The role of technology in managing records retention and disposal by Jaume Vilar of BEP Systems (part 2)

This paper is an extract from ‘Managing Records Retention and Disposal’ by Alison North and published by Ark July 2009

Different types of data

A selection of different types of data is given below, with notes. This should help evaluate which storage solution is most appropriate and where in the business process different metadata for the record/document should be gathered.

Paper documents and physical objects
These will usually be referenced in warehousing systems or directly in records retention management systems. Metadata such as document type and the archive trigger date will be supplied at the point of creation of the record or when the record of the item reaches a particular point in its lifecycle.

Electronic documents
These may be stored either on drives (least useful), in EDM systems or in collaboration tools. See below for notes on e-mail.

Apart from in the case of drives, document metadata is usually held jointly between the storage system and the records management system. When a document is created, the storage systems can usually ensure that document type is supplied (either manually or via auto-classification) and, by appropriate configuration of the document lifecycle in the system, the archiving point can also be identified. This then provides the necessary data for the records management system to operate.

Drives (whether network or local to PCs) provide a particular challenge. Records management systems will usually provide the tools to determine disposal, but the processes to get document records into the records management system and to maintain rigorous controls over the drives are challenging. This is a topic worthy of a book in itself, but suffice it to say the recommendation of the report is that controlled documents should be stored in EDM systems or collaboration tools.

E-mail
E-mail is worthy of particular note because it has historically proved difficult to classify and, in many instances, important records are kept either as attachments or in the e-mail content itself.
Two changes are making e-mail truly controllable as a document:

1. First, the ability of collaboration tools (such as SharePoint) to store e-mail and, by close integration with e-mail systems, act as the final destination of all historic e-mails (rather than them living permanently in somebody’s inbox). This, combined with policy (enforced electronically) that e-mail cannot be held by individuals indefinitely, ensures that e-mail is treated as a corporate resource, not a personal one.
2. Second, auto-classification and the ability to archive based on rules make identification of document types for e-mails achievable where before it was not. The entry point into the collaboration tools also provides a logical point for classification.

It is worth noting that e-mails with attachments are nothing more than a collection of documents (see below). Furthermore, the modern tools for manipulating and scanning e-mails cater for attachments.

Appropriate IT systems for different ways of working

In general, organisations operate in two different ways. These lend themselves to different IT tools to support that way of working and hence the implementation of different records retention approaches.
The two ways of working are process-driven and project (or ad hoc).

Process-driven working
Characteristics of a process-driven way of working:

• Generally either transactional or the same process/project repeated on a regular basis – such as month or year end;
• Known document types. Process will dictate when archiving can take place and when the process is complete; and
• Candidate for systems-based automation.

The IT systems applicable up to the archiving point are:

• Transaction or business operational systems – usually tightly process or functionally aligned; and
• Collaboration tools and EDM systems – storage of documents (normally of known document types) at known points in the process. The user interaction with the records retention management system will either not exist (if the systems listed above are linked to it) or will be standard in the business process (probably with a restricted view to the role of the user).

Project or ad hoc working
Characteristics of a project or ad hoc way of working:

• One-off or unusual work;
• Some known and some unknown document types;
• May require interaction with policy makers to obtain retention guidance/ decisions; and
• Dependent on flexible systems to support appropriate retention management.

The IT systems applicable up to the archiving point are:

• Collaboration tools and EDM systems – storage of documents; and
• Records retention management system – creation of records of documents (may or may not be needed).

In many organisations, although projects occur often, quality control procedures will exist which define the types of document that can be created (such as in most IT projects). These will therefore be ‘standard’ documents and the way of working (from the point of view of records retention) will be indistinguishable from process-driven working. Truly ad hoc working is rare and if it happens ‘often’ this may be an indication that quality control and other procedures and policy need definition to specify the way the organisation operates.

In truly ad hoc working, the organisation will need to liaise closely with the policy makers to ensure the retention rules and document types are defined and set up so the tools listed above can then be used to manage the output of the work.

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