This conference analyzes the current state of records management in relation to the needs it faces today. This state is analyzed from four factors: society, organizations, technology, and the profession, and within the last factor five variables are considered: the crisis of traditional records management, new opportunities in the framework of information governance, new developments in regulatory context, service models for records management, and the evolution of the professional profile. Esta conferencia reflexiona sobre la situación actual de la gestión documental en relación con las necesidades a las que debe dar respuesta. Se analiza este posicionamiento desde cuatro factores: la sociedad, las organizaciones, la tecnología, y la profesión, y dentro de este último factor se contemplan cinco variables: la crisis de la gestión documental tradicional, las nuevas oportunidades en el marco de la gobernanza de la información, las novedades en el contexto normativo, los modelos de servicio de gestión documental, y la evolución del perfil profesional.

1. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
“Liquid archives”
Background changes and trends in
today's Records Management
Jordi Serra Serra
Master’s Degree in Records and Information
Management in Business (MGDIE)
University of Barcelona
Inaugural Conference of II Cycle of Archival Section (School of History)
celebrating 75th anniversary of the University of Costa Rica
August 26, 2015

2. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Manage uncertainty
 One of most characteristic features of current thinking is
uncertainty (Zygmunt Bauman). Current thinkers agree to work
with fuzzy boundaries (spatial, conceptual, chronological...). This
approach hits also on designing records management systems,
which become:
 Organic: they can modify structures and create new ones
from current uses, never quite predictable.
 Hybrid: they merge elements from different disciplines, and
add every kind of innovations without distinction according to
the providing discipline.
 Evolutionary: never finished, they are always adapting to the
changes in organizations and the environment.

3. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Two questions
What Society
demands to
records
management?
Can today’s
profession
meet this
demands?

4. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Factors

5. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Factors

6. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Society
 Immediacy (if not online, don’t exist)
 New rights relating to information
 Greater accountability (publicly available)
 Dilution of information ownership (reusing)
 Strengthening of identities (heritage)

7. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Main driving factors for evolution
 Immediacy (if not online, don’t exist)
 New rights relating to information
 Greater accountability (publicly available)
 Dilution of information ownership (reusing)
 Strengthening of identities (heritage)

8. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
New dimensions of access and use
Reactive access
Proactive access
(public availability)
Use in original
context
Use in a different
context
(reusing)
TRANSPARENCY

9. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
New dimensions of access and use:
main challenges
Interoperability
and integration
(systems/CRM)
Proactive access
(public availability)
Semantic
processing
(open/linked/big)
Use in a different
context
(reusing)

10. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Factors

11. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Organizations
 Multiform
 Composed
 Ubiquitous
 Agile

12. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Conflict of dynamics
+ Value
(more usability for users)
- Risk
(more security for
organization)

13. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Impact on records management
 Ever-increasing volume of data to manage
 From formal to real (effective) compliance
 From formal to real (effective) security
 It’s not about assets, it’s about service
 Integrated (connected) systems with decentralized
implementation
 Collaboration and invisibility (providers as customers)

14. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Factors

15. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Technology
 New software (open & free)
 New formats (data and more data, structured
and linked)
 New forms of distribution (cloud computing and
pay per use)
 New forms of interaction (federation,
consumerization, mobility)

16. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Strategic trends in IT
1. Commit to the cloud
2. Mobilize everything
3. Make the business social
4. Digitize anything that moves
5. Extreme Information Management
OccupyIT (2015)

17. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Cloud computing
On
premise IaaS PaaS SaaS
Application
Platform
Infrastructure
 User needs adapting
 Safer continuity
 Best long-term cost
 Faster deployment
 Easy to upgrade
 Best short-term cost

18. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
A new opportunity
On premise IaaS
PaaS
SaaS
Development effort
Analysis and change
management effort
IT IT

19. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
The map of entities to manage has
become more complex ...
Record
eMail
Born digital
record
Structured
data
(transactional)
Web
contents
Social
networks
Structured
data
(open)
Structured
data
(linked)

20. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
... or maybe not
Interoperable
data
IT IT
Record
eMail
Born digital
record
Structured
data
(transactional)
Web
contents
Social
networks
Structured
data
(open)
Structured
data
(linked)

21. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Factors

22. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Profession
RM crisis
RM to IG
Regulatory
framework
Service
model
Professional
profile

23. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Profession
RM crisis
RM to IG
Regulatory
framework
Service
model
Professional
profile

24. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Records Management
is death… as we know it!
J. Mancini, 2015

25. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
An example
0% 20% 40% 60% 80% 100%
Records storage
EDRMS
Business S.
eMail?

26. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
… Another example

27. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
… And another example
 Dilemma about information ownership
 Extensive replication of information
 Broader context for information
 Ability to record sensitive aspects of
business processes

28. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Two spheres
Communications
(spontaneous)
Documents
(declared as
records by users)
+ Trust -

29. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Limitations of traditional RM model
 Overly formal and self-demanding
(perfectionist)
 Discreet perspective (focus on small-data)
 System based on borders (custodialist)
 Too centralized (system like unique tool)
29

30. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Consequences of this practices
 Low percentage of effective coverage
 Low reliability and security levels
 Little value-added for end-users
 Too long-term ROI

31. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Consequence: people don’t use it
Iron Mountain Survey (2015)
Do you trust in records
management techniques as
tools to face information
risks, and do you think they
meet your needs?
Do you know the
records management
system of your
organization, and who
are their responsibles?
If yes, do you meet
regularly with those
responsibles for learning,
advice, etc.?
Yes
15%
No
85%
Yes
58%
No
42%
Yes
31%
No
69%

32. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Profession
RM crisis
RM to IG
Regulatory
framework
Service
model
Professional
profile

33. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Main driving factors for evolution
 Consumerization
 Mobility and renouncement to ownership
 Change in the nature of work
 Effective security requirements, not
merely formal

34. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Evolution towards a new model
 Overly formal and self-
demanding
 Based on borders
 Too centralized
 With little value-added
 Low reliability and security
levels
 Good faith + Broader and
detailed control
 Cross information processing,
integrating and aggregating
different systems and sources
 Guidelines for IT systems design
 Automated capture and RM tasks
(Dropbox model: only save,
search and share)
 Cross control + Paperless
management + Digital
preservation as standard

35. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Examples of this evolution
 Obama’s 2011 Presidential Directive on Managing
Government Records
 CAPSTONE approach (NARA)
 eMail accounts
 Pre-accessioning
 Big Buckets and new structures to classify
 BYOD and CYOD policies
 AILM Model

36. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Information Governance
 Information Governance is a framework
of people, principles, processes and
tools, that defines why, when and how
information is managed within an
organisation, in order to maximise its
value, fulfil obligations, reduce costs and
reduce risk.
George Parapadakis, 2014

37. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Revolution or evolution?
Records
management
Information
governance
Information
governance
Records
management

38. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
What activities includes
Information Governance?
Source: eDiscovery Journal

39. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Which areas includes
Information Governance?
Records
management
(RIM)
Compliance
Information
technology
Legal
(eDiscovery)
Privacy
And process
management!

40. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
An example of evolution:
appraisal techniques
 Few and too abstract methodological
references.
 Growing doubts of its utility looking at the
continued increase in storage and processing
capacity of information systems.
 Doubts also by the low efficiency and
effectiveness of current procedure.

41. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Paradigm shift:
appraise to preserve
• “The traditional media-centric space-reduction
paradigm has been augmented by another
paradigm, one that organizations today believe is
even more important. It is content-centric and
its focus is risk reduction.”
Cohasset Associates

42. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Appraise by…
Value / Use
• Primary values
• Secondary values
Constraints
• Risks
• Cost / benefit

43. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Another example of evolution:
RIM systems design
Records series
mapping
Information
systems
mapping
Data mapping

44. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Profession
RM crisis
RM to IG
Regulatory
framework
Service
model
Professional
profile

45. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
An opportunity: ISO 30300 family
 Customer/user oriented
 Leadership, responsibility, involvement and
accountability of agents
 Focused on processes
 Integration into the whole of organization’s
management systems
 Continuous improvement

46. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Another opportunity:
the ISO 15489 revision
 Consideration of process analysis as a basic
source to identify records requirements.
 Consideration of dynamic records, data-based
systems, and the relativity of RIM system
boundaries in datacentric environments.
 Explicit consideration of relationships with other
standards.
 Planned integration with long-term preservation
systems and functionalities.

47. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
And another one:
the new ISO 9001:2015
 Strengthens the need to establish recorded and
auditable metrics for achievement of objectives.
 Strengthens the process approach, and especially the
integration of quality management system with the
overall management of business processes.
 Strengthens the approach based on risks and
opportunities.
 Evolves from recorded procedures to recorded
information (not to keep documents, but the control).

48. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Profession
RM crisis
RM to IG
Regulatory
framework
Service
model
Professional
profile

49. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
RIMS OAISPolicies
Understanding the role of RM (RIM)
system inside the organization

50. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
RIMS OAIS
Policies
Understanding the role of RM (RIM)
system inside the organization

51. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
RIMS
OAIS
Policies
Understanding the role of RM (RIM)
system inside the organization

52. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
RIMS
OAISPolicies
Understanding the role of RM (RIM)
system inside the organization

53. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
System’s architecture:
a matter of model
 In place RM
 Internal RC
 External RC
Document
center
Document
center
Records
center
Document
center
Records
center

54. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Organizational model
for RM (RIM) system maintenance
Service
delivery
Manager
Guidelines
Tools
Services provided by an internal department, using resources
partially outsourced, or fully outsourced.
Always own. Mandatory according to ISO 30300.
Developed by an internal department, or provided by an
external consulting company, including periodic maintenance.
Tools provided by an internal department (on-premise or
SaaS), or as rules embedded in business information systems.

55. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Several organizational models
for RM (RIM) system maintenance
Service
delivery
Manager
Guidelines
Tools
Service
delivery
Manager
Guidelines
Tools
Service
delivery
Manager
Guidelines
Tools
Service
delivery
Manager
Guidelines
Tools
Service
delivery
Manager
Guidelines
Tools

56. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
The future is nomadic: consultancy
Effectiveness Efficiency
ContinuityCompliance
We will
We need

57. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Opportunities for RIM projects
Projects
Operational level
Strategic level
RIM system
design and
implementation
RIM Shared:
in-case actions
Solutions for
specific
business
processes
Solutions for
teamwork and
collaboration
RIM headed:
cross actions
Solutions
for end-user
office work
ECM Solutions
for RIM and
digital archiving

58. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Integrating three kinds of projects
RM/RIM system
design and
implementation
project
IT solution
development
project
Business
process
reengineering
project

59. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Always with an unavoidable service:
long-term digital preservation
REPOSITORY
Replication
Refreshing
TRUSTED REPOSITORY
Integrity
checking
Access control
PRESERVATION REPOSITORY
Characterization
and packaging
Migration
Emulation and
virtualization

60. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Profession
RM crisis
RM to IG
Regulatory
framework
Service
model
Professional
profile

61. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Come back to endless discussion...
What’s a ”Records
Management Professional”?

62. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Traditional barriers in countries where
archival science is the original professional context
 Social image
 Organizational location
 Competences distribution
 Training and collaborative skills
 Systems ownership
 Unwillingness to action

63. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Main driving factors for evolution
 Blurred borders: cooperation with other
professionals and joint projects.
 Acceptance of invisibility: respect to competences
distribution and greater autonomy to business
systems and end-users.
 Conceptual and methodological strength, and use of
really effective tools.
 Differentiation between business records
management and cultural heritage management as
two strongly specialized areas.

64. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Focused records manager profileAuditing
Consultancy
Development
Process
management
Records
management
Business
analytics
RM

65. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Extended records manager profileAuditing
Consultancy
Development
Process
management
Records
management
Business
analytics
RM

66. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Hybrid records manager profileAuditing
Consultancy
Development
Process
management
Records
management
Business
analytics
RM
BPM
ERP

67. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Hybrid process analyst profileAuditing
Consultancy
Development
Process
management
Records
management
Business
analytics
RM
BPM
ERP

68. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Full hybrid profileAuditing
Consultancy
Development
Process
management
Records
management
Business
analytics
RM
BPM
ERP
CRM
BI

69. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Third line
Second line
First line
The metamorphosis
of records manager
Records
manager
Records auditor
Records controller
Records quality manager
Records architect
Records capture officer
Records preservation officer
Records accessibility officer
Frans Smit, 2013
“Cloud”
“Onpremise”

70. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015
Thank you
Jordi Serra Serra
serra@ub.edu
http://www.mgdie.net/en/
http://bd.ub.es/pub/serra/