Aiim electronic records management trends

Electronic Records Management- still playing catch-up with paper
An AIIM Survey conducted during July 2009

Full ERM report available from www.aiim.org/research

Demographics
Total respondents: 768
Page 3

Demographics 2
Page 4

Paper vs Electronic
Paper vs Electronic
Page 5

Is the volume of your PAPER records?
Page 6
Paper vs Electronic
Paper records are still increasing in 56% of organizations, but in 21% it is at last showing signs of decreasing
10+ employees non-Trade (648)

Is the volume of your ELECTRONIC records?
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Paper vs Electronic
But electronic is going crazy!
10+ employees (656)

What proportion of your records would you say are UNMANAGED:
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Paper vs Electronic
And it’s the electronic ones that are less well managed
- electronic more than twice as likely to be unmanaged (44%)

What proportion of your PAPER records would you say are:
Paper vs Electronic
The majority of paper records are not electronically indexed
10+ employees non-Trade (648)(weighted)
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What proportion of your ELECTRONIC records would you say are:
Electronic
For those records that are managed, just as likely to be managed in a dedicated ERM system as in ECM
Page 10

What proportion of the records generated by line of business applications and business process workflow are:
Page 11
Business Process
LOB records are as likely to be printed and managed as paper as filed outside of the system.
)

Which of the following policies and practices do you generally apply to paper records?
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Business Process
Paper, paper, paper - even when we have the electronic original,
10+ employees non-Trade (648)multi-choice

Which of the following policies and practices do you generally apply to paper records?
Business Process
But half are scanning incoming items, or at least indexing them
And 30% are looking to go paperless
10+ employees non-Trade (648)multi-choice
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Legal Discovery
Legal Discovery
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Do you have a procedure that details how to apply legal hold on relevant records in the event of a litigation?
Page 15
Legal Discovery
Better than expected – electronic just 14% less than paper
But still only just over half.

Do you have a procedure that details how to apply legal hold on relevant records in the event of a litigation?
Page 16
Legal Discovery
Bigger organizations have responded faster to 2006 FRCP ruling
.

How long would a legal discovery search process take across your paper/electronic records:
Page 17
Legal Discovery
Paper takes longer
25% > 1 month
vs
17% electronic

Who would be responsible for doing the legal discovery search across your:
Page 18
Legal Discovery
Reliance on IT staff to carry out searches on electronic records

As regards the tools you use for in-house legal discovery:
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Legal Discovery
13% using dedicated
e-discovery tools and a further 22% planning to do so

If challenged, how confident could you be that your electronic records have not been changed, deleted, or inappropriately accessed?:
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Legal Discovery
37% not confident,
cf: 44% in 2007

If challenged, how confident could you be that your electronic records have not been changed, deleted, or inappropriately accessed?:
Page 21
Legal Discovery
29% with ECM/ERM system
not confident,
60% without a system not confident
10+ employees non-Trade
260 with
80 without

Legal Discovery
Governance
Page 22

Which of the following most accurately describes your records management policies?
Page 23
Governance
45% have integrated policies for electronic and paper
16% of 5,000+ “only have very basic policies”

How would you describe monitoring and enforcement of records management policies in your organization?
Page 24
Governance
But 38% do very little to encourage compliance

Does your organization?
Page 25
Governance
~40% do not provide any staff guidance on how to deal with records
55% set no guidance on dealing with emails as records

Regarding your fileplan or classification scheme?
Page 26
Governance
Getting there...~60%

Regarding your retention schedules?
Page 27
Governance
Some interesting differences

Which of the following would best apply in your organization as regards the highest level of records management expertise and responsibility for PAPER/PHYSICAL records?
Page 28
Governance
5% at C-level
27% Still expecting IT to take on new responsibilities

Which direction do you think Records Management responsibility is heading in, say, 3-5 years time?
Page 29
Governance
C-level up from 5% to 18%
IT down from 27% to 12%

Legal Discovery
Integration with
Enterprise Systems
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From which of the following systems are you able to directly declare a record within your defined retention and classification schemes?
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Integration
RM System still mostly stand-alone

How will your spending on Records Management in the next 12 months compare with the previous 12 months?
Page 32
Integration
Planned spend is up (except consultancy)

What use is made of standards in your organization for best practice records management?
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Standards
27% working to ISO 15489
and/or
DoD5015 or MoReq2

Which of the following would you say are the most important for encouraging user adoption of Records Management? (max 4)
User Adoption
Carrot,
hands-off,
or stick?
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Legal Discovery
Manage in Place
Page 35

How many separate content repositories do you have in your organization that could usefully be linked or managed in one place for single-point access?
Page 36
Multiple Repositories
31% of organizations have 20 or more repositories that could be linked

Which repositories would you like to link or manage in one place?
Page 37
Email is the priority

Which connection mechanisms are you using or developing to link repositories?
Considerable use of customized links
Page 38

How important are the following standards for you?
Page 39
But little under-standing of CMIS

As regards “Manage in Place”, which functions are you currently able to use across 2 or more repositories?
Page 40
Some early pioneers are getting it to work

Legal Discovery
Cloud, and long-term archive
Page 41

In view of security considerations, would you store ELECTRONIC RECORDS in any of the following? ("Cloud" = managed records, off-premise, on an un-specified server)
Page 42
If the Cloud were owned within the “family”, half might go for it

Do you have ELECTRONIC records which need to be retained for:
Page 43
Long-Term Archive
Most organizations have some very long-term retention requirements

Do you store a significant proportion of your records in the following formats?
Page 44
Long-Term Archive
But they are happy to use native file formats!

Do you plan to converge to PDF-A?
Page 45
Long-Term Archive
Slow progress!

Do you have a POLICY/BUDGET for ?
Page 46
Long-Term Archive
Nearly 70% have no forward view on long-term archive

About AIIM – www.aiim.org
We are the community that provides education, research, and best practices to help organisations control information and maximise its value.
www.aiim.org.uk
Page 47

Aiim electronic records management trends

by Vander Loto

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