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
Page 3
Total respondents: 768
1-10
101-500
1,001-5,000
10,000+
0% 5% 10% 15% 20% 25%
US; 61%
Canada; 12%
UK & Ireland; 13%
Mainland Europe; 5%
Australia/New Zealand; 3%
Other; 7%
Government & Public Services - Provincial, State,
City, LocalGovernment & Pub-lic Services - Fed-
eral, National
Finance, Banking, Insurance
Utilities, Telecoms, Oil & GasIT & High Tech - ERM supplier
Manufacturing
Healthcare
Consultants
Charity, Not-for-Profit
Education
Pharmaceutical
Professional Services and
Legal,
Engineering & Construction
Retail, TransportIT & High Tech– NotCM Media, Publishing, Web
Demographics 2
Page 4
Records or Docu-ment Management
staff
Head of Records, Compliance, or
LegalProject Management or Business Development
Consultant or Ana-lyst
IT staff
CIO or Head of IT
LOB process owner
President, CEO, MD
Other
Paper vs Electronic
Page 5
Paper vs Electronic
Page 6
Is the volume of your PAPER records?
Paper vs Electronic
10+ employees non-Trade (648)
Paper records are still
increasing in 56% of
organizations, but in 21% it is at last showing
signs of decreasing
Increasing rapidly
Increasing somewhat
Stable
Decreasing somewhat
Decreasing rapidly
0% 5% 10% 15% 20% 25% 30% 35% 40%
Increasing rapidly
Increasing somewhat
Stable
Decreasing somewhat
Decreasing rapidly
0% 10% 20% 30% 40% 50% 60% 70% 80%
Electronic
Paper
Page 7
Is the volume of your ELECTRONIC records?
Paper vs Electronic
10+ employees (656)
But electronic is going crazy!
None
Small proportion
Significant proportion
Majority
All
0% 10% 20% 30% 40% 50% 60%
Electronic
Paper
Page 8
What proportion of your records would you say are UNMANAGED:
Paper vs Electronic
And it’s the electronic ones
that are less well managed
- electronic more than
twice as likely to be
unmanaged (44%)
10+ employees non-Trade (648)
Page 9
What proportion of your PAPER records would you say are:
Paper vs Electronic
The majority of paper records
are not electronically
indexed
Unmanaged
Managed in-house manually
Managed in-house electronically – dedicated system
Managed in-house electronically – alongside electronic records
Off-site warehoused
Outsource managed
0% 10% 20% 30% 40% 50% 60% 70%
10+ employees non-Trade (648)(weighted)
Unmanaged
Managed in file-shares
Managed in-house in dedicated ERM system(s)
Managed in dedicated Email Archive system(s)
Managed as part of an ECM system
Managed as records in SharePoint
Managed externally/outsourced
0% 5% 10%15%20%25%30%35%40%45%50%
Page 10
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
10+ employees non-Trade (648)(weighted)
Page 11
What proportion of the records generated by line of business applications and business process workflow are:
Business Process
LOB records are as likely to be printed and
managed as paper as filed outside of the
system.
10+ employees non-Trade (648)(weighted)
)
Printed and managed as paper
Managed in business application databases
Managed in a dedicated ERM system
Managed as part of an ECM system
Managed externally/outsourced
0% 5% 10% 15% 20% 25% 30% 35% 40% 45%
Page 12
Which of the following policies and practices do you generally apply to paper records?
Business Process
Paper, paper, paper - even
when we have the electronic
original,
10+ employees non-Trade (648)multi-choice
We manually file newly received items as paper
We manually file newly received items as paper but index them electronically
We print newly generated office documents and file them
We print important emails and file them
We print anything that may need to be accessed for audit
We scan newly received items and file them electronically
We scan paper records if they are pulled from the manual file
We have a project to scan all of our paper records over time
0% 10% 20% 30% 40% 50% 60%
Page 13
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
We manually file newly received items as paper
We manually file newly received items as paper but index them electronically
We print newly generated office documents and file them
We print important emails and file them
We print anything that may need to be accessed for audit
We scan newly received items and file them electronically
We scan paper records if they are pulled from the manual file
We have a project to scan all of our paper records over time
0% 10% 20% 30% 40% 50% 60%
Legal Discovery
Page 14
Legal Discovery
Page 15
Do you have a procedure that details how to apply legal hold on relevant records in the event of a litigation?
Legal Discovery
Better than expected –
electronic just 14% less than
paper
But still only just over half.
10+ employees non-Trade (572)
Paper records in-house
Paper records outsourced
Electronic office documents
LOB system documents/case files
Emails
Website
0% 10% 20% 30% 40% 50% 60% 70% 80%
Page 16
Do you have a procedure that details how to apply legal hold on relevant records in the event of a litigation?
Legal Discovery
Bigger organizations
have responded
faster to 2006 FRCP ruling
.
10+ employees non-Trade (572)
10-500 emps
500-5,000 emps
5,000+ emps
0% 10% 20% 30% 40% 50% 60% 70% 80% 90%
Electronic - 2006
Paper records - 2006
Electronic records - 2009
Paper records - 2009
Page 17
How long would a legal discovery search process take across your paper/electronic records:
Legal Discovery
Paper takes longer
25% > 1 monthvs
17% electronic
10+ employees non-Trade (572)
1 day
2-5 days
5-10 days
10-21 days
1 month
2 months
More than 2 months
0% 5% 10% 15% 20% 25%
Electronic
Paper
Page 18
Who would be responsible for doing the legal discovery search across your:
Legal Discovery
Reliance on IT staff to carry out searches on electronic
records
10+ employees non-Trade (572)
Paper records and archives in-
house
Paper records and archives outsourced
Electronic office documents
LOB system documents/case
files
Emails Website0%
10%
20%
30%
40%
50%
60%
Records staff IT staff Legal Staff LOB users Others
Page 19
As regards the tools you use for in-house legal discovery:
Legal Discovery
13% using dedicated
e-discovery tools and a further 22%
planning to do so
10+ employees non-Trade (572)
We use the functions within our ECM/ERM system
We have invested in Enterprise Search to help with legal discovery
We are using dedicated e-discovery tools or modules and find them useful
We are planning to invest in specific e-discovery tools or modules
We have found e-discovery tools to be of limited use
We could justify the investment but haven’t addressed this yet
We don’t have the volume of cases to justify any specific investment
0% 5% 10% 15% 20% 25% 30% 35% 40% 45%
Page 20
If challenged, how confident could you be that your electronic records have not been changed, deleted, or inappropriately accessed?:
Legal Discovery
37% not confident,
cf: 44% in 2007
10+ employees non-Trade (572)
Very confident
Confident
Fairly confident
Not very confident
Not at all confident
0% 5% 10% 15% 20% 25% 30%
Very confident
Confident
Fairly confident
Not very confident
Not at all confident
0 5 10 15 20 25 30 35 40
No System
With System
Page 21
If challenged, how confident could you be that your electronic records have not been changed, deleted, or inappropriately accessed?:
Legal Discovery
29% with ECM/ERM
systemnot confident,
60% without a system not confident
10+ employees non-Trade
260 with
80 without
Legal Discovery
Page 22
Governance
We have a set of policies for physical records but none for electronic records
We have a single set of policies which are applied to physical and electronic records
We have two sets of policies, one for physical and the other for electronic records
We have a number of policies dependent on whether electronic or physical, as well as location, business unit, media, complexity, etc.
We only have very basic policies
0% 10% 20% 30% 40% 50%
Page 23
Which of the following most accurately describes your records management policies?
Governance
45% have integrated policies for electronic and paper
16% of 5,000+ “only have very basic policies”
10+ employees non-Trade (572)
No enforcement at all
Occasional reminders
Sporadically monitored and highlighted
Monitored with some enforcement
Monitored and strongly enforced
0% 5% 10% 15% 20% 25% 30% 35%
Page 24
How would you describe monitoring and enforcement of records management policies in your organization?
Governance
But 38% do very little to encourage compliance
10+ employees non-Trade (554)
Train new staff in how to deal with paper records
Train new staff in how to deal with electronic records
Update existing staff regularly on how to deal with paper records
Update existing staff regularly on how to deal with electronic records
Have guidelines on what constitutes a record
Set guidelines on where or how it should be stored
Set guidelines on how to deal with emails as records
Enforce a standard fileplan/classification scheme
Maintain an official thesaurus
None of these
0% 10% 20% 30% 40% 50% 60% 70%
Page 25
Does your organization?
Governance
~40% do not provide any
staff guidance on how to deal with records
55% set no guidance on dealing with
emails as records
10+ employees non-Trade (554)
Page 26
Regarding your fileplan or classification scheme?
Governance
Getting there...~60%
10+ employees non-Trade (554)
We have an agreed scheme organization-wide
We adopted a sector-specific scheme
We have different schemes for different departments
We are still working to agree a scheme
We have yet to draft a scheme
We have no plans to use a classification scheme
0% 5% 10% 15% 20% 25% 30% 35%
Page 27
Regarding your retention schedules?
Governance
Some interesting differences
10+ employees non-Trade (554)
We are applying them consistently across all formats
We require approval to confirm destruction at the end of the retention schedule for paper records
We require approval to confirm deletion at the end of the retention schedule for electronic records
We only have very basic retention rules
0% 10% 20% 30% 40% 50% 60%
We have a Chief Records Officer at Executive Level
We have a Records Officer who reports to the CFO
We have a Records Officer who reports to the Corporate Secretary
Resides within Finance
Resides within Risk/Compliance
Resides within Legal
Resides within the IT Department
Records Management is devolved to Line of Business units
We have nobody with specific responsibility for these records
Other
0% 5% 10% 15% 20% 25% 30%
Electronic
Paper/Physical
Page 28
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?
Governance
5% at C-level
27% Still expecting IT to
take on new responsibilities
10+ employees non-Trade (554)
There will be an executive or C-level responsibility with specific knowledge of RM
It will be a specific responsibility of the legal/compliance department
It will be absorbed into the responsibilities of the IT department
It will be a responsibility of staff within the Line of Business units
It will stay split between Finance/Legal/Records and IT
Don't know
0% 5% 10% 15% 20%
Page 29
Which direction do you think Records Management responsibility is heading in, say, 3-5 years time?
Governance
C-level up from 5% to
18%
IT down from 27% to 12%
10+ employees non-Trade (554)
Legal Discovery
Page 30
Integration with Enterprise Systems
Page 31
From which of the following systems are you able to directly declare a record within your defined retention and classification schemes?
Integration
RM System still mostly stand-
alone
10+ employees non-Trade (554)
Physical/paper records management
Scanning/imaging/capture
Document Management
Shared drives
SharePoint
Finance
Website
Other LOB applications
ERP
CRM
Phone
Instant Messaging
SMS/Text
Blogs
Wikis
CCTV
None of these
0% 10% 20% 30% 40% 50% 60% 70% 80% 90%
Page 32
How will your spending on Records Management in the next 12 months compare with the previous 12 months?
Integration
Planned spend is up
(except consultancy)
10+ employees non-Trade (554)
Dedicated RM systems
RM modules within ECM system
Connectivity/middleware/portals between systems
Electronic systems for physical records
Enterprise search
Legal hold
Consulting services
Training
0.00% 20.00% 40.00% 60.00% 80.00% 100.00% 120.00% 140.00%
Series1 Much less Less Same More Much more
Page 33
What use is made of standards in your organization for best practice records management?
Standards
10+ employees non-Trade (554)
There is no real knowledge of RM standards
We are aware of the RM standards but don’t follow closely
We follow general business standards such as ISO 9001
We have knowledge of ISO 15489, but are not trying reach compliance
We are working towards compliance with IS0 15489
We are compliant and audited to ISO 15489-1
We use DoD 5015 as a best practice reference
We use MoReq2 as a best practice reference
0% 5% 10% 15% 20% 25% 30%
27% working to ISO 15489
and/orDoD5015 or
MoReq2
Page 34
Which of the following would you say are the most important for encouraging user adoption of Records Management? (max 4)
User Adoption
10+ employees non-Trade (554)
Regular training
Automatic classification
Blocking C: drives, share drives and removables
Automated email rules
Classification prompts
One-click declaration
Seamless with email client
Seamless with SharePoint
Favorites
SharePoint site archive wizards
0% 10% 20% 30% 40% 50% 60% 70% 80% 90%
Carrot, hands-off,or stick?
Legal Discovery
Page 35
Manage in Place
5 or less
5-10
10-15
15-20
20-30
30-50
More than 50
0% 5% 10% 15% 20% 25% 30% 35%
Page 36
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?
Multiple Repositories
10+ employees non-Trade (479)
31% of organizations
have 20 or more
repositories that could be
linked
Page 37
Which repositories would you like to link or manage in one place?
Multiple Repositories
10+ employees non-Trade (479)
Email is the priority
Existing DM system(s)
RM system(s)
Business/document process workflow system(s)
Outsourced storage
SharePoint system(s)
CRM
ERP
Other Line Of Business applications
WCM system(s)
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Already have Priority Sometime Unlikely
Page 38
Which connection mechanisms are you using or developing to link repositories?
Multiple Repositories
10+ employees non-Trade (479)
Considerable use of
customized links
In-house developed
Vendor supplied as standard
Vendor custom-developed
Third-party middleware
Enterprise search
None of these
0% 5% 10% 15% 20% 25% 30% 35% 40%
XML
Open Source
CMIS
BPEL
XAM
JSR171
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Very important Quite important Not at all important Not sure what this is
Page 39
How important are the following standards for you?
Multiple Repositories
10+ employees non-Trade (479)
But little under-
standing of CMIS
Search
Sign-on with rights
Hold
Delete
Retention
Destruction
All of these across 2 repositories
All of these across 3-4 repositories
All of these across 5 or more repositories
None of these
0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%
Page 40
As regards “Manage in Place”, which functions are you currently able to use across 2 or more repositories?
Multiple Repositories
10+ employees non-Trade (479)
Some early pioneers are getting it to
work
Legal Discovery
Page 41
Cloud, and long-term archive
Page 42
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)
Multiple Repositories
10+ employees non-Trade (479)
If the Cloud were owned within the
“family”, half might go for
it
Local (identifiable) outsource
Corporate cloud
Government organized cloud
Google/MS/Amazon/etc cloud within defined national locale
Google/MS/Amazon/etc cloud stored anywhere
0% 25% 50% 75% 100%
Using now Plan to use (next 2yrs) Possibly Wouldn't use
Page 43
Do you have ELECTRONIC records which need to be retained for:
Long-Term Archive
10+ employees non-Trade (479)
Most organizations
have some very long-
term retention
requirements
6 years
20 years
Person lifetimes
Forever/historical
0% 10% 20% 30% 40% 50% 60% 70% 80%
Page 44
Do you store a significant proportion of your records in the following formats?
Long-Term Archive
10+ employees non-Trade (479)(weighted)
But they are happy to use
native file formats!
Native (eg, DOC, XLS)
HTML (eg. Emails, web)
TIFF
JPEG
PDF-A
VERS
0% 10% 20% 30% 40% 50% 60% 70%
Now
Archive
Already have
Within 1 year
Within 2 years
Within 3 years
Within 5 years
Unlikely
0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%
Page 45
Do you plan to converge to PDF-A?
Long-Term Archive
10+ employees non-Trade (479)(weighted)
Slow progress!
Page 46
Do you have a POLICY/BUDGET for ?
Long-Term Archive
10+ employees non-Trade (479)(weighted)
Nearly 70% have no
forward view on long-term
archive
Media migration
Format translation
Application archive or virtualization
None of these
0% 10% 20% 30% 40% 50% 60% 70% 80%
Budget
Policy
Page 47
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