Emerging Trends in

RECORDS MANAGEMENT:

ACHIEVING BASIC CONTROL

Presented by:
Adam Jansen
Adam_Jansen@outlook.com
December 2014

Scientia Potentia est

- Sir Francis Bacon, Meditationes Sacrae
(1597)

Knowledge is Power
- Sir Francis Bacon, Meditationes Sacrae
(1597)

Records and Information

or, Why we do what we do
If Knowledge is power
And - Records are storage of knowledge
Then Records must be preserved for future
generations

Why?
Future generations must learn from our success
and our failures

Billions of Emails Produced DAILY

100
50

0
2000

2003

2006

Source:IDC

We are drowning in information and

starved for knowledge
- Tom Peters, Thriving on Chaos (1988)

Shifting Media
Historically records were stored on paper, kept in filing
cabinets
When the cabinet was full, records sent to file room
Now records stored electronically on computers
When the computer is full add more hard drives
Basic skills to manage and maintain records have
been lost, replaced by infinite storage

New Federal Mandates

to Manage Certain Electronic Records

As electronic records become more integrated into
society, producers of those records will be held to
higher standards of conduct

Health Insurance Portability & Accountability Act of 1996 (HIPAA)

Gramm-Leach-Billey Act of 1999

Patriot Act of 2001

Sarbanes-Oxley Act of 2002

Help America Vote Act of 2002 (HAVA)

Rule 34!

More mandates to come

Records must be managed and destroyed methodically

in normal course of business

Public Require More

Accessibility
Allow those who cannot travel to access records
24x7 access from anywhere

Transparency
Use records on any platform
Not require special tools

Accountability
Check on what is being done
Do as you say, say as you do

Business/Societal Continuity
Continue in the event of a disaster
Sustainable operation of government

Caretakers of Information
Historically records sent to file room, staff
maintained access to records and managed
lifecycle based on need and legal
requirements
Now records are managed by users and IT
staff, based on capacity and cost
Neither trained in the science of information
management

So the question becomes

who takes care of the records,
and do they have the
knowledge?

HAWAII RECORDS LAWS

Chapter 92F, HRS, Uniform

Information Practices Act
(Modified)
Government record means information
maintained by an agency in written,
auditory, visual, electronic, or other
physical form.

HI Public Records Law

Chapter 626, HRS, Hawaii Rules of Evidence: Title X
A public record means any writing, memorandum,
entry, print, representation, report book or paper, map or
plan, or combination thereof, that is in the custody of any
department or agency of government
Act 177-2005
Allows the creation, use and storage of government
records in electronic format, as well as the conversion of
existing paper records and microfilm records to electronic
formats

HRS 94-3, Disposal of

Government Records
Authorizes the Comptroller to determine
the disposition of State government
records
The State Archivist is designated to
receive requests for disposal and to
recommend to the State Comptroller the
action to be taken.

Collaboration, EDMS, ERMS

File
Sharing

Doc
Mgmt

Records
Mgmt

Collaboration

The 4Cs of ERMSs

Control
Capture
Classification
Compliance

CONTROL

Power of Management
Define different record types, when, who
and how they are created
Ability to organize folders and records is a
consistent, defined method in order to
manage, find and understand the records
Defining and mandating metadata
Assign rights and restrictions at any level,
any user
How destruction occurs, what traces are
left

Policy Creation
Tie in rules for both physical and electronic
records
barcodes, labels

Rules based on creator, content type,

document type, project, etc.
Mandate fields and metadata
Ex: expired document requires approval prior to
destruction
Emails must have something in subject line
Executive level emails are permanent
Records created by engineering department
+50yrs

Identity Management
Each individual has a separate account
Integration with network directory services

Assigned to departments/offices/teams
Controls
what they see
how they see
what they can create
what they can access

Requires integration with directory services

CAPTURE

User Interaction w/ERMS

Documents created within the system
Documents created within native apps
Save as
Pop-ups

Documents created outside the system

and then imported
Auto crawl
Manual import

CLASSIFICATION

Classification
Centralize the classification schema/schemas
Frequently based on linkage between
function and activities
Classification must support work,
Should not impose may not be top level

Must find what works best in your agency

Automatically assign retention based on
classification, track changes over time
Helpful if a thesaurus is supported

Example of a Classification
Schema (SharePoint)
Records

Description

Media

Record category

Retention

Disposition

401K plan

Description of
employee benefit
plan.

Web pages

Employee Benefit
Plans

X years

None

Insurance plan

Description of
employee
insurance plan.

Electronic
documents

Employee Benefit
Plans

X years

None

Press releases

Releases about
products and
services.

Electronic
documents

Public Relations
Information

X years

Archive

Newspaper
articles

News about
products and
services.

Print

Public Relations
Information

X years

Archive

COMPLIANCE

Legal Retention
Hawaii has VERY clear laws about
disposition of records
Adding this information at creation
ensures availability for as long as legally
required
Greatly aids in Information Requests
Can place destruction holds in cases of
legal, business needs
Provides safeguards, auditability to

Compliance
Lock down the records and protect from
change
Read-only
PKI-Encryption
Digital Watermarks

Verify the creator of the document

Digital Signature
Authentication

Provide comprehensive audit trail

Who did what when
Show previous versions

Support e-discovery
Expansive search capabilities through
indexes
Creator, receiver, metadata, keyword,
Boolean

Create discovery holds of specific

records, freeze the destruction process
for specific record series, departments,
individuals, etc.
Modified/changed/removed metadata
still kept

Access
Restrict access based on
permissions/security levels
Pre-index records for fast retrieval
Search across repositories, team sites,
silos or restrict
Browse for records based on
classification, date, file type, creator,
other metadata or predefined
Bookmark favorites for frequent use

When in Doubt

ASK THE ARCHIVES

Questions?
Adam Jansen
Adam_Jansen@outlook.com