DASTA Effective Records and Information Management Presentation

Transcription

1 Your Documents. Our Management. DASTA Effective Records and Information Management Presentation Dr. Robert L. Bailey, CRM, MIT, ECMp L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 1

2 Introduction Dasta Introduction Summary The first records management company in Georgia Established in January 2014 Georgian, Dutch, French and American leadership Services 1 2 Physical Records Management Storage of documents at a specialized warehouse Ability to electronically or physically deliver documents Electronic Document Imaging and Storage Digitization of documents to provide added security Access documents at any time, within seconds A diverse, international leadership team George Akhalkatsi, Chairman Experience: EBRD, Bank Republic, Begiashvili & Company, Black Sea Capital, Transparency International Education: Tbilisi State University Daan Harmsen, Operations Experience: GeoCapital, Deutsche Bank, International Spark Program Education: Harvard University Ryan Millikan, Finance & Strategy Experience: HSBC, J.P. Morgan, Sakcable, Black Sea Capital Education: University of Chicago Booth School of Business 3 Secure Document Shredding Professional document shredding service Scheduled pick up of secure, confidential bins or other projects Paul-Henri Forestier, Board Member Experience: EBRD, Chemical Bank, Credit Lyonnais, BNP Paribas Education: Paris University 4 Related Services Document delivery and pick up Records and information management consulting Partners L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 2

3 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 3

4 How important is document (records) (information) management? Gurus of Management 1985 to Present Michael Porter-Competitive Advantage Tom Peters-The Pursuit of Wow Charles Nesbitt-Megatrends Asia Michael Hammer-Reengineering the Corporation Charles Handy-The Empty Raincoat Stephen R Covey- Seven Habits Peter Drucker-The Changing World Bill Speed of Though Leif Edivinsson Intellectual Capital Thomas Kouropoulos The X-Economy Fundamentals First Technology Second Phil Simon- To Big to Ignore L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 4

5 What can we talk about? From ARMA alone, they recommend over 64 different topics Identified 7 different topics to cover Divided into Fundamentals and Electronic records, information and knowledge management L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 5

6 Introduction and Overview of RIM Fundamentals of Records Management Evolution of Records Management Facts and Figures on Records Management Paper vs Electronic Records Professional Records Managers Outsourcing Information Asset or Liablility L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 6

7 What is a Record? Do we know a record when we see it? Information Data Non record Document Working File Record Official record Electronically stored information (ESI) We don t all see the same thing L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 7

8 Records Management the planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition, including the management of correspondence, forms, directives, reports, machinereadable records, microforms, information retrieval, files, mail, vital records, records equipment and supplies, word processing and source data automation techniques, records preservation, records disposal, and records centers or other storage facilities. Adopted by 93 rd Congress Second Session May 21, 1974 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 8

9 More Simple Definition Five Rights of Records Management A good records system controls the creation of records from birth to disposal/archival. The system will provide the right information to the right person, at the right time, right place in the right format with minimum storage and handling cost. L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 9

10 Nonrecords When it is difficult to decide whether documents are records or nonrecords, staff should treat them as records. Nonrecords should not be interfiled with records. Nonrecords must be destroyed when they are no longer needed for reference; extra copies may not be retained after the record copy is destroyed L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 10

11 The minimum RIM requirement* Records Management Policy Inventory of all types of and categories or records Documented classification or index system Retention and destruction plan * irrespective of media and content L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 11

12 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 12

13 Knowledge Management Information Documents (Records) Data L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 13

14 Life Cycle of a Record Permanent Storage Records Creation Records Disposition Records Storage Inactive Records Transfer Records Storage Active Records Distribution Records Utilization L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 14

15 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 15

16 Life Cycle Management Create / Receive Archive / Preserve (± 3%) Records Life Cycle Use / Send Delete / Destroy Retain / File L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 16

17 Adapted Information Governance Model: Simplification Integration Process; Content; People 360 view of information Addressing Media discontinuity to leverage all relevant informational value in the enterprise Classification For compliance controls For security controls For discoverability L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 17

18 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 18

19 Records Retention Records must be made available throughout the entire life cycle of the record Record retention requirement periods are based on regulatory requirements, statute of limitations, and best business practices Records should be destroyed soon after retention requirements are met Consistent and systematic retention of records demonstrates a good faith effort to comply with retention requirements L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 19

20 Records Retention Retention and Disposition Schedule Event date An event that triggers retention Calendar Year A calendar year code is assigned to records when a definitive retention period can be assigned. The retention period is usually based on a calendar year and where there are no conditions that must be met Closed A closed code is usually assigned to records that are case or project related. The records are retained until the case or project is closed Termination (Separation) An expiration code is typically assigned to contracts, grants or other types of agreements that must be retained until an termination date or other legal condition has been met Fiscal Year The retention is based on a fiscal year rather than a calendar year Superseded a superseded code is typically assigned to records that are updated or revised at various times during the records lifetime. Permanent These records are not authorized for destruction by an agency at any point in time L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 20

21 Pendaflex file folders (1932) L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 21

22 Binders and library shelves L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 22

23 Document Database Structure L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 23

24 Lateral File Folder & Color-Coded Labels Alphabetic or Numeric L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 24

25 High-density mobile storage Lateral mobile storage L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 25

26 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 26

27 The Average US Office Make 19 copies of each document Spends $20 on labor to file each document Spends $120 searching for every misfiled document Spends $250 recreating each lost document Loses 1 out of 20 office documents Spends $25,000 to fill a four-drawer file cabinets and $2,000 annually to maintain it L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 27

28 Experience in Southeast Asia and now Georgia Legal size folders in hanging folders, in vertical type three drawer metal file cabinets Binders and library shelves No records policy, color coding or bar coding Limited lateral filing and physical space. No documented index, types of records or retention schedule. No vital records or BRP L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 28

29 What happened to the paperless office? L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 29

30 Solutions Oriented Needs Paper Film Digital Availability Ease of Retrieval Retrieval Time Prevent Loss or Misfile Integrity Input Update Life Standards Legality Cost of System Conversion Cost Cost per Image Disaster Recovery Distribution Excellent Good Poor L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 30

31 Life of Paper Every country in the western world uses more paper today, on a per-capita basis, than it did ten years ago. The consumption of uncoated free-sheet paper the most common kind of office paper-rose almost fifteen percent every five years between L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 31

32 Paper Production and Consumption Facts Global and US Paper Production and Consumption Statistics Of the global wood harvest for industrial uses (everything but fuelwood) 42% goes to paper production, a proportion expected to grow by more than 50 percent in the next 50 years. (Abramovitz, Paper Cuts, WorldWatch Institute, 1999, p. 124) Industrialized nations, with 20 percent of the world s population, consume 87 percent of the world s printing and writing papers. (Klaus Toepfer, Executive Director, United Nations Environment Program, Keynote Address UNEP s 7th International High Level Seminar on Cleaner Production, April 2002) L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 32

33 Production and Consumption Facts continued Global production in the pulp, paper and publishing sector is expected to increase by 77% from 1995 to 2020 (OECD Environmental Outlook, 2001, p.215) The pulp and paper industry is the single largest consumer of water used in industrial activities in OECD countries and is the third greatest industrial greenhouse gas emitter, after the chemical and steel industries (OECD Environmental Outlook, p. 218) L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 33

34 Digital Information L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 34

35 At the Enterprise Level Ninety percent of data in the world today was created in the last two years Only about a quarter of this data actually has business value Ninety four percent of information produced never gets retrieved Storing and maintaining unneeded data debris is costly and diverts resources away from the management of high value information. L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 35

36 The Electronic Junk Drawer L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 36

37 Legacy data defined Disorganized Includes both structured and unstructured content Most no longer needed Some things have great value, but are difficult to find L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 37

38 Anybody knows this is trouble L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 38

39 But is this trouble? L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 39

40 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 40

41 The Digital Wave Becomes a Flood The world is experiencing exponential growth of digital information. More information has been produced in the last thirty years than in the previous five thousand - the entire history of civilization.(1) More astonishing are predictions that this existing information base will double in the next three to five years. This information growth is fueled by accelerating adoption of digital technology. Consider the following statistics: Investment in information technology now accounts for over one-half of the United States' gross investment in equipment. Each year, American businesses spend more than $100 billion on computer hardware alone. The use of digital information is growing at 96% per year. 80% of corporate information is in digital form. L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 41

42 Reliability of digital information for archiving The origin: questions about the reliability of digital optical discs (DON) for data archiving Human activities generate an ever-increasing amount of digital data of all kinds, including text, audio and visual documents. This profuse daily production is further increased by the retrodigitization programs carried out all over the world, so that old documents may be consulted and indexed more easily. Digital archiving involves a major ongoing investment to preserve a precious heritage for future generations. However, we are facing a very alarming statement: digital technology is highly convenient for storing very large quantities of data, but the physical media have a relatively short lifespan, since they have not been designed to last indefinitely. If data are not regularly copied, there is a real risk that information will be lost for ever after only a few years. The situation is all the more serious since there seems to be a general taboo surrounding this problem and that, as a consequence, is rarely discussed. For example, people are largely unaware that the digital data kept by hospitals (imaging, etc.) are by no means safe. Recent studies showed that certain brands of magnetic media (hard disks and tapes) and optical discs (CD-Rs and DVD-Rs) are unusable after a storage period of only one year, while other brands showed no notable deterioration after 15 years of archiving. L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 42

43 Enterprise Content Management Now called Information Governance This is an updated definition that I have found - Enterprise Content Management (ECM) is the strategies, methods and tools used to capture, manage, store, preserve, and deliver content and documents related to organizational processes. ECM covers the management of information within the entire scope of an enterprise whether that information is in the form of a paper document, an electronic file, a database print stream, or even an . It is all information from every position, every unit and can be affected by outside organizations and agencies. Most organizations are quickly realizing the need to, and value of, managing information more effectively on an enterprise basis. The evolution of information management governance is now an essential business requirement to mitigate risk, reduce cost and increase revenue. L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 43

44 Information Governance Information Governance is getting a lot of attention these days, and for good reason. While risk mitigation remains an important part, organizations are now beginning to view information governance as a way to improve processes, increase business performance, and enable more effective and strategic decisions. L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 44

45 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 45

46 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 46

47 Record Life Expectancy L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 47

48 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 48

49 Scanning a mess gives you an electronic mess L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 49

50 Where is business and government going? Document Management 83.2% Workflow 73.9% Content search and retrieval 70.9% Content management 68.7% Data mining 67.7% Decision support 67.3% Document imaging 67.1% Data warehousing, data marts 65.3% Messaging and collaboration 64.3% Business, competitive intelligence 60.3% Intellectual asset management 56.3% L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 50

51 Five trends are reshaping records management Records management shifts to information governance Cloud and social platforms render file and declare ineffective (security, legal and privacy risks) Digital preservation forces itself onto the governance agenda Open standards and open source change the sourcing landscape Auto-categorization becomes viable and approachable L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 51

52 Who is in charge? L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 52

53 The Main Professions Archivists MIS Librarians Records Managers Chief Knowledge Officers L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 53

54 Who is going to win the race? L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 54

55 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 55

56 L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 56

57 Resources L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 57

58 ARMA, AIIM & ICRM The Association for Records, Information and Knowledge Management Professionals Association of Information and Image Management Institute of Certified Records Managers L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 58

59 Outsourcing Security control Access, climate-controlled environment, protection against natural disaster, disaster planning Flexibility around the clock service, delivery and pick-up service, special media service Efficiency conserving resources, cutting costs L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 59

60 Off-site Records Storage There is only one major off-site records storage company in Georgia DASTA There are two international companies in Europe Iron Mountain Brambles (Recall) There are 5 off-site companies in Turkey L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 60

61 Commercial Records Center Service Considerations Records Center Mission Statement Records Center Site Selection Faculty Pricing Disaster Recovery Insurance General Service Capabilities Delivery and Transportation Services After-hour Operating Services Computerization of Operations Records Center Staff Records Center Equipment Shelving and Racks Fire Protection and Prevention Security General Storage Practice Paper Records Storage & Service Micrographic Storage & Service Magnetic Media Storage & Service L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 61

62 Customer Service Golden Rule Plus, Plus Rule L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 62

63 An Asset or a Liability Records are Assets when they are: Easy to find when you need them Readable when you find them Secure and protected Verifiably and protected Gone after their retention period is over Consistently managed Occupy as little space as necessary L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 63

64 An Asset or a Liability Records are LIABILITIES when they are: Inconsistently managed Legal challenges can t produce records Court assumes malicious destruction or contempt Difficult to locate An average employee spends 11 hours/week looking for records Unanswered public records requests Unreadable Damaged records Obsolete electronic medium L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 64

65 An Asset or a Liability Records are a LIABILITY when they are: Not protected from unauthorized access Authenticity becomes questionable Information may be released inappropriately Kept beyond their retention period Subject to Disclosure Location and Reproduction Time, Effort, Costs HOARDED L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 65

66 Thank you! Your Documents. Our Management. Robert Bailey L E A R N M O R E A B O U T D A S T A A T W W W. D R M. G E 66