The practice of Records Management (RM) has undergone a significant evolution over the last decade.  The traditional image of a dust-covered clerk toiling in basement storage has been supplanted by that of a technology-savvy information manager responsible for fulfilling a firm’s compliance and knowledge management requirements.  Industry organizations such as ARMA (www.arma.org) and AIIM (www.aiim.org) have played a tremendous role in pushing the discipline of records management into the 21st century.  The technologies used to manage a firm’s records have also advanced.  Electronic Records Management (ERM) systems have transitioned from simple databases tracking the location of client folders and boxes, to comprehensive, integrated tools that manage the status, availability and scheduled lifecycle of matter-related data in both physical and electronic forms.  Often shaped by national and international functional standards, ERM systems continue to evolve in order to remain on the cutting edge.  Firms must understand the implication of introducing technologies that will inevitably become a new source of client and corporate records.

Software vendors in the document and content management space have recognized that records management technology must serve as the cornerstone to an organization’s overall information management strategy.  In recent years, the industry has seen a spate of mergers and acquisitions, bringing records management niche players into the mainstream Enterprise Content Management (ECM) technology sector.  The ability to easily capture and categorize work-in-progress documents and seamlessly declare them as records into a searchable, secure repository is a best practice embraced by firms of all sizes, across practice areas, worldwide.  ERM has moved beyond the file room and onto the knowledge-worker’s desktop.  Providing a single point of access into a matter-centric view of relevant records, ERM allows attorneys and their support staff to bring critical client data into a single virtual container regardless of the item location or format.

This new generation of ERM technology was designed to capture the electronic record — retaining the content, context and originating metadata often lost when the “print-and-file” method of managing electronic data is used.  Many firms today still employ this approach to some extent, but they risk losing critical contextual information, particularly with e-mail.  The ability to capture e-mail records seamlessly from the e-mail user interface is the key to developing new and up-to-date best practices for the management of records in forms other than traditional paper.  Such ERM technologies need to offer integration points into mainstream technologies such as Document Management systems.  Once again, this offers the ability to capture the complete audit trail and revision cycle of a key document from creation to distribution and from record declaration to ultimate disposition.

How do we define electronic records?  While the nuances may vary from industry to industry and from jurisdiction to jurisdiction, most formal definitions remain close to the spirit of what we see outlined by  the US National Archives and Records Administration (NARA):

“Records include all books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received … in connection with the transaction of public business.”1

It is essential that firms continually evaluate the sources of corporate and client records as new technologies and communication methods are introduced.  The proliferation of e-mail-enabled devices facilitates communication around-the-clock from a wide range of remote locations. 

Wireless cards in laptops, BlackBerry devices, smartphones and other PDAs:  attorneys and other busy professionals are typically early adopters of such new connectivity tools in order to maximize their billable time.  The explosion of e-mail-capable devices ensures that more and more client communication will be conducted via this platform.  The capture of these messages as records related to specific matters, often billable, is essential to the firm’s resource and information management best practices.

Aside from capture, busy professionals will inevitably demand access to key records from the corporate repository via these portable devices.  Notifications of changed agendas, ability to access e-mail messages from meeting rooms across the country, download of updated best practices documents while commuting: electronic records, once captured, need to be viewed and used remotely to best leverage PDA capabilities.

New communication platforms such as instant messaging have also begun to make inroads in law firms.  With IM evolving rapidly into a corporate facility for one-on-one or multi-person chat discussions, firms need to consider whether these conversations can constitute records.  Are decisions being made?  Is advice being offered?  Are accounts being reviewed?  The definition of a record in the electronic age must consider the content and context — not just the container in which the information is presented.  ERM tools must be able to capture records created in these new, less traditional forms.  A fundamental concern of the Records Manager is the reduction of risk to the firm: a structured approach to the management of all incoming and outgoing electronic client communication is critical to fulfilling this mandate.

Unlike most other technology products, both pure ERM and ERM-enabled content and document management vendors have clearly defined industry standards and best practices guiding their functionality.  While generally driven by government and financial industries, law firms can often benefit from the requirements demanded by these tightly regulated environments for their own client record control and disposition needs.

Among the more widely known ERM standards is the United States DoD 5015.2 certification2.  First published in 1997 as a way to help US federal government agencies select ERM tools to best fit the rigorous needs of the public sector, this standard has emerged as the de facto benchmark for ERM products particularly in North America.  The standard outlines specific requirements for the capture of content and metadata for paper, electronic and e-mail records, specifies security features, and mandates accepted techniques for the destruction of electronic records.

Organizations across jurisdictions and industries can also look to an International Standards Organization (ISO) publication for best practices in records management.  Published in 2001, ISO 154893 has been endorsed by ARMA as a guideline for firms wanting to implement a solid records management program as part of a comprehensive information management initiative.

Industry associations such as AIIM have also begun to look more closely at ERM technologies and practices as the growing compliance culture affects industries across the board.  In May 2001, AIIM established a standards committee tasked with looking at the various models and high-level requirements for an integrated approach to ERM and Electronic Document Management systems (EDM).  Drawing upon expertise from private sector, government bodies and software vendors, this committee is currently completing a report intended to serve as a valuable discussion piece for organizations looking to deploy an integrated approach to information management.  At the core of the report’s findings is that metadata ultimately is the core component by which organizations capture, search, retrieve, manage and dispose of information within their control.  For a typical law firm, this is the client and matter number.  Metadata serves as the common thread by which corporate information sources can be consolidated and presented to the attorney in a simple, meaningful user interface.

Next-generation ERM systems do apply a metadata-centric approach to the management and disposition of records.  Format is less relevant to the attorney than the client/matter number or case status.  Consistent use of metadata to categorize and manage information allows the technically literate records professional to search, sort, move and export records related to a specific client, case, matter, attorney or practice area.  This metadata-centric approach also allows IT professionals to easily develop portal applications, workflows, search and categorization tools.  This allows the proactive retrieval of relevant client/matter data to the professionals who need access it from a range of connectivity devices whether in or outside of the office.

Records Management technologies are evolving rapidly as firms adopt new forms of communication and create client and corporate records with new toolsets.  Digital photographs, voice messages, instant messages, CAD and GIS data have the potential to fall within the domain of a firm’s records management strategy.  Both IT and Records staff need to have an evergreen approach to information management strategies and understand the potential for new sources of records as new technologies and communication platforms are introduced to attorneys and their support staff.  ERM has become part of core business practices in public sector and regulated industries.  Law firms are now moving toward a more integrated and matter-centric approach to client records.  The extension of Records Management best practices to electronic client communication is essential for firms wanting to develop a comprehensive information management infrastructure.

1.
www.archives.gov/records_management/records_ management_basics/federal_government.html

2. 
http://jitc.fhu.disa.mil/recmgt/standards.htm

3.   
www.iso.org. ISO 15489-1:2001 Information and documentation —- Records management — Part 1: General, and ISO/TR 15489-2:2001 Information and documentation — Records Management — Part 2: Guidelines.

About our author

Cheryl McKinnon is Product Manager, Government Solutions, with Hummingbird Ltd., responsible for ensuring Hummingbird products comply with current and emerging government standards, guidelines and legislation covering electronic evidence, records management and privacy/security issues.  Contact her at 613.238.1761 or cheryl.mckinnon@hummingbird.com.