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AIIM Market Intelligence Delivering the priorities and opinions of AIIM’s 75,000 community Industry Watch Information Governance - records, risks and retention in the litigation age 4 Underwritten in part by: Send to a friend aiim.org I 301.587.8202 About the Research As the non-profit association dedicated to nurturing, growing and supporting the Information Management community, AIIM is proud to provide this research at no charge. In this way, the entire community can leverage the education, thought leadership and direction provided by our work. We would like this research to be as I widely distributed as possible. Feel free to use this research in presentations and publications with the n d attribution – “© AIIM 2013, www.aiim.org” Wu s Rather than redistribute a copy of this report to your colleagues, we would prefer that you direct them to t ar www.aiim.org/research for a free download of their own. y t Our ability to deliver such high-quality research is partially made possible by our underwriting companies, without c whom we would have to return to a paid subscription model. For that, we hope you will join us in thanking our h underwriters, who are: ASG Software Solutions Axceler HP Autonomy 1333 Third Avenue South 7 Swallow Place, 1 Market, Spear Tower, 19th Floor, Naples, FL 34102 London W1B 2AG San Francisco, CA 94105 USA England USA Phone: +1 800.726.5555 Phone +44 (0)207.850.0199 Phone: +1 415.243.9955 -I Email: [email protected] Email: [email protected] Web: www.autonomy.com rn e cf oo rdr sm , r isa kt si ao Iron Mountain Nuix Technology UK Limited, Recall ndn 745 Atlantic Avenue, 5th Floor, 68 Lombard Street, 180 Technology Parkway re G BPhoostnoen:, +M1A 8 00201.81919.5766 LEonngdlaonnd, EC3V 9LJ, NUSorAcross, GA 30092 teno Web: www.ironmountain.com Phone: +44 (0)207.868.1936 Phone: +1 888.Recall6 (732.2556) tiov Email: [email protected] Email: [email protected] ne Web: www.nuix.com Web: www.recall.com inr thna e litignc ae tio n RSD SAP StoredIQ a 300 Brickstone Square, Suite 603 3999 West Chester Pike, 4401 West Gate Blvd., Suite 300 g e Andover, MA 01810 Newtown Square, PA 19073 Austin, TX 78745 USA USA USA Phone: +1 978.409.2486 Phone: +1 610.661.1000 Phone: +1 512.334.3100 Sales phone: +1 978.409.2486 x105 Web: www.sap.com Sales phone: +1 512.334.3146 Email: [email protected] Email: [email protected] Web: www.rsd.com Web: www.storediq.com Process Used and Survey Demographics While we appreciate the support of these sponsors, we also greatly value our objectivity and independence as a non-profit industry association. The results of the survey and the market commentary made in this report are independent of any bias from the vendor community. The survey was taken using a web-based tool by 548 individual members of the AIIM community between January 18, and February 11, 2013. Invitations to take the survey were sent via e-mail to a selection of the 75,000 AIIM community members. Survey demographics can be found in Appendix 1. Graphs throughout the report exclude responses from organizations with less than 10 employees, and suppliers of ECM products or services, taking the number of respondents to 512 © 2013 AIIM - The Global Community of Information Professionals 1 About AIIM AIIM has been an advocate and supporter of information professionals for nearly 70 years. The association mission is to ensure that information professionals understand the current and future challenges of managing information assets in an era of social, mobile, cloud and Big Data. AIIM builds on a strong heritage of research and member I n service. Today, AIIM is a global, non-profit organization that provides independent research, education and d certification programs to information professionals. AIIM represents the entire information management community: Wu s practitioners, technology suppliers, integrators and consultants. t ar y t c About the Author h Doug Miles is head of the AIIM Market Intelligence Division. He has over 25 years’ experience of working with users and vendors across a broad spectrum of IT applications. He was an early pioneer of document management systems for business and engineering applications, and has produced many AIIM survey reports on issues and drivers for Capture, ECM, Records Management, SharePoint, Mobile, Cloud and Social Business. Doug has also worked closely with other enterprise-level IT systems such as ERP, BI and CRM. Doug has an MSc in Communications Engineering and is a member of the IET in the UK. -I rn e cf oo © 2013 rdr AIIM - Find, Control, and Optimize Your Information sm 1100 Wayne Avenue, Suite 1100, Silver Spring, MD 20910 , risa Phone: 301.587.8202 kt si www.aiim.org ao nn d re G teno tiov ne inr thna e litignc ae tio n a g e © 2013 AIIM - The Global Community of Information Professionals 2 Table of Contents About the Research: Cloud, SaaS and Outsourcing: About the Research . . . . . . . . . . . . . . . . . .1 Cloud, SaaS and Outsourcing . . . . . . .21 I n Process Used, Survey Demographics . . . . . . . .1 Outsource . . . . . . . . . . . . . . . . . . . . . . . . . . . . .22 d Wu About AIIM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 s t About the Author . . . . . . . . . . . . . . . . . . . . . . . . .2 Spending Plans: ary Spending Plans . . . . . . . . . . . . . . . . . . . . .23 t c Introduction: h Introduction . . . . . . . . . . . . . . . . . . . . . . . . . .4 Conclusion and Recommendations: Key Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . .4 Conclusion and Recommendations . .24 Recommendations . . . . . . . . . . . . . . . . . . . . . .24 Paper vs. Electronic: References . . . . . . . . . . . . . . . . . . . . . . . . . . . .25 Paper vs. Electronic . . . . . . . . . . . . . . . . . .5 Alignment of Practices . . . . . . . . . . . . . . . . . . . .5 Appendix 1 - Survey Demographics: Survey Demographics . . . . . . . . . . . . . . .26 Risks and Rewards: Survey Background . . . . . . . . . . . . . . . . . . . . . .26 -I rn Risks and Rewards . . . . . . . . . . . . . . . . . . .6 Organizational Size . . . . . . . . . . . . . . . . . . . . . .26 ecf oo Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7 Geography . . . . . . . . . . . . . . . . . . . . . . . . . . . . .26 rdr sm Rewards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7 Industry Sector . . . . . . . . . . . . . . . . . . . . . . . . .27 , r Concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8 Job Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .27 isa kt si ao Government Policies: Appendix 2 - Overall Comments: nn d Government Policies . . . . . . . . . . . . . . . . .9 Appendix 2 - Overall Comments . . . . .28 re G Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . .11 teno Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11 Underwritten in part by: tionve Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12 ASG . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 inr Axceler . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 thna e Content Storage and Retention: HP Autonomy . . . . . . . . . . . . . . . . . . . . . . . . . .30 litignc Content Storage and Retention . . . . . .12 Iron Mountain . . . . . . . . . . . . . . . . . . . . . . . . . . .30 ae Is it Working? . . . . . . . . . . . . . . . . . . . . . . . . . . .13 Nuix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31 tio n Recall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31 a g Automated Classification: RSD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .32 e Automated Classification . . . . . . . . . . . .15 SAP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .32 Is it Working? . . . . . . . . . . . . . . . . . . . . . . . . . . .16 StoredIQ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .33 Emails and Social: About AIIM: Emails and Social . . . . . . . . . . . . . . . . . . .16 About AIIM . . . . . . . . . . . . . . . . . . . . . . . . . .34 Social . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17 E-Discovery: E-Discovery . . . . . . . . . . . . . . . . . . . . . . . . .19 Jurisdictions . . . . . . . . . . . . . . . . . . . . . . . . . . .19 Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . .20 Consequences . . . . . . . . . . . . . . . . . . . . . . . . .20 Deletion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21 © 2013 AIIM - The Global Community of Information Professionals 3 Introduction Once upon a time, records meant paper documents. They lived in file cabinets, and they were managed and maintained by secretaries, librarians and archivists who knew the rules, and applied them diligently. When space for more file cabinets ran out, the records were put in boxes, marked with a destruction date, and shipped out to a I box store (a paper records outsource provider). When the destruction date was reached, the box store would take n d care of destroying it, and recording the fact that it had been done. Wu s Nowadays, records exist in electronic form all over the business, often well beyond the reach of the traditional t ar y custodians. So we now need much wider “Information Governance Policies” to ensure that our corporate t information (and our customers’ information) is secure and is easily located. In particular, businesses are c increasingly faced with the possibility of high profile criminal, commercial and patent cases that hinge on evidence h from electronic documents, from emails, and even from social network comments. So these records need to be “discoverable” and presentable to regulators and lawyers. And as the argument moves on from “how do we keep stuff?” to “how can we defensibly get rid of stuff?”, we need to examine what shape enterprise records management takes and, in the big data age, how do we keep a lid on the escalating costs of content storage? In this survey, we look at the risk profile around electronic records, the keep-all versus delete-all options, the international view of e-discovery, and the implications of social, mobile and cloud on RM policies. We also look at the development of enterprise-wide governance policies, and how they translate into system strategies. -I rn Key Findings e cf oo n Progress toward the “Paperless Office” is slow. For 42% of organizations,the volume of paper records is rdr sm still increasing. , r isa n Effective information governance is crippled by poor training.Only 16% regularly train all staff. 31% do no ksti training at all. ao nn d n Senior management is ignoring the risks. 31% of respondents report that poor electronic records-keeping is re G causing problems with regulators and auditors. 14% are incurring fines or bad publicity. teno tiov n The answer to the data problem is to let the computer do the filing.14% are already doing auto- ne classification of electronic records, 37% are keen to do it. inr thna n wDheesnp irteet egnotoiodn ipneterinotdios nasre, tsheet .delete button isn’t being pressed.Electronic records aren’t being deleted even e litignc ae n IT is losing its ability to transform business. For a third of organizations, 90% of IT spend adds no new value. tio n a n Something has to be done about content accumulation.For 29% the response to the information deluge is g “buy more discs”. e n Emails are acknowledged as records, but the filing systems are chaotic. 73% include email in their retention policies, but most rely on manual methods to file them. n Social content management is not even on the radar.Less than 15% of organizations are even trying to include social postings in their retention schedules. n Cloud is not in everyone’s future.46% of organizations would “definitely not” or “probably not” consider using cloud for managing electronic records. 23% would consider using their existing paper records outsourcer for cloud services. n The content may be electronic but the e-discovery mechanisms are still manual. 53% are still reliant on manual processes for e-discovery searches across file shares, email and physical records. n 45% of organizations plan to increase their records management spend over the next two years. In particular, automated classification is set for strong growth, along with enterprise search, RM modules, E-discovery and email management. © 2013 AIIM - The Global Community of Information Professionals 4 Paper vs. Electronic In theory, the increasing focus on keeping records in electronic form should be resulting in a decrease in the volume of paper records. However, in Figure 1 we see a somewhat chequered picture. Overall, the volume of paper records is increasing in 42% of organizations, and decreasing in 34% - a “negative gap” of 8%. In the largest organizations (5,000+ I employees), the gap closes to 3% whereas in mid-sized and smaller organizations, the gap is 11%. n d By comparison, in our 2011 report1, more organizations were seeing a decrease than an increase – a positive gap of 10%, Wu s which was a big change from 2009 where the negative gap of 34% was much greater than today. We have no firm t ar explanation for this apparent return to growth for paper records. It could simply be that during the downturn of 2009-2011 y t overall transaction volumes decreased. It could be that more vigorous savings were called for on office costs, or that box c store costs were scrutinized more closely, leading to a more general clear out of file boxes - and that now they are creeping h back in. Or it could be that a number of back-file scanning projects have been run down and not re-instated. Figure 1: Is the volume of your paper records: (N=508) 0% 5% 10% 15% 20% 25% 30% 35% 0% 5% 10% 15% 20% 25% 30% 35% Increasing rapidly Increasing rapidly IncreasiInngc rseoamsienwg hsoamt ewhat - reIn 10-500 1e0m-5p0s0 emps cofo 500-5,050000 e-5m,0p0s0 emps rdsrm Stable Stable , r 5,000+ 5e,m00p0s+ emps iskat si ao DecreasDinegc rseoamsienwg hsoamt ewhat ndn re G teno DecreasDinegc rreaapsiidnlgy rapidly tiov ne inr Alignment of Practices thena Given that most businesses are now managing at least some of their records as electronic, it is interesting to compare how litignc ae the traditional records management practices are transferring from the paper world. tio n Figure 2: How well are these aspects of your electronic records-keeping aligned with your paper records-keeping practices? (N=508) a g -80% -6-08%0%-4-06%0%-2-04%0%0-2%0%200%% 402%0%604%0%806%0% 80% e Access control Access control Records declara!on guidance Records declara!on guidance Fileplan/classifica!on/taxonomy Fileplan/classifica!on/taxonomy Reten!on periods Reten!on periods Implementa!on of dele!on/destruc!on Implementa!on of dele!on/destruc!on a#er reten!on period a#er reten!on period Audit of compliance Audit of compliance Service agreements for outsource Service agreements for outsource Legal hold Legal hold Aligned Not aligned We have no policies for this Aligned Not aligned We have no policies for this © 2013 AIIM - The Global Community of Information Professionals 5 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% Electronic docs such as images, word Electronic docs such as images, word processor docs, spreadsheets and PDFs processor docs, spreadsheets and PDFs Emails Emails Applica!on-generated output records such as Applica!on-generated output records such as invoices, statements, delivery notes, etc. invoices, statements, delivery notes, etc. Documents stored in ERP, CRM and project Documents stored in ERP, CRM and project management systems management systems SharePoint content SharePoint content Public website content Public website content Instant messaging Instant messaging Internal social biz applica!ons such as staff Internal social biz applica!ons such as staff blogs, wikis, micro-blogs, etc. blogs, wikis, micro-blogs, etc. Dynamic or personalized content such as Dynamic or personalized content such as webpages, tailored promo!ons, etc. webpages, tailored promo!ons, etc. External social media such as company blogs, External social media such as company blogs, LinkedIn groups, Twi&er, etc. LinkedIn groups, Twi&er, etc. We do not include any form of electronically We do not include any form of electronically stored informa!on stored informa!on 0% 5% 10% 15% 20% 25% 30% 35% Increasing rapidly Increasing somewhat 10-500 emps 500-5,000 emps Stable 5,000+ emps Decreasing somewhat Decreasing rapidly -80% -60% -40% -20% 0% 20% 40% 60% 80% Access control Records declara!on guidance Fileplan/classifica!on/taxonomy Reten!on periods Implementa!on of dele!on/destruc!on a#er reten!on period Audit of compliance Service agreements for outsource These results show that in approximately half of the organizations surveyed there is still considerable inequality between the practices applied to paper records, and those applied to electronic records and, of course, that some organizations have large gaps in their policies for both. Of most interest here is the fact that most organizations do Legal hold have policies on retention periods, and that along with legal hold, these are the most likely to be aligned between electronic and paper. However, when it comes to the implementation of deletion or destruction of records after the retention period, the number of organizatiAolnigs nweidth aligNnomt eanlitg dnreodps byW nee ahralyv hea nlfo, ipndoilcicaietins gfo thr atht diseletion of electronic In records is not taking place as per the policies. d Wu s Of course, although most organizations have retention policies, they are not always applied as widely as they could t be across different types of content. ary t Figure 3: Which of the following types of electronic content do you include in your retention policies and RM processes? c (N=505) h 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% Electronic docs such as images, word processor docs, spreadsheets and PDFs Emails Applica!on-generated output records such as invoices, statements, delivery notes, etc. - rIn e cf Documents stored in ERP, CRM and project oo management systems rdr sm , r SharePoint content isa kt si ao nn Public website content d re G Instant messaging teno tiov ne Internal social biz applica!ons such as staff inr blogs, wikis, micro-blogs, etc. thna e Dynamweicb opra gpeesr,s otanialolirzeedd pcroonmteon!to snusc,h e atcs. litignc ae External social media such as company blogs, tio n LinkedIn groups, Twi&er, etc. a g We do not include any form of electronically e stored informa!on Email was at one time widely considered to be transient or conversational and therefore not recorded, but now is treated (selectively) as a record by 73%. Most organizations record application-generated output, but very few record dynamic or personalized content. In some organizations collaborative SharePoint content is considered transient, but in most it very quickly builds up, and a records and retention policy of some form becomes essential. Instant messaging is also considered transient by most, but can be implicated in breaches of acceptable use and insider malpractice. While retention periods are widely set for both paper and electronic records, they are much less likely to be implemented for electronic records Risks and Rewards For many years the argument has raged as to whether records management and information governance has a “positive benefit” in terms of sharing knowledge and making it more accessible, or whether it is merely a “negative benefit,” avoiding compliance risks and litigation costs. In this survey, rather than pitch these two against each other in the same question, we have split the discussion into risks and rewards. © 2013 AIIM - The Global Community of Information Professionals 6 Risks Before looking in detail at Figure 4, we should perhaps point out that most of these risks apply to most organizations, but respondents were asked to pick the three most significant for their organizations. Figure 4: Which of the following do you consider to be the three biggest risks to your company from a failure of I information governance? (N=500) n d Wu s 0% 10% 20% 30% 40% 50% 60% atr y t Excess li(cid:127)ga(cid:127)on costs or damages resul(cid:127)ng c from poor records keeping h Loss of customer confidence or bad publicity from data loss Loss of intellectual property or company confiden(cid:127)al informa(cid:127)on Inability to respond to requests (Freedom of Informa(cid:127)on) Infringement of industry-specific compliance regula(cid:127)ons -I rn e Audit qualifica(cid:127)ons due to inadequate cf oo records rdr sm Regulator ac(cid:127)on from loss/exposure of , r personally iden(cid:127)fiable informa(cid:127)on isa kt si Poor outcome of customer/supplier disputes ao nn due to gaps in comms trail d re G Criminal prosecu(cid:127)ons feonrs ai(cid:127)llvoew dinagta p teor sboen laollsyt teno tiov ne inr thna e Excess litigation costs are clearly seen as the biggest risk of a failure of information governance, and we will explore litignc this in more detail later. Since information governance 0a%lso in1c0l%ude2s0 p%rote3c0t%ing 4c0o%nfid5e0n%tial a6n0d% cu7s0to%me8r-0re%lated ae data, the bad publicity and loss of customer confidence from a data leak is also of considerable consequence. As we tio n have seen iRne rdecuecnet sctaosreasg es uacnhd ainsf Sraosntyr,u ac tsuerceu criotys tbsreach can damage a carefully created brand identity almost a overnight, and organizations can incur significant fines from data regulators – or in some regions, a criminal g e prosecution. Loss of a company’s own intellectual property can, of course, be hugely damaging, and the inability to respondE txop Floreite adnodm s ohfa Irnef oorumra ktinoonw (FleOdIg) ere rqeuseosutrsc ceasn incur fines from government sector regulators. Faster response to events, accidents, press ac(cid:127)vi(cid:127)es, FOI enquiries, etc. Rewards More personalized and accurate service to For many, many years, the arguments for scanning paper records to reduce physical office costs have been well customers rehearsed. However, as organizations have become deluged with more and more electronic content, the issue of retention and deletion has come to the fore in order to put some restraint on the seemingly exponential growth in disc Be!er customer/supplier rela(cid:127)onships storage. In Figure 5 we can see that this is now considered to be the key benefit of good information governance, pushing the ability to exploit and share knowledge resources into second place. Support for poten(cid:127)al big data ini(cid:127)a(cid:127)ves Be!er reputa(cid:127)on/improved shareholder value Faster and cheaper financial audits Control social media for posi(cid:127)ve benefit 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% © 2013 AIIM - ThGe Gel"obnalg C toom mgruinpitys owf Iintfhor melaeticontr Poronfiecs srioencaolsrds 7 Dealing with emails Compliance monitoring/enforcement of governance policies Including mul(cid:127)ple systems and repositories in the records regime Poor classifica(cid:127)on of content within ECM/SharePoint Defensible disposi(cid:127)on/dele(cid:127)on Dealing with rapidly increasing storage requirements Dealing with content on smartphones and tablets SharePoint volume growth Security against data the#/ unauthorized access No plans, 3% Planned, but Incorporated within our not started, enterprise-wide Informa(cid:127)on 9% Management Strategy, 30% In process, but not there yet, 22% Standalone Informa(cid:127)on Governance policy accross the organiza(cid:127)on, 14% We have a number of Records Management policies but they Each part of the organiza(cid:127)on are not integrated, has its own Informa(cid:127)on 17% Governance policy, 4% 0% 10% 20% 30% 40% 50% 60% Excess li(cid:127)ga(cid:127)on costs or damages resul(cid:127)ng from poor records keeping Loss of customer confidence or bad publicity from data loss Loss of intellectual property or company confiden(cid:127)al informa(cid:127)on Inability to respond to requests (Freedom of Informa(cid:127)on) Infringement of industry-specific compliance regula(cid:127)ons Audit qualifica(cid:127)ons due to inadequate records Regulator ac(cid:127)on from loss/exposure of personally iden(cid:127)fiable informa(cid:127)on Poor outcome of customer/supplier disputes due to gaps in comms trail Criminal prosecu(cid:127)on for allowing personally sensi(cid:127)ve data to be lost Figure 5: Which three of the following do you consider to be the biggest benefits to your company from good information governance? (N=506) 0% 10% 20% 30% 40% 50% 60% 70% 80% I n d Wu Reduce storage and infrastructure costs s t ar y Exploit and share our knowledge resources t c Faster response to events, accidents, press h ac(cid:127)vi(cid:127)es, FOI enquiries, etc. More personalized and accurate service to customers Be!er customer/supplier rela(cid:127)onships Support for poten(cid:127)al big data ini(cid:127)a(cid:127)ves -I Be!er reputa(cid:127)on/improved shareholder rn e value cofo rdr sm Faster and cheaper financial audits , r isa kt Control social media for posi(cid:127)ve benefit s aio nn d re G teno tiov ne Faster and more agile response to a wide range of eve0n%ts su5c%h a1s0 b%ad1 5w%ea2th0e%r, a2c5c%id3e0n%ts, 3p5re%ss4 a0c%tiv4it5ie%s, FOI inr eeWnneqte turhpireireniss es, e-sweoi Gcdaie eac "lbu msantseogids mti,ao ei n rsg ctsroliueprdrmsvi inswcg,e i at mehnl odeemb lseiloeec nt oart,non w,nd iih scri e carmhles cooisot earp d cacsorletniacnure lbacertlinyoe ntfrsiut. e o ff othr efi nreaandcyia al acnceds ust itloity e olercgtaronniziact iroencso,r dwsh eorne amnany the litignanc years of acquisitions and mergersD heaavlien gc rweaittehd e pmoateilnstial disruption of customer records. These organizations are atioe also more likely to look to personalizing their offers, and are at the forefront of big data analytics to forecast trends n and opportuCnoitmiesp lbiaansceed mono nthiteo arignggr/eegnaftoer ocef mtheeinr ts toofred records content. a g governance policies e Including mul(cid:127)ple systems and repositories Concerns in the records regime As the custodianPso oofr ccolarpssoirfiactea (cid:127)inofno romfa ctoionnt,e rnetc owridtsh imnanagers and IT managers are the most likely to know where their organization’s vulnerabilities lie,E aCnMd /thSehsaere aProe ilniktely to be reflected in their concerns and immediate priorities. Defensible disposi(cid:127)on/dele(cid:127)on Dealing with rapidly increasing storage requirements Dealing with content on smartphones and tablets SharePoint volume growth Security against data the#/ unauthorized access No plans, 3% Planned, but Incorporated within our not started, enterprise-wide Informa(cid:127)on 9% Management Strategy, © 2013 AIIM - The Global Community of Information Professionals 8 30% In process, but not there yet, 22% Standalone Informa(cid:127)on Governance policy accross the organiza(cid:127)on, 14% We have a number of Records Management policies but they Each part of the organiza(cid:127)on are not integrated, has its own Informa(cid:127)on 17% Governance policy, 4% 0% 10% 20% 30% 40% 50% 60% Excess li(cid:127)ga(cid:127)on costs or damages resul(cid:127)ng from poor records keeping Loss of customer confidence or bad publicity from data loss Loss of intellectual property or company confiden(cid:127)al informa(cid:127)on Inability to respond to requests (Freedom of Informa(cid:127)on) Infringement of industry-specific compliance regula(cid:127)ons Audit qualifica(cid:127)ons due to inadequate records Regulator ac(cid:127)on from loss/exposure of personally iden(cid:127)fiable informa(cid:127)on Poor outcome of customer/supplier disputes due to gaps in comms trail Criminal prosecu(cid:127)on for allowing personally sensi(cid:127)ve data to be lost 0% 10% 20% 30% 40% 50% 60% 70% 80% Reduce storage and infrastructure costs Exploit and share our knowledge resources Faster response to events, accidents, press ac(cid:127)vi(cid:127)es, FOI enquiries, etc. More personalized and accurate service to customers Be!er customer/supplier rela(cid:127)onships Support for poten(cid:127)al big data ini(cid:127)a(cid:127)ves Be!er reputa(cid:127)on/improved shareholder value Faster and cheaper financial audits Control social media for posi(cid:127)ve benefit Figure 6: Which three of the following are giving you the biggest cause for concern right now? (Max THREE) (N=457) 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% I Ge"ng to grips with electronic records n d Wu s Dealing with emails t ar y Compliance monitoring/enforcement of t c governance policies h Including mul(cid:127)ple systems and repositories in the records regime Poor classifica(cid:127)on of content within ECM/SharePoint Defensible disposi(cid:127)on/dele(cid:127)on Dealing with rapidly increasing storage requirements -I Dealing with content on smartphones and ren cf tablets oo rdr sm SharePoint volume growth , r isa Security against data the#/ unauthorized ksti access ao nn d re G teno tiov Gsuivrpernis teh eth mati sgmetatitncgh tinod gicriaptse dwP ieltahan relnieleercd bt,r eobtnuwitce erenc eolerdNcstor of 3ipgn%liuacrn eress,c hoirgdhsly p, owliitchie esm aanidls tbheoisneg foofr ppaarptiecru rlaerc ocordnsc,e itr nis. Envoen with n in therna policies in place, monitoring and enforcement is clearly of concern for many of oIunrc roersppoornadteendt sw, iethspine coiuarlly across e multiple repositories and othern eont tse9tr%aprrtiseed ,systems. Then comes poor classificaetniotne ropfr cisoen-twenidt ein I nEfCoMrm say(cid:127)sotenms, and litignc particularly SharePoint, and this is leading the move towards automated classificaMtioann aagnedm taegngt iSntgr.a Dteegfeyn,sible ae deletion and dealing with increasing storage requirements come next. 30% tio n Off the radar in Figure 6, and perhaps victims of the “three options” limit, are the implications of company a In process, but g contributions to social sites, and unofficial use of cloud-based sharing sites. Both issues figure strongly in other AIIM e not there yet, surveys, but are secondary for many in the day-to-day fight to stay compliant for core records. 22% Standalone Informa(cid:127)on The biggest risk from poor information governance is considered to be increased litigation costs and damages. Governance policy accross Reduction in storage costs is considered to be the biggest benefit – followed closely by exploitation and sharing of the organiza(cid:127)on, knowledge resources, and faster response to events. 14% We have a number of Records Management policies but they Each part of the organiza(cid:127)on Goveranrea nont icnteegr aPteod,licies has its own Informa(cid:127)on 17% Governance policy, 4% Corporate policies for managing records and protecting information may be included as part of an overall Information Management Strategy, or they may standalone within an Information Governance Policy. Many organizations are working to achieve a uniform policy across the enterprise, but as we will see, this can be something of a struggle, not least because of the different privacy laws and legal mechanisms in different countries. © 2013 AIIM - The Global Community of Information Professionals 9

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Watch. Industry. Information Governance. - records, risks and retention in the litigation age. Send to a friend ▻ aiim.org I 301.587.8202. Underwritten in part by: AIIM Market Intelligence. Delivering the priorities and opinions of AIIM's 75,000 community
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