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

Email

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

Records and DM separate or united

0

5

10

15

20

25

Separate United

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)

Integration of email into RM

Are email management and RM the same

0

5

10

15

20

25

30

Yes No

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

Conclusion #4

Probably should perform the same study in a few years.

Will be performing the same study on government entities within the next few months.