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

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 time
2012 Managing Electronic Records Conference 21.1

2. Cohasset Associates, Inc.
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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 Sapienza
2012 Managing Electronic Records Conference 21.2

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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 requirements
2012 Managing Electronic Records Conference 21.3

4. Cohasset Associates, Inc.
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… 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 time
2012 Managing Electronic Records Conference 21.4

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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 Alzheimer's: Prognosis
Corporate Al heimer s: Prognosis
Kenneth Thibodeau, Ph.D.
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6. Cohasset Associates, Inc.
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Is There A Cure?
• There is no current cure for corporate Alzheimer's,
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
18
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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
21
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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 Go
2012 Managing Electronic Records Conference 21.8

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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)
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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 Card
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Digital Preservation Improvement
Strategy (1)
Digital Preservation Improvement
Strategy (2)
Follow DPCMM on
www.savingthedigitalworld.org
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12. Cohasset Associates, Inc.
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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 evidence
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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 compliant
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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 use
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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
45
2012 Managing Electronic Records Conference 21.15