IT for Records
Nicole Smith, CRM, CDIA+, LIT
NAGARA 2009 Annual Meeting
July 16, 2009
Virtually everything in
business today is an
except how a company
manages its information.
How you gather, manage and
use your information will
determine whether you win
or loose. Bill Gates
• The Facts
• What do you need/expect to learn?
• Thank You!
• How many of you feel you have control over all or the
majority of your electronic records from an inventory
and retention perspective?
• “Our email management strategy has not yet begun
or much remains to be done”
• 75% of End Users*
• “There is widespread understanding in our
organization of what electronic records are and how
they should be retained”
• 67% of End Users Somewhat or Strongly Disagree*
• “In the event of a lawsuit, we have clear policies and
procedures in place outlining what to do relative to
• 55% of End Users Somewhat or Strongly Disagree*
The Facts (Con’t)
• 41% of Organizations have a Formal Program in Place
to Address Litigation Readiness and Electronic
*AIIM’s Industry Watch Survey, State of Information Management
How Well Do You Communicate?
• a structured collection of records or data which is stored in a
computer so that a program can consult it to answer queries.
• Now just one word.
• Disaster Recovery:
• is the process of regaining access to the data, hardware and
software necessary to resume critical business operations after a
natural or human caused disaster.
• Contingency Planning:
• A plan devised for a specific situation when things could go wrong
– typically a system failure.
• Records Series:
• Individual Records categorized on a Retention Schedule.
Communicating With IT
• IT Concerns:
• Occasionally, Discovery
• Network Support
• Legacy Support
• Disaster Recovery
• Desktop Support (Help Desk)
• Internet/Intranet/Web Development
Records Access Over Time
Records Access Over Time
“Managing Content’s Lifecycle”
AIIM Webinar, March 21, 2007
Consider A Context Diagram or Workflow Process
• Most Data goes through Process
• The System was Designed for a Reason
• Records not originally identified come to the surface
“Records Inventory”, Holmquist, CRM, Patricia, March 2007, ARMA Seattle Presentation
You Need to Work with IT
• These Days, most IT professionals understand what
RM Professionals do.
• You need to ask the right questions in order to find all
• You will never have a clue what data IT is managing
(beyond the obvious – e-mail, MS Office) without
assistance from the Business User
How to Conduct An Electronic Records Inventory
• You can and should inventory electronic records
when you begin your paper records inventory.
• Most of the Time, you will see a Direct Link between
physical and electronic (especially printing addicts)
• The best way to identify electronic records is by
contacting the business user
How to Conduct An Electronic Records Inventory (Con’t)
• 1. Identify all electronic systems (including MS
• 2. Ask who your client talks to in IT about their
system(s): Such as:
• A. Maintenance
• B. System Changes/Updates
• C. Backups; how are they handled?
Once Identified, Classify
• Just like with physical records, we look for the best fit
within our exisiting retention schedule.
• Some of the time, new categories will need to be
created (i.e.: System Logs)
Placing the Data in the Retention Schedule
• Depending on how your retention schedule is
structured, you may not find a suitable Records
• Most of the time the data will fit
• Be prepared to create new Records Series
• Setting Policy, electronic and physical records should
be treated the same
What is the Difference Between IT & RM ?
• Technically, not much. Both are in the business of
• IT Professionals are getting used to these terms:
• Data Forensics
• Ability to Read Data before it is Obsolete
• Rules of Civil Procedure
Electronic Records Inventory Checklist
• What Business Unit Owns the Data?
• Who is the Business Unit Contact?
• Who is the IT contact/that supports the electronic
• What medium is the data stored on?
• What format is the data in? (Unstructured –database,
• How often is the data backed up?
• How often are backup tapes rotated? (i.e. from offsite
and recycled use)
Electronic Records Inventory Checklist (Con’t)
• Have the backup tapes ever been tested? (i.e. can
they be read?)
• Is the data Vital?
• If the data is Vital, what are the Disaster Recovery
• If offsite storage is handled by a vendor, contact the
vendor for their availability during a disaster; and find
out how they support their clients during a disaster.
Federal Civil Rules of Procedure
• The manner in which electronic records will
have to be divulged.
• Unfortunately, this will reveal system and data
• Just like retention issues, most organizations
will find out the hard way: how difficult it is to
locate data in a timely manner.
Case Study: Oops! Technician’s Error Wipes Out Data For
• A Technician was reformatting a drive containing
Alaska’s oil-funded (Alaska Permanent Fund) account
with all the data regarding Alaska’s residents.
• The Good News: There were backup tapes.
• The Bad News: They Couldn’t be Read
• The Good News: 300 boxes of 2006 Applications still
existed and were available for scanning.
• It only cost $220,000
*CNN.com, POSTED: 9:42 a.m. EDT, March 20, 2007
Atlantic Southeast Airlines*
• 60 Regional Jets Grounded
• 87 Engines allowed to run past their
maximum hours of operation
• 10,000 passengers grounded
*USA Today, April 2, 2009, p 2B
• Identify the Process for Discovery (or other
• How notifications will go out
• What they Mean (i.e Retention is Suspended)
• It is the responsibility of the Business Owner to notify IT
of the hold
Policy for Handling Electronic Records Retention
• Invoke a Policy with IT on how electronic
records should be handled:
RM Reviews Data with Business Owner →
List of Eligible Records Is Created →
Approval From Legal →
RM Notifies IT →
Thank You !