Contents:
- Introduction
- Records management is not archiving but needs archives
- Archiving, long-term storage and digital preservation
- Trends with impact on archiving, digital preservation and records management
- Outlook
2. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 2
Agenda
1. Introduction
2. Records management is not archiving but needs
archives
3. Archiving, long-term storage and digital
preservation
4. Trends with impact on archiving, digital
preservation and records management
5. Outlook
3. 3Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
1 INTRODUCTION
4. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 4
Information overflow
5. 8Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
2 RECORDS MANAGEMENT IS
NOT ARCHIVING
BUT NEEDS ARCHIVES
6. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 9
Definition: Records Management
Field of management responsible for the
efficient and systematic control of the creation,
receipt, maintenance, use and disposition of
records, including processes for capturing and
maintaining evidence of and information about
business activities and transactions in the form of
records.
7. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 10
Records Management: ISO 15489
• Relevant for document management in the private
and public sectors, and for archiving
• Definition of the importance, function and elements
of document management systems
• The standard does not go substantially beyond a
definition of the subject matter
• Lowest common denominator of the participating
countries
• Problematic terminology in German translation, for
example “Records Management” = “(paper)
document management”
8. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 11
Not every record moves into the archive
Many documents
Some records
Few
Archive objects
9. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 12
ARMA: GARP
Generally Accepted Recordkeeping Principles
• Principle of Accountability
An organization shall assign a senior executive who will oversee
a recordkeeping program and delegate program responsibility to
appropriate individuals, adopt policies and procedures to guide
personnel, and ensure program auditability.
• Principle of Integrity
A recordkeeping program shall be constructed so the records and
information generated or managed by or for the organization
have a reasonable and suitable guarantee of authenticity and
reliability.
• Principle of Protection
A recordkeeping program shall be constructed to ensure a
reasonable level of protection to records and information that are
private, confidential, privileged, secret, or essential to business
continuity.
• Principle of Compliance
The recordkeeping program shall be constructed to comply with
applicable laws and other binding authorities, as well as the
organization’s policies.
10. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 13
ARMA: GARP
Generally Accepted Recordkeeping Principles
• Principle of Availability
An organization shall maintain records in a manner that ensures
timely, efficient, and accurate retrieval of needed information.
• Principle of Retention
An organization shall maintain its records and information for an
appropriate time, taking into account legal, regulatory, fiscal,
operational, and historical requirements.
• Principle of Disposition
An organization shall provide secure and appropriate disposition
for records that are no longer required to be maintained by
applicable laws and the organization’s policies.
• Principle of Transparency
The processes and activities of an organization’s recordkeeping
program shall be documented in an understandable manner and
be available to all personnel and appropriate interested parties.
11. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 15
Standards
Records Management is governed
by dozens of international and
national standards.
A lot of these standards cover or
influence as well archiving and
preservation.
12. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 16
ICA – International Council on Archives
ICA-Req
• Objective: to define global uniform principles and
functional requirements for software used to
generate and manage electronic records
• Organized into three modules:
• Module 1: Overview and Statement of Principles
• Module 2: Guidelines and Functional Requirements
for Electronic Records Management Systems
• Module 3: Guidelines and Functional Requirements
for Records in Business Systems
• Based on various information elements
Relevant for
archiving
13. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 17
MoReq2010
• Project to refine MoReq (Model Requirements for
the Management of Electronic Records) by the
DLM-Forum
• 8. June 2011: The DLM Forum released
MoReq2010® Core Services Publication
(MoReq now stands for Modular Requirements for
Records Systems)
• 14.July 2011: Release of the XML scheme
Relevant for archiving:
The DLM Forum is a joint initiative of all
European National Archives supported by the
European Commission
14. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 18
MoReq2010
15. 19Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
MoReq Roadmap
Relevant for pharmaceutical:
Special pharma MoReq specification planned
16. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 20
New version of the RM standards ISO
„Old“: ISO 15489
Stays, but …
„New“: ISO 3030x standards series
ISO 16175
17. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 21
ISO 30300 – Information and documentation
Content:
1) Management standards for records
2) Fundamental explanations
3) Core principles of RM-Systems
4) Terminology and definitions of RM-Systems
Fundamentals and vocabulary:
Objective:
• Principals for using Records Management Systems
(electronic and physical)
• Specification of process-oriented dispositions
• Specification of the role of the “Top Management“
• Definitions of the used terminology within the
ISO 30300
18. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 22
ISO 30301 – Requirements
Content:
• Functional requirements for a RM-System
• Requirements for a certification of the RM-System after ISO
30301
Requirements:
Objective:
• Specification of the requirements for a Records Management
System
• Guidelines for a Records Management Policy for an enterprise
• Support for achieving optimal enterprise goals by implemating
a compliant RM-Systems
• Refers to all kinds of forms of organisations
19. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 23
New ISO standard ISO 16175-2.2
Information and Documentation
• Part 1: Information and documentation – Principles
and functional requirements for records in electronic
office environments
• Part 2: Guidelines and functional requirements for
records in electronic office environments
Relevant for archiving:
Originally developped by the
ICA International Council on Archives
20. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 24
New ISO standard ISO 16175-2.2
Objective:
• ISO 16175-2.2 references to Good – Practice-
methods and policies, risks and their reduction for:
• The improvement of the Records Managements in
companies
• The support of company requirements, leading to a
more effective and efficient operation
• A Compliance supported, save operation
• The development of key principals for a functioning
and automated RM-System
• A common „language“ for provider and user
21. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 25
OMG Records Management
• Specification for Records Management Services,
Submission to the Object Management Group
• Contains models for Software-Services
• Area of application given by the "Platform
Independent Model (PIM)“,
fundamental: OMG MDA Framework
• Three special technologic implementations:
• PSM-1 – Web Services definition for Records
Management Services in Web Service Description
Language (WSDL)
• PSM-2 – A Records Management Service XSD.
• PSM-3 – An Attribute Profile XSD.
22. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 26
… and some defacto standards …
• SAP Records Manager
• Microsoft Sharepoint Records Center
Both with a different concept than „traditional”
Records Management ...
23. 27Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
RECORDS MANAGEMENT IN THE
PHARMACEUTICAL INDUSTRIE
24. 28Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
APPLICATION REQUIREMENTS
25. 32Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
STANDARDISATION AND COMPLIANCE
REQUIREMENTS
26. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 33
USA / international
• FDA Food and Drug Administration
• CFR Code of Federal Regulations:
Title 21 Part 11 for Electronic Records and
Electronic Signatures:
• Defines the criteria under which electronic records
and electronic signatures are considered to be
trustworthy, reliable and equivalent to paper records.
Different laws for electronic signatures may cause
problems … i.E. in Nordrhein-Westfalen
27. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 34
Europe
• GxP quality guidelines
Examples:
• Good Clinical Data Management Practice GCDMP
• Good Clinical Practice GCP
• Good Clinical Laboratory Practice GCLP
• Good Hygiene Practices GHPs
• Good Manufacturing Practice GMP
• Good Microbiological Practice GMiP
• Good Pharmacovigilance Practice GPvP
• Good Pharmacy Practice GPP
GxP will become the guideline for the future
“Moreq2010 for Pharma”
28. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 35
Legal requirements
• „Other“ consumer, healthcare, pharmaceutical and
chemical
• Quality
• Commercial, taxation
• Patents
• Problems:
Different regulations and laws in every country:
• Research
• Development
• Production
• Delivery
• Channel
29. 36Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
3 ARCHIVING,
LONG-TERM STORAGE AND
DIGITAL PRESERVATION
30. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 37
An archive refers to a collection of historical
records, as well as the physical place they
are located. Archives contain primary source
documents that have accumulated over the
course of an individual or organization's
lifetime, and are kept to show the function of
an organization.
Archive
… is this definition correct for “archives” and
“archiving” in the pharmaceutical industry?
31. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 38
Synonym or divergence? English vs. German
English German
Preservation Archivierung?
Langzeitarchivierung?
Digital Preservation Elektronische
Langzeitarchivierung?
Archive Archiv?
Trusted Archive Vertrauenswürdige
Langzeitarchivierung?
Archiving Datensicherung!
Archivierung?
Electronic Filing Ablage, Zwischenarchiv?
32. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 39
Digital Preservation
• Electronic archives for digital preservation allow
database-supported access to longterm,
unchangable archived electronic information.
• Electronic archives are not data saving systems or
backup systems.
• In general, digital preservation serves to save any
data, information, records, documents, content and
other digital information objects long term, secure,
authentic and undestroyable with direct but
controlled access to every object in any context.
33. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 40
Standards Archiving
Archiving is standardized by ISO:
• ISO 17799: Information Security
• ISO 14721: OAIS Open Archive Information
System
• ISO 18492: Long-term preservation of electronic
document-based information
• ISO/CD TR 26102: Information and documentation
Requirements for long-term preservation of
electronic records
34. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 41
OAIS ISO 14721
OAIS-Reference Model for an Open Archival
Information System
• 2002: Blue Book of NASA/CCSDS (650.0-B-1)
• 2003 adopted as standard ISO 14721
• Especially intented for processing digital
information
• Logically structured and therefore independent of
products and implementation
• Authoritive in view of functionality as well as in
view of information flow
35. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 42
OAIS-Reference model
36. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 43
OAIS-Reference model
Problem area 1:
Longterm stability and longterm availability
of documentation of the system itself
37. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 44
OAIS-Reference model
Problem area 2:
Interfaces
38. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 45
OAIS-Reference model
AIP
DIP
SIP
Problem area 3:
Container formats
AIP
39. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 46
PDF Standards
• ISO 15930 PDF/X Format for pre-press
PDF/X-1a = ISO 15930-1
PDF/X-3 = ISO 15930-3
• ISO 19005 PDF/A PDF Archive
Format for archiving documents
PDF/A-1 = ISO 19005-1
PDF/A-2 = ISO 19005-2
• PDF/E PDF Engineering
Format for technical drawings
(in development)
• ISO 32000 PDF Standardized format for standard PDF
PDF = ISO 32000-1
40. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 48
NESTOR
• Network of Expertise in long-term Storage and
availability of digital Resources in Germany
• Cooperation partner from libraries, museums and
archives
• Criteria catalogue to design, plan and build a
trustworthy digital long-term archive
• Working Group on Trusted Digital Repository
Certification
• Entered into the international standardization process
via German ISO/DIN NABD planned standard
Relevant for Pharma?
Nestor aims mainly for historic and cultural
archives
41. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 49
NESTOR Certification
• Catalogue of Criteria and the Evaluation of Trusted
Repositories:
“Trustworthiness of a system means that it operates
according to its objectives and specifications (it
does exactly what it claims to do).
From an information technology (IT) security
perspective, integrity, authenticity, confidentiality
and availability are important building blocks of
trustworthy digital preservation repositories.”
Problem for testing and certification:
…“operates according to its objectives and
specifications” …
42. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 50
International Standards in the ERMS-environment
FEA Federal Enterprise
Architecture
DRM Data Reference Model – Final Version 2.0
e-GMS UK e-Government meta data standard
DCMI The Dublin Core meta data initiative
AIIM Integrated EDM/ERM Functional Requirements
The National Archives
(UK) Functional
Requirements for ERM
Meta data standard
LMER Longterm archiving meta data for electronic
ressources. Nestor project, 2007
ISO 15489, Teile 1 + 2 Information and documentation
PREMIS PREservation meta data: Implementation
strategies
Examples for Metadata
43. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 51
International Standards in the ERMS-environment
Examples for Metadata
FEA Federal Enterprise
Architecture
DRM Data Reference Model – Final Version 2.0
e-GMS UK e-Government meta data standard
DCMI The Dublin Core meta data initiative
AIIM Integrated EDM/ERM Functional Requirements
The National Archives
(UK) Functional
Requirements for ERM
Meta data standard
LMER Longterm archiving meta data for electronic
ressources. Nestor project, 2007
ISO 15489, Teile 1 + 2 Information and documentation
PREMIS PREservation Meta data: Implementation
Strategies
44. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 52
International Standards in the ERMS-environment
MoReq Model Requirements for the Management of
Electronic Records
ISO 23081, Part 1 Records management processes, meta data for
records
Australian RKMS Recordkeeping meta data sheme
MARC Machine-Readable Cataloging
METS Metadata Encoding & Transmission Standard
DIRKS Designing and Implementing Recordkeeping
Systems (Australia)
US DoD Dept. of
Defense 5015.2-STD
Standard for Electronic Records Management
Examples for Metadata
45. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 53
Standards for Import, Export & Harvesting
• International:
EAD – Encoded Archival Description
EAC – Encoded Archival Context
• Germany:
SAFT – Standard Austauschformat für Findmittel
• Context plus Objects:
METS - Metadata Encoding and Transmission
Standard
46. 54Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
GENERAL ARCHIVE
INFRASTRUCTURE
47. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 55
The Vision of the
Universal Federated Archive
for every Type of
Information
Archive Management Middleware
48. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 57
Archive Management Middleware
Federated Archive Repositories
Read only
„historic“
Read + write
„current“
Backup
Store Store
Index
DB
Archive Connectors
SAP Archive Link Application Interface Connectors CMIS
Workflow-
Engine
OCR/
ICR
LDAP
Authorities
Viewer
Manage-
ment
Con-
verter
Adminis-
tration
UID
Generator
Time
stamp
Signature
Generator
Audit
trail
Recovery
Load-
balancer
Signature
Verifier
Configu-
ration
DB
Termi-
nology
49. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 58
Appliacation Interface Connectors
One Archive Management Middleware…
SAPE-Mail REOXML PDF FaxOfficeDigital
Signature
Archive Management
Archive Connectors
Lotus
Web
HTML
…to fit all kinds of information objects.
50. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 60
Application Interface Connectors
One Archive Management Middleware…
HGB AO GDPdU GAUFZ REACH Basel II GxP
§ § § § § § §
SOX
§
FDA
§
Archive Connectors
Archive Management
LSF
§ §
…
…to comply with all legal requirements.
51. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 63
One Archive Management Middleware…
…for all applications.
SAP SAP Lotus
Share
-point
Federated Archive Repositories
Intranet
Archive Management
Meta data
Index
Database
Specialformats
Portal …
noindexdatabase
metadata
52. 65Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
CHALLENGES OF THE LAST DECADE
53. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 66
Scanning and archiving
• Indexing and classification are done mainly manual:
• Bottleneck with lots of mistakes
• Automatic classification helps but still has potential for
further improvement
• Checking against existing master data supports good
quality and automated indexing
• Quality assurance (readability, integrity) and
indexing are build into special capture workflows
• Conversion into different renditions supports long
term accessibility of the documents
• Certain applications and sectors need electronic
signatures in order that the scanned paper can be
destroyed
• In the past mainly special archives for scanned
documents (Imaging) only
54. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 67
Email-Archiving
• Lotus, Exchange/Outlook & Co.
• Special formats
• Attachments
• Redundancy
• and other problems
• Archiving strategies
• Journaling – everything including spam
• Individual – each user has the responsibility to
archive important mails in the business context
• Automatic and semi-automatic support for both
strategies and hybrid alternatives
• Mainly inhouse archiving solutions
• Unclear legal value of an archived email
• In the past mainly special archives for email only
55. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 68
SAP and archiving
• Control size and performance of the database
• At the center of interest: data objects
• Synchrone vs. asynchrone archiving
• Direct archiving or background processes
• Database based vs. Database integrated
• Functionality drafted or integrated
SAP: asynchrone, database based archiving
• Archive link:
Communication interface among the applications,
contents:
• Interfaces
• Repository
• Research
• Report
• In the past mainly special archives for SAP data
and externally referenced documents only
56. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 69
Office documents and file systems
• Different formats: images, graphics, charts, texts,
tables, media-objects etc.
• Formats depend on program version
• ODF is a standardized, open format, but there are
only a few ODF supporting providers
• Office-Documents can be linked, embedded,
clustered and inside references can be lost
• Outdated Office formats are not reproducible
• Office Documents with own authorisation and rights
cause access and viewing problems in the archive
• Users often do not add meta data and thus prevent
a controlled index for the archive
• In the past mainly special archives for file system
replacements with office document formats only
57. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 70
E-Discovery only in the US?
• Enterprises who work together with an american
enterprise or who trade directly or indirectly in the
USA have to follow the rules of e-Discovery of the
FRCP
• Contains evidence in legal disputs in the USA,
informationen administrated in the abroad (e.g.
Germany) can be relevant
• US administrations keep the right to search as well
repository service in foreign locations (based on the
patriot act which was prolongued by President
Obama)
• Entrepreneurial risks as well for international
companies with daughters and subsidiaries in the
US as well for companies owned by US companies
or having shareholders in the US
58. 71Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
CURRENT CHALLENGES
59. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 72
Database archiving
• COLD-method only saves tables, lists or reports but
not the logical connection of the database
• Saving the context is important for preserving a
researchable and processable archived database
• Exporting the database or database application
logic in extracts or archiving the complete database
for (restricted) further use is typical for database
archiving
• Mainly used for systems which will be replaced but
have to be kept accessible (system retirement)
• Tendency as well towards saving databases in
universal archives
60. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 73
Universal archives
• Principle:
„One archive for all kinds and types of information
managed together following the same criteria and
principles“
• In the past different types of documents and the
connection to different application systems made it
necessary to use isolated solutions or silo solutions
• ECM Enterprise Content Management supports the
idea of universal archives with a “federated
repository“ concept
• Archiving in the World Wide Web with its diversity of
formats and utilization models requires as well an
„Universal archive“ concept
61. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 74
Archiving for web content and transactions
• Archiving websites and portals with business
relevance content
• Archiving the transactions of users of such websites
• Often only saving the data and the screens seen by
the user
• More complex but more complete the documentation
of the complete situation, related data and journal of
the process
• Personalization, individualization and automatic
updates make archiving of websites difficult
• Archiving information from social communities,
special formats, Enterprise 2.0 portals, social and
short messaging systems, videos, multimedia
objects, 3 dimensional objects, tweets, …
cause growing problems without solutions today
62. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 75
Email-Archiving in a Social World
• Google Mail
• Google Mail-Archiving / Postini
• Classic „Mailbox problem“
• Facebook „Mail“ and Messages in Social
Communities
• No more sending mails but messages as views on
database entries
• All messages kept in a central database
• How to archive important business correspondence
from these channels and databases?
• And … can I trust the provider of the systems in
regard to confidentiality and privacy?
63. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 76
Archiving for mobile appliances
• Mobile devices have no individual archive memory
• Special service providers (Google, Apple) cache
communication and documents whith direct access
on their servers, but not in their archives; special
archive offerings like iCloud, Amazon S3 to come
• To control the information flow gains more and more
importance and may proscribe to use mobile
devices for certain application areas
• Client-/Server-oriented applications are not
sufficient to support modern mobile communication
in regard to managing and archiving information
• Archiving mobile communication mainly takes place
in the Cloud
Problem: Governance and legal requirements
64. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 77
Archiving in the Cloud
• A question of trust
• Legal requirements
• Archiving with SaaS Software as a Service needs
special functional requirements:
• Special invoicing modules, secure authentification,
response systems, logging, interfaces to integrate
local software, backup and softstandby for a large
amount of data, special prefetch-strategies, preview-
converter, legal hold, HSM, a.s.o.
• Need for an univeral archive since there is no control
of what information objects are uploaded and used
65. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 78
Archiving of „special“ Emails
There are two „very special“ email offerings in Germany:
• DE-Mail
• Medium of communication to exchange electronic documents
in a reliable and confidential way via internet
• Project of the German Federal Goverment with the
collaboration of several service providers
• Goal: Reduction of replacement costs for administration in
enterprises
• Based on the German De-Mail law
• E-Postbrief
• Offering by Deutsche Post AG
• Hybrid mail service with integrated website to exchange
messages via internet
• Goal: higher authentication, superior data protection and
greater integrety in comparaison with a “normal“ E-Mail
• Today not compliant with the De-Mail law
• General question:
keep the De-Mails/E-Postbriefe with the provider (only) or
transfer them (additionally) into an inhouse archive to combine
them with the other documents of the business case?
66. 79Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
4 TRENDS WITH IMPACT ON
ARCHIVING,
DIGITAL PRESERVATION AND
RECORDS MANAGEMENT
67. 80Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
… AND A DIFFERENT
PERCEPTION OF ARCHIVING …
68. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 81
COLLABORATION GOES MOBILE AND SOCIAL
• A new direction:
Collaboration develops under the pressure of social
software, mobile apps and Web 2.0
• „2.0“-like tools replace traditional groupware-
functionality
• Present inhouse applications are now offered as
SaaS: Archiving, E-Mail-Management, Email, CRM,
Project Management …
• Major suppliers like Facebook, Salesforce.com,
Microsoft, Google etc. use collaboration &
communications as a first step into SaaS enterprise
software
• The goal: no longer inhouse implementations of
enterprise software
69. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 82
THE MOBILE REVOLUTION
• Every future system has to ensure that not only
professionals can use it but also the average
consumer .
• In the future, the way to operate a TV, a mobile
phone or a stereo equipment at home will be
standard as well for business applications.
• Also ECM services like email archives, electronic
records and workflow management can be used
trough Apps.
• Many ECM provider have already Apps
for smart phones, tablets, netbooks i.E.
Still the question remains wether mobile devices
are fit to serve professional working with
documents, folders, and complex processes.
70. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 83
Cloud Computing Chances & Risks
Chances Risks&
• Provider
• Confidence
• Control
• Dependance
• Reliability of the Cloud
• Shortages in the datatransfer
• Software-Licenses
• Property rights
• Faster availability of
innovations
• Theoretically unlimited
scalability
• Cost-saving concerning
hardware, employees and
licenses
• Reducing efforts regarding
program updates
• Faster adaption to changing
requirements
• Cost-control with Pay-for-use
Redundant, 24/7/365 archiving with access
from any where at any time is an issue ...
71. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 84
Systems of Record vs. Systems of Engagement
Systems of Engagement – like collaboration - are
gaining ground while systems of record - like
archives – are loosing attention
72. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 85
Social Business Conclusion according to AIIM
• Social business technologies offer significant
benefits to organizations that can effectively
implement and use them.
• This will frequently require reexamination of existing
processes to determine how best to take advantage
of social technologies.
• Organizations should review these technologies
with an eye towards implementing them in a way
that supports their business goals and objectives
and that complies with their unique governance
requirements.
Social Software and Enterprise 2.0 Applications
are not designed for Records Management and
Archiving requirements …
73. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 87
Ubiquitous Computing
• Vision of small, inexpensive, robust networked
processing devices, distributed at all scales
throughout everyday life and generally turned to
distinctly common-place ends
• Human-computer interaction model
• The use is intransparent
• “Using" ubiquitous computing engages many
computational devices and systems simultaneously,
not necessarily being aware that they are doing so
• Only a vision: “Machines that fit the human
environment instead of forcing humans to enter
theirs"
Archiving becomes a backbone and
invisible service
74. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 89
Everything moves under the surface
• “Library services such as version control
and checkout/checkin are happening
behind the scenes.“
• “Cloud-based storage and automatic
synchronization services enables seamless
working across any device.”
• “ Nothing is deleted. Ever.“
Oscar Berg, 2011
75. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 90
GRC Governance, Risk Management & Compliance
Compliance
• Compliance describes the entire measures to justify
the rule-consistent behavior of a company, their
organisational member and their employees
concerning every legal command and prohibition.
• Compliance with and fulfillment of legal and
regulatory requirements.
„Compliance alone is not enough, it has to be
integrated in a framework with Governance on the
high level, Risk Management and Compliance on
the operational level.“
76. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 91
GRC
GRC brings together the disciplines of Corporate
Governance, Risk Management and Compliance
as a consistent procedure model.
77. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 92
Compliance: General criteria
• Authenticity
• Completeness
• Traceability
• Access security
• Structure
• Integrity
• Findability
• Reproducibility
• Unchangability
• Accuracy
• Verifiability
• Portability
• Trustworthiness
These are as well the
relevant criteria for
Records Management
and Archives
78. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 93
Compliance: General criteria
• Authenticity
• Completeness
• Traceability
• Access security
• Structure
• Integrity
• Findability
• Reproducibility
• Unchangability
• Accuracy
• Verifiability
• Portability
• Trustworthiness
Compliance may be the
only reason for having
Records Management
and Electronic Archives
in the future …
79. 94Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
5 OUTLOOK
80. 95Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
A CHANGE OF PROFESSION
81. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 97
Digital archivists
• Gartner expects around 15 per cent of companies
to add a digital archivist role by 2012 compared with
fewer than 1 per cent in 2009
“Organisations typically have vast quantities of
records, which require specialist expertise to
access, appraise and preserve. This isn’t a job for
conscientious users to perform if they have time; it
requires training and expertise. […] you need a
digital curator.”
82. 98Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer
THE OTHER VIEW OF ARCHIVING
83. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 99
The Loss of Control
• Information flood: enterprise search versus
controlled organization of information:
Why organize information if Google on my Desktop
can search them easily for me out of the big data?
• More and more „easy use“ concepts from web
2.0 and mobile devices:
Why use tree views and folder structures to
organize records and documents? We need
features like Youtube!
• More and more people relying on automation:
Why index manually and order manually when
automatic categorization can do this? Otherwise
social tagging can help!
84. Trends in records management, archiving and digital preservation ABBOTT GmbHDr. Ulrich Kampffmeyer 100
Responsibility for Archiving
“Electronic Archives are the Memory
of the Information society.“
Erkki Liikanen, Commissioner for information technology
of the European Commission, 1999