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

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Speakers: Christine Ardern, Adrian Cunningham, Charles Dollar, Ph.D., Mariella Guercio, Ph.D., Kenneth Thibodeau, Ph.D.

Is your organization facing "Corporate Alzheimer's"?

Fast forward to 2020:

- Your organization's CDs are obsolete,
- Its social media has been replaced,
- The Cloud has evaporated, and
- The organization has restructured several times and the terminology it used in 2012 has changed.

The organization's information assets, however, are safe in tiered storage. Because the software and hardware has changed from what was used to create them, access to needed records and data now is limited and, in some instances, impossible.

This is Corporate Alzheimer's - the increasing inability over time to access an organization's long-term digital information - when we know it is there, but changes in computer hardware and software have made the needed information inaccessible/unreadable.

Read more: http://www.rimeducation.com/videos/rimondemand.php

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

  1. 1. Cohasset Associates, Inc. NOTES Corporate Alzheimer’s Avoiding Digital Memory Loss through Effective Planning Panel Chair: Christine Ardern Adrian Cunningham Charles Dollar Mariella Guercio Ken Thibodeau Session 21: Tuesday May 8, 3.15 – 4.30 p.m. 1 Your Records are Where? The 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 for access and use • Social media and the Cloud are removing centralized control • Users need to understand content over time2012 Managing Electronic Records Conference 21.1
  2. 2. Cohasset Associates, Inc. NOTES Avoiding Corporate Alzheimer’s RIM Policies and Practices Storage Technology Media Management Conversion 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 communications o Monitoring and auditing • Application of retention schedules to o 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  Supporting Corporate Memory Supporting Corporate Memory Mariella  Guercio,  University of Rome Sapienza2012 Managing Electronic Records Conference 21.2
  3. 3. Cohasset Associates, Inc. NOTES Why Standards are Relevant for Digital Records • To limit the fragmentation induced by the present and future digital ubiquity • To make effectively available the needed 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 7 Why Standards are Relevant for Digital Records • To promote the automation of the processes and make them sustainable • To support the creator’s accountability and efficiency through the records adequate organization • To limit the present drift which has transformed any individual into an information manager 8 … and why their contradictions make them  still 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 requirements2012 Managing Electronic Records Conference 21.3
  4. 4. Cohasset Associates, Inc. NOTES … and why their contradictions make them  still 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  routines • 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  Standards • Procedures/manuals for records creation and           arrangement (classification and filing) at the  creation time p gp y • Policies for protecting privacy • 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:        For Records Creation • Unique identification  based on  persistent or at least  verifiable date references for any digital records and their  relevant components g y • Functional classification  interconnected with filing system to  support 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 time2012 Managing Electronic Records Conference 21.4
  5. 5. Cohasset Associates, Inc. NOTES Basic  Requirements to be Respected:        For 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, p p ( •time of transfer: how to ensure the promptness (“as soon as  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  Practical 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 Alzheimers:  Prognosis Corporate Al heimer s: Prognosis Kenneth Thibodeau, Ph.D.2012 Managing Electronic Records Conference 21.5
  6. 6. Cohasset Associates, Inc. NOTES Is There A Cure? • There is no current cure for corporate Alzheimers,  and • It’s unlikely there will be a definitive cure any time  soon • 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 Treatments? • Effective treatment must include a combination of o Policies, procedures and practices • Technology • People Guidance on Policies, Procedures 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 (draft) • Sedona Conference, THE SEDONA GUIDELINES: Best Practice Guidelines & Commentary for Managing Information & Records in the Electronic Age 182012 Managing Electronic Records Conference 21.6
  7. 7. Cohasset Associates, Inc. NOTES Technology: Standards & Products • Standards o 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 • Product Classes o Enterprise Content Management Applications o Electronic Document/Records Management Systems • Certified Products o DoD certified Records Management Applications o To Be: MoReq compliant products o To Be: OMG RMS compliant products 19 People: Technical Expertise v. Technical Judgment Technical Expertise Technical Judgment to develop, deploy, apply, to evaluate technological Ability and adapt technological solutions both when solutions proposed and in use on the relationship of Focus on technology technology to business needs in-depth knowledge of broad familiarity with Emphasis technologies used in specific technologies cases must be supplemented by Implementa- technical judgment to relies on technical expertise tion determine the goodness of to get things done solutions 20 Technical Judgment: Requirements Management 212012 Managing Electronic Records Conference 21.7
  8. 8. Cohasset Associates, Inc. NOTES Technical Judgment: Requirements & Perceptions 22 Mitigating Corporate Alzheimer’s  g p y through a Trusted Repository From Theory to Practice Charles Dollar Dollar Consulting Trusted Digital Repository Basics • Standards Based o 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 Go2012 Managing Electronic Records Conference 21.8
  9. 9. Cohasset Associates, Inc. NOTES ISO 14721 Open Archives Information  System Reference Model ISO 16363 Audit and Certification of  Trustworthy Digital Repositories • Audit Criteria for ISO 14721 Conforming  Trusted Digital Repositories • Organized into Three Broad Categories Organized into Three Broad Categories • Each Category has Audit “Metrics” • External Auditors Digital Preservation Capability Maturity  Model© (DPCMM)2012 Managing Electronic Records Conference 21.9
  10. 10. Cohasset Associates, Inc. NOTES DPCMM Components DPCMM Performance Metrics ‐ DPCMM Performance Metrics ‐ Strategy 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 three preservation-ready 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 Card2012 Managing Electronic Records Conference 21.10
  11. 11. Cohasset Associates, Inc. NOTES Digital Preservation Improvement  Strategy (1) Digital Preservation Improvement  Strategy (2) Follow DPCMM on  www.savingthedigitalworld.org2012 Managing Electronic Records Conference 21.11
  12. 12. Cohasset Associates, Inc. NOTES Preventing Corporate Alzheimer’s with Digital Continuity Adrian Cunningham Director, Digital Archives Program Managing Electronic Records Conference, Chicago, 8 May 2012 Queensland State Archives Department of Public Works 34 What is the Problem? What is the Problem? • Unsustainably massive quantities of poorly managed data • Lots of record-making systems, too few record- keeping systems • 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 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 evidence2012 Managing Electronic Records Conference 21.12
  13. 13. Cohasset Associates, Inc. NOTES Digital Recordkeeping U Digital Recordkeeping Universe Digital Recordkeeping in Government (Government Recordkeeping) Digital Continuity: for records that need to be kept for 5 years+ Digital Archi es Archives: for permanent digital records Digital Preservation Digital Continuity – Activity so Far Digital Continuity – Activity so Far • 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 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 Plan 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. Principles p Digital Continuity approaches will - • be proactive • be sustainable • preserve the authenticity of records • maximise access options for users • be standards compliant2012 Managing Electronic Records Conference 21.13
  14. 14. Cohasset Associates, Inc. NOTES Digital Continuity: Draft Strategies [subject to funding bid] 1. Develop digital continuity capabilities across government. 2. Ensure public authorities have access to digital continuity services tools policies and guidance services, tools, 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 Continuity Digital Continuity in public authorities a policy regime and funded infrastructure Digital Continuity: for records that need to be kept for 5 years+ with Cabinet endorsement – using QSA guidelines and standards 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 Continuity End-to-End Industrial-Scale Digital Archives integration with current paper archives and processes Digital Archives: for permanent digital records reinventing QSA - major i t i ti j internal change l h management program Digital Preservation • Trusted Digital Repository: • tools and processes for transfer/ingest • preservation infrastructure, tools & processes • archival control system • access and use2012 Managing Electronic Records Conference 21.14
  15. 15. Cohasset Associates, Inc. NOTES And … an invitation And … an invitation • Come to Brisbane, Qld for the International Congress on Archives, 20-24 August 43 Some 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 44 Moving 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 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 452012 Managing Electronic Records Conference 21.15

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