M12S21 - "Corporate Alzheimer's": The Impending Crisis in Accessing Digital Records and Data

Cohasset Associates, Inc.

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2012 Managing Electronic Records Conference 21.1

Corporate Alzheimer’sCorporate Alzheimer’sAvoiding Digital Memory Loss

through Effective Planning

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PanelChair: Christine ArdernAdrian CunninghamCharles DollarMariella GuercioKen Thibodeau Session 21:

Tuesday May 8, 3.15 – 4.30 p.m.

Your Records are Where?Your Records are Where?

The Digital ChallengeThe Digital Challenge• Regulatory requirements drive compliance to

maintain and dispose of corporate information• Technology changes so can we convert all data

in systems?• Software and media obsolescence pose issues• Software and media obsolescence pose issues

for access and use• Social media and the Cloud are removing

centralized control• Users need to understand content over time


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RIM Policies and

Practices

Avoiding Corporate Alzheimer’s

Storage Media

Conversion

Technology Management

What Do We Need?What Do We Need?• RIM program which includes

o Standards, policies and practices

o Clearly defined roles and responsibilities: Legal; RIM; IT; Users

o Technology solutions

o Business process analysis and review

o Training and communicationso Training and communications

o Monitoring and auditing

• Application of retention schedules too Dispose of records in the normal course of business

o Support eDiscovery

o Minimize risk

o Reduce volumes of information and data to be “preserved”

Eliminating Corporate Alzheimer’s Eliminating Corporate Alzheimer’s ‐‐Standards and Policies for Standards and Policies for

Supporting Corporate MemorySupporting Corporate MemorySupporting Corporate MemorySupporting Corporate Memory

Mariella Guercio,

University of Rome Sapienza


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Why Standards are Relevant for Why Standards are Relevant for Digital RecordsDigital Records

• To limit the fragmentation induced by the present and future digital ubiquity

• To make effectively available the needed information/records

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information/records

• To support retention and disposal and reduce costs and risks for storage

• To set controls and measures for conducting internal audits

• To ensure interoperability

Why Standards are Relevant for Why Standards are Relevant for Digital RecordsDigital Records

• To promote the automation of the processes and make them sustainable

• To support the creator’s accountability and efficiency through the records adequate

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efficiency through the records adequate organization

• To limit the present drift which has transformed any individual into an information manager

… and why their contradictions make them … and why their contradictions make them still not efficientstill not efficient

• Too many but not always those required as in the case of

• ERMS standards developed by ISO, by ICA, by DLM Forum at international level or by national bodies

• Trusted digital repositories (ISO 16363 but also ISO 17068 and DRAMBORA recommendations

• Too complex but also too generic in defining the basic requirements


NOTES


… and why their contradictions make them … and why their contradictions make them still not efficientstill not efficient

• Delayed with reference to the innovation processes but also too controlled by the market trends

• Too rigid or too flexible but not enough smart and manageable with respect to the aim of supporting the routinesroutines

• Too often conflicting (even within the same standard body)

• More technology‐oriented than required (i.e. security standards have been over‐estimated)

Creator’s Policies for Intermediating Creator’s Policies for Intermediating StandardsStandards

• Procedures/manuals for records creation and arrangement (classification and filing) at the creation time

• Policies for protecting privacyp g p y

• Policies for handling e‐mails records

• Retention policies including rules for transfers Manuals for documentary procedures could be an obligation for public administrations and a suggestion for private sector (responsibilities and activities)

Procedures for transfer and e‐archiving

Basic Requirements to be Respected: Basic Requirements to be Respected: For Records CreationFor Records Creation

• Unique identification based on persistent or at least verifiable date references for any digital records and their relevant components

• Functional classification interconnected with filing system to g ysupport the record function and their maintenance:

• the records within a file must share the same class code

• the functional relationships have a stable nature and this stability has to be identified, maintained and proved over time


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Basic Requirements to be Respected: Basic Requirements to be Respected: For Transfer of Digital RecordsFor Transfer of Digital Records

•data transfer: how to transfer with specific reference to the “range of technologies from which the transfers originate” and to the nature of data,

•time of transfer: how to ensure the promptness (“as soon as p p (possible”) of transfer? how to develop sustainable negotiated procedures within the organization?,

•internal organization of the data at the transfer time: normally not packed for archiving reason at submission phase

•Transfer integrity: how to document the transfer and the eventual changes required for intelligibility

How to Create Common Requirements for How to Create Common Requirements for Practical Solutions: GARPPractical Solutions: GARP

The ARMA international initiative GARP – General Accepted Recordkeeping Principles is based on

• the analysis of selected global bet practice resources:

• legal national requirements (i.e. the U.S. federal court case law)

• national standards• International standards: ISO 15489

• public comment process involving the professional RIM communities

Corporate Alzheimer's: PrognosisCorporate Alzheimer's: PrognosisCorporate Al heimer s: PrognosisCorporate Al heimer s: Prognosis

Kenneth Thibodeau, Ph.D.


NOTES


Is There A Cure?Is There A Cure?

• There is no current cure for corporate Alzheimer's, and

• It’s unlikely there will be a definitive cure any time soonsoon

• Open ended change in information and communications technology

• Unpredictable creativity in how individual organizations, governments, and society at large use the technologies

Are There Effective Are There Effective Treatments?Treatments?

• Effective treatment must include a combination of oPolicies, procedures and practices• Technology• People

Guidance on Policies, Guidance on Policies, Procedures and PracticesProcedures and Practices

• ARMA, Generally Accepted Recordkeeping Principles (GARP)

• International Council on Archives, ICA-Req: Principles and functional requirements for records in electronic office environments: guidelines and training material

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office environments: guidelines and training material (draft)

• Sedona Conference, THE SEDONA GUIDELINES: Best Practice Guidelines & Commentary for Managing Information & Records in the Electronic Age


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Technology:Technology:Standards & ProductsStandards & Products

• Standardso DoD 5015.2- STD, Records Management Applications (RMA)

o European Commission, Modular Requirements for Records Systems(MoReq)

o Object Management Group, Records Management Services Specification

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Specification

• Product Classeso Enterprise Content Management Applications

o Electronic Document/Records Management Systems

• Certified Productso DoD certified Records Management Applications

o To Be: MoReq compliant products

o To Be: OMG RMS compliant products

People: People: Technical Expertise v. Technical JudgmentTechnical Expertise v. Technical Judgment

Technical Expertise Technical Judgment

Abilityto develop, deploy, apply, and adapt technological solutions

to evaluate technological solutions both when proposed and in use

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Focus on technology on the relationship of technology to business needs

Emphasisin-depth knowledge of technologies used in specific cases

broad familiarity with technologies

Implementa-tion

must be supplemented by technical judgment to determine the goodness of solutions

relies on technical expertise to get things done

Technical Judgment: Technical Judgment: Requirements ManagementRequirements Management

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Technical Judgment: Technical Judgment: Requirements & PerceptionsRequirements & Perceptions

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Mitigating Corporate Alzheimer’s Mitigating Corporate Alzheimer’s

through a Trusted Repositorythrough a Trusted Repositoryg p yg p y

From Theory to Practice

Charles Dollar

Dollar Consulting

Trusted Digital Repository BasicsTrusted Digital Repository Basics

• Standards Basedo ISO 14721

o ISO 16363

• Keep Bit Streams Alive

• Reproducible v. Processible

• Migration Accepted Strategy

• Open Standard Technology Neutral Formats

• Where to Begin and How Far to Go


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ISO 14721 Open Archives Information ISO 14721 Open Archives Information

System Reference ModelSystem Reference Model

ISO 16363 Audit and Certification of ISO 16363 Audit and Certification of

Trustworthy Digital RepositoriesTrustworthy Digital Repositories

• Audit Criteria for ISO 14721 Conforming Trusted Digital Repositories

• Organized into Three Broad CategoriesOrganized into Three Broad Categories

• Each Category has Audit “Metrics”

• External Auditors

Digital Preservation Capability Maturity Digital Preservation Capability Maturity Model© (DPCMM)Model© (DPCMM)


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DPCMM ComponentsDPCMM Components

DPCMM Performance Metrics DPCMM Performance Metrics ‐‐StrategyStrategy

0 No formal strategy to address format technology obsolescence exists

1 Accept electronic records in their native format and support transformation of records in one native format to open standard technology neutral format

2 Accept electronic records in open standard technology neutral “preservation ready” file formats and supports transformation of threepreservation-ready file formats and supports transformation of three native file formats to open standard technology neutral file formats

3 Advise records producers to use preservation-ready file formats and support transformation of ten native file formats to open technology neutral file formats

4 All electronic records in native formats are transformed to available interoperable open standard technology neutral file formats

Digital Preservation Score CardDigital Preservation Score Card


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Digital Preservation Improvement Digital Preservation Improvement Strategy (1)Strategy (1)

Digital Preservation Improvement Digital Preservation Improvement Strategy (2)Strategy (2)

Follow DPCMM on www.savingthedigitalworld.org


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Preventing Corporate Alzheimer’s with Digital

Continuity

Queensland State ArchivesDepartment of Public Works 34

Adrian CunninghamDirector, Digital Archives Program

Managing Electronic Records Conference, Chicago, 8 May 2012

What is the What is the ProblemProblem??

• Unsustainably massive quantities of poorly managed data

• Lots of record-making systems, too few record-keeping systems

• Disconnect between business processes and• Disconnect between business processes and recordkeeping (e.g. reliance on printing-to-paper)

• Organisations often don’t know what information they have got

• Vital records can be hard to identify • Risk of loss due to technological obsolescence

QSA Response: Digital ContinuityQSA Response: Digital Continuity

• the ability to use digital records for as long as required and through organisational, business & technological changes.

• is more than simply preserving digital records

• requires a range of good records and information management policies and practices, including good metadata

• needs good recordkeeping to be an organic part of business

• includes infrastructure, tools, policies and processes.Digital Continuity is about ensuring ongoing access to essential evidence


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Digital Digital Recordkeeping Recordkeeping UUniverseniverse

Digital Recordkeeping in Government

(Government Recordkeeping)

Digital Continuity: for records that need

to be kept for 5 years+

Digital Archi esDigital Archives:for permanent digital records

Digital Preservation

Digital Continuity Digital Continuity –– Activity Activity so so FarFar

• Team of two staff established April 2010• Director, Digital Archives Program commenced May 2011• Team of nine staff as of May 2012

Publications:• Digital Archiving Discussion Paper May 2010• Digital Archiving Discussion Paper – May 2010

• Digital Archiving Survey – August 2010

• Digital Continuity Report – May 2011• Public Records Brief Keeping Digital Records Useable: Ten steps for

ensuring the continued accessibility of digital records – June 2011

• Guidelines on: Metadata for Digital Continuity and Migrating Digital Records – April 2012.

Digital Continuity PlanDigital Continuity Plan

Principles

Objective Future-proof the digital records of government business

Queensland digital public records will be authentic, accessible and useable for as long as public authorities and the people of Queensland require them.

pDigital Continuity approaches will -• be proactive• be sustainable• preserve the authenticity of records• maximise access options for users• be standards compliant


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Digital Continuity: Draft StrategiesDigital Continuity: Draft Strategies[subject to funding bid][subject to funding bid]

1.Develop digital continuity capabilities across government.

2.Ensure public authorities have access to digital continuity services tools policies and guidancecontinuity services, tools, policies and guidance for enabling ongoing access to digital records in their custody.

3.Establish digital archives infrastructure to ensure the ongoing authenticity, accessibility and usability of permanent-value digital public records.

Delivering Digital ContinuityDelivering Digital Continuity

Digital Continuity: for records that need

to be kept for 5 years+

a policy regime and funded infrastructure with Cabinet endorsement – using QSA guidelines and standards

Digital Continuity in public authorities

requires major whole-of-government change management

possible solutions: • whole-of-government shared service• panel of accredited service providers • agency in-house solutions audited by QSA

Delivering Digital ContinuityDelivering Digital Continuity

Digital Archives:for permanent digital records

integration with current paper archives and processes

End-to-End Industrial-Scale Digital Archives

i ti QSA j i t l h

Digital Preservation

reinventing QSA - major internal change management program

• Trusted Digital Repository:• tools and processes for transfer/ingest• preservation infrastructure, tools &

processes• archival control system• access and use


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And … And … an invitationan invitation

• Come to Brisbane, Qld for the International Congress on Archives, 20-24 August

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Some Final ThoughtsSome Final Thoughts

• Digital preservation is not just for archivists

• Information management strategies must address preservation issues

• Technology will continue to change and the need to ensure access and use will still exist

• Storing everything because memory is cheap is NOT a good strategy given preservation costs

• Organizing and eliminating information will reduce preservation costs

• Get rid of what you don’t need as part of your regular business activities….don’t wait

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Moving Towards 2020Moving Towards 2020

• Take responsibility for looking ahead: You are part of the solution!!!

• Ask the right people to get the right answers about information management and information governance

• Collaborate to address technological change: Build a• Collaborate to address technological change: Build a cross functional team of stakeholders: Senior management; RIM; IT; Archivists; Legal; Business

• Address the legacy of poorly managed electronic records through risk-based assessment and disposition

• Link RIM to business through process management

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M12S21 - "Corporate Alzheimer's": The Impending Crisis in Accessing Digital Records and Data

Education

prognosiscorporate

digital recordsdigital

address technological

permanent

digital preservation

public authorities

technical

digital continuity