Records Management, Enterprise Search and KM

The Bundle that Optimizes Discovery and Supports Profitability

Most organizations have embraced, or are in the process of embracing, the need for some form of suitable, high-quality records management (RM) solution. The US government’s recently passed Federal Rules of Civil Procedure has made the need for RM policies even more urgent. To support these types of comprehensive policies, organizations are coming to realize that any effective RM solution they implement must be multifaceted and have a fairly substantial level of search and e-discovery capabilities.

In fact, integrating a full-blown enterprise search framework into a RM solution carries a great deal of potential for better overall knowledge management. This kind of highly efficient, integrative RM approach can lead to enhanced competitiveness, more agility to meet specific customer needs, minimized legal risks and better positioning for higher profits.

The de facto standards for structuring such RM environments are heavily influenced—depending on regional and organizational contexts—by recognized frameworks like the US Department of Defense (DoD) 5015.2 standard, the UK’s National Archives (TNA) standard for record repositories, ISO 15489, and the European Commissions’ electronic RM standard (MoReq2). However, the requirements outlined in these frameworks are very broad, making full implementation too complicated for many small organizations with basic RM requirements or organizations not legally required to adhere to specific RM standards.

Therefore, what these organizations need is a realistic, workable process to evaluate and implement an appropriate RM solution. Any RM solution in this context must adhere to three basic principles, all of which strongly benefit from the presence of search and e-discovery capabilities:

• Ensures the flexibility to define records in terms of their actual usage in the organization;
• Supports the management of records according to how they are currently used (a file plan); and
• Enables accurate and secure final dispositions of records, based on pertinent rules and regulations.

Ensuring a Flexible Definition Of Records

In general, as the size and complexity of an organization grows, so does the complexity of its record series and subsequent file plan. Regardless of the level of required complexity, every organization must have the flexibility to properly define its records. The tendency among some organizations is to define a record based on format (e.g. PDF file) or document type (e.g. email message), approaches that diminish the ability to automate the retention schedule within each of the record series. As an alternative, definitions should be based upon a record’s actual content and usage within the organization’s overall business plan and structure, as well as any relevant legal obligations regarding retention, privacy and disclosure.

An organization can define records as project-based collections of information if all records within that collection pertain exclusively to a particular project and all records have the exact same lifespan (due to legal obligations, for example). A more efficient approach, however, would be to create a multi-tiered file plan for project records. In this instance, records are defined at a high level as belonging to a particular project but are then subdivided into "content" categories as the file plan is created. This structure allows the automation of the retention schedule
and a much more consistent and efficient overall framework.

Supporting a Workable File Plan

Building out from the structure explained above, any organization serious about integrating a suitable RM solution into its operations must make sure that a file plan contains the following procedural components:

• File recording;
• Workable file structures;
• Classification and metadata;
• Evaluation/prioritization;
• Retention policies;
• Legal obligations;
• Execution; and
• Verification.

Having a solid file plan in place is critical to being able to organize and enhance the efficiency of back-office operations. However, a suitable file plan does not need to match the complexity of DoD 5015.2, where plans are so detailed and extensive they may take months to complete. A simple file plan can just mean that your basic corporate repositories are documented, the physical or electronic location(s) are known and for each repository a responsible employee executes a retention schedule on a regular basis, which is enforced by an appointed officer. Retention can be the final disposition of a number of binders, a directory or a repository in a proprietary application.