalfiscallegal

primary values secondary values

research & developmentevidentialaudit

residual values

historical(archival) values

Traditional approaches to RM can be effective for communicating the basics and it is possible to achieve cost reductions adopting the model above.

Advances in RM theory shift effort from the end of the life cycle to the start. Today, the Australian Continuum Model integrates RM into business strategy. The model below supports corporate risk management needs while enabling learning communities and knowledge management.

From “Factors for Influence” by John James O’Brien, 1999


Ordinance, legislation, regulation =• need to prove the matter under review was not done wrongly• compliance is about what you did and did not do

The Recordkeeping Imperative

Litigation =• discovery process(es) can cost you MORE than settlement• e-records and unstructured record collections are “landmines”

Increasing collection of data and information =• exponential growth in e-records, particularly e-mail• reliance on paper to extend the usability of e-records• globalisation / mergers increases the size and complexity of

organizations


Basel II / MFiD / SOX RM Requirements

Governance

Record keeping

Risk management

Documentation

Transaction data

= Incidents & near misses

Consistent practice

Risk measurement and assessment controls depend upon a established processes within a managed context.


Standards – Choices & Implications

• ISO 15489 – Records Management Standard• ISO 17799 – Information Security Management• ISO 9000, 14000 Series: Quality & Environmental• BIP 0008 – Admissibility of E-Records• BSI PD 5000 – Admissibility of E-mails• DoD 5015.2• MOREQ/MOREQ II • ANSI/ARMA 5-2003 – Vital Records Protection


• Policies—defining what should be done;

• Procedures—specifying how policies should be implemented;

• Record keeping—adequate to prove the probity (integrity) of process

• Audits—verifying that what should have been done was, in

fact, done.

Risk mitigation


Risk Management requires:

• Content:– record content reveals the conduct of the business

and the facts of the matter

• Procedural evidence of authenticity: – The specific aspects of RM program management as

they pertain to the authenticity, reliability and validity of records

Key forms of transactional evidence


Cohhassett AIIM International 2002

Risk mitigation can NOT be realized, nor good corporate

governance & compliance achieved without records management.Tom Reding, CRMIBM Software Group


37

12

56

38 40

63

88

44

62 60

63% overall have a written policy for

managing records

37% do not

Finance IT Professional Services

Public Sector

Total %

Policies are fundamental…but

Adapted from Drury Research, per Martin Bradley, Archives Ireland


1%

14%

1%

1%

1%

29%

53%

When legal retention period is uncertain

Adapted from Drury Research, per Martin Bradley, Archives Ireland

Store it indefinitely

Ask advice

Store it for a year

Dispose of it anyway

Dispose of it seems appropriate

Don’t know

Other


Cohhassett AIIM International 2002

Adequacy of RM in Companies with RM


Electronic Records

• 72% report IT responsible for day-to-day management of e-records; RM 28%

• 47% doubt that IT is prepared to migrate records according to the retention plan

• 25% believe their organizations have adequate policies and procedures to ensure viable records for the duration of their required life.


Hypothetical – or is it?

• 2 years from now, your organisation is challenged in court

• Matter concerns activities 5-8 years earlier – within the legal limitations

• Issues of public perception, rights, legal compliance, etc.

• Do you have a plan of action to respond?

• What will it cost?• How long will it take?

• How will your organisation locate, access and review relevant data and records?


Hong Kong, the Basic Law & RM

• Court procedure in Hong Kong is largely unchanged since 1997

• Generally, the High Court requires each party to litigation to disclose all relevant documents in existence (favourable and not) when making discovery, and requires confirmation that:

• neither he nor his solicitor has “now, or ever had, in his possession, custody or power any document of any description whatever relating to any matter in question in this action, other than the documents [set out in his list of documents].”

• Furthermore, if the parties and their legal advisers do not adopt a 'sensible and responsible approach in dealing with discovery', they face cost penalties meted out by the Court (Re: Shun On Co. Ltd, Hon Kwan J., Court of First InstanceDecember 2002).

Peter Bullock, Masons, 2006


Managing the Recorded Information Resource

Seven questions simplify the answer. Managing recorded information is a complex business. But with the right expertise, it doesn’t have to be complicated.

Adapted from a White Paper by John James O’Brien, 2006


Off-site (semi-active) storage 96%

Records/file Systems Design 91%

Filing & retrieval services 87%

Retention planning 83%

RIM software/systems design 78%

Finding aid development (thessauri, indices, etc.) 65%

Vital records planning 65%

Disaster planning 61%

RIM related research 61%

RIM Program Components


Cost analysis 52%

Project management 48%

Business analysis 43%

Media conversion planning 43%

Micrographics 43%

Records conversion (to micro- or automated form) 43%

Manuals Management 35%

Risk analysis 35%

Security classification 35%

Audit 30%

Work-flow design 26%

Reprographics 18%

Forms Management 4%

0

0.2

0.4

0.6

0.8

1Records Conversion

Forms Management

RIM Related Research

Security Classification

Retention Planning

Records/File System Design

Media Conversion Planning

Finding Aid Dev.

Audit Responsibilities

Vital Records Planning

Manuals Management

Reprographics

Micrographics

Storage Services

Filing & Retrieval

Technical Tasks

Business AnalysisWorkflow Design

Risk Analysis

Cost Analysis

Project Mgmt

Enterprise-wideSystems Inv.

RIM ApplicationDesign

Disaster Planning

Basic Records Management Program


0

0.2

0.4

0.6

0.8

1Records Conversion

Forms Management

RIM Related Research

Security Classification

Retention Planning

Records/File System Design

Media Conversion Planning

Finding Aid Dev.

Audit Responsibilities

Vital Records Planning

Manuals Management

Reprographics

Micrographics

Storage Services

Filing & Retrieval

Technical Tasks

Business AnalysisWorkflow Design

Risk Analysis

Cost Analysis

Project Mgmt

Enterprise-wideSystems Inv.

RIM ApplicationDesign

Disaster Planning

Enterprise RIM Program



Reality Checks

0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

1

0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

1

0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

1

3 “real life” programs

In Australia, Canada and the United States, the trend indicates a shift from a traditional, administrative support model to a strategic, enterprise knowledge & risk management focus as seen in these three representative organisations.


Receptive Environments are HOT

0

1

2

3

4

5

6

7

Executive Grasps RM

Business Planning

Proactively Invited

Strategic Planning

Budget Equity

Realignment of Bus. Functions

Staffing Equity

Org. Mission Relationship

Risk Mgmt Value Grasped

Enterprise-wide Systems

Involved in RM Systems

Pay for RM Functions

Pay Levels for RIM Progam

Staff Reallocation

Personnel Grasps RM


Hostile Environments are NOT

Executive Grasps RM

Business Planning

Proactively Invited

Strategic Planning

Budget Equity

Realignment of Bus. Functions

Staffing Equity

Org. Mission Relationship

Risk Mgmt Value Grasped

Enterprise-wide Systems

Involved in RM Systems

Pay for RM Functions

Pay Levels for RIM Progam

Staff Reallocation

Personnel Grasps RM

0

1

2

3

4

5

6

7


It’s a Measurable Context

Hostile Environment

0

1

2

3

4

5

6

7

Receptive Environment

0

2

4

6

8

Some organisations are ready and able to leverage recorded information in a receptive environment and can build and maintain capacity with habit reinforcing tools such as the S4K Research Management Update and support for communities of practice.

Some require an investment in knowledge resource development to make needed change.


Benefits

• Compliance with relevant standards• Compliance with Global Legal and Regulatory requirements• Team/Enterprise/Global knowledge capacity building• Integrated Information Resource• Efficiencies of scale, expertise and staffing• Public perception management - ISO Accreditation, etc.• Business continuity through “Vital Records Management”• Defensible practices• Quality Improvements


References• An, X. A Chinese view of Records Continuum methodology and implications for

managing Electronic Records. (Accessed January, 11 2005). http://www.caldeson.com/RIMOS/xanuum.html

• Duranti, L.; Eastwood, T. and MacNeill, H. Preservation of the Integrity of Electronic Records , Kluwer Academic Publishers, Dordrecht, The Netherlands, 2002.

• European Union, Cornwall Management Consultants. Model Requirements for the Management of Electronic Records (MoReq). (Accessed August 25, 2006) MoReq

• International Organization for Standards. ISO 15489-1 and ISO 15289-2, Information and Documentation—Records Management. Geneva: International Organization for Standards, 15 September, 2001.

• Myers, E. The ABCs of Records Retention Schedule Development. (Accessed August 25, 2006). http://www.aiim.org/article-aiim.asp?ID=31458

• O’Brien, J. Factors for Influence: Organizational Context and Leadership in Recorded Information Management. Thesis in partial completion of a Master of Arts degree in Leadership and Training at Royal Roads University, Canada, 1999.

• Pelz-Sharpe, A. Records management redux: the nudge toward compliance. (Accessed 29 October, 2006). http://www.kmworld.com

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http://www.irmstrategies.com/cms

Partner & Principal ConsultantInformation Resource Management (IRM) StrategiesHong Kong SAR

mobile: +011-852-9162-1086email: [email protected]://www.irmstrategies.com

Associate PartnerS4K Research AB, Swedenhttp://www.s4k.com

Thank youJohn James O'Brien, BA, CRM, MALT

mailto:[email protected]?subject=Contact%20after%20viewing%20Practical%20Realities%20in%20RM

http://www.irmstrategies.com/

http://www.irmstrategies.com/

http://www.s4k.com/

Hong Kong Knowledge Management Society October 31 2006 IBM, Taikoo Place John James OBrien, BA, CRM,...

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