Posted in Classification, Compliance, Electronic records, Governance, Information Management, Office 365, Products and applications, Records management, Retention and disposal, SharePoint Online

Shifting the paradigm for managing records – from EDRMS to Office 365

Computer systems used to to manage electronic documents and records, commonly known as ‘EDRMS’, have been around for at least 20 years.

Many (but not all) of these systems developed from electronic databases originally used to register and manage only paper records, replacing the old paper registers (hence ‘Registries’).

How does an EDRMS work

A common theme with most EDRM systems is that they describe (via metadata) and provide some kind of visual ‘file’ or ‘folder’ structure for digital objects, almost always stored in a linked network file store.

To store records in this way, EDRM systems required end-users to upload a copy of a digital object (document, email, photograph) to a pre-defined digital container, corresponding to a ‘file’ or ‘folder’. The digital file might have be assigned a range of metadata including the classification (business function and activity) or file plan details, title, business owner or area, and retention information.

Once an object was uploaded, end users were required to add metadata about the object, including the object ‘title’ (if it didn’t copy the original title). Additional metadata fields, for example ‘Document Type’, might also be required.

The system recorded the date and time the object was uploaded and who uploaded it. As noted, the system might copy some of the uploaded object’s metadata, for example the default title, date created and author.

The uploaded document then ‘became’ a record, visible ‘within’ a digital container (‘file’) along with other records.

EDRMModel2

EDRM systems had (at least) three weaknesses:

  • End-users were required to upload the records to the EDRMS, and to one correct container (file/folder)
  • The EDRMS contained a copy of a digital object that almost always remained in the original storage location (email, network file share)
  • The EDRMS tended to be based on records as documents (including emails, and sometimes photos). Newly evolving forms of record such as text messages, social media posts and new digital forms were difficult to upload without costly add-ons that didn’t necessarily capture everything

These weaknesses meant that:

  • End users avoided uploading records because it was extra work (uploading and then adding metadata)
  • The EDRMS contained only a percentage of all potential records stored in any location
  • The original copies of records, remained in email and network file shares

There were exceptions to this situation, but most (and very much in the minority in terms of total volume) involved the requirement to meet compliance obligations to capture certain types of records.

The Office 365 model

Microsoft took a different approach with the approach to records management in Office 365.

Instead of centralising the storage of records in one system or location (with the weaknesses described above), records in the Office 365 environment generally remain in their original location (Exchange Online, SharePoint Online, OneDrive for Business, MS Teams), where they are covered by an overarching records management framework.

O365RMModel
The Office 365 model for records management

What this means is that records can be stored in any of the above locations and managed in those locations through (among other things):

  • User types, licences and roles set in the Office 365 admin portal
  • Retention and other controls set in the Office 365 Security and Compliance admin portal/s (the two were split in early January 2020).

How the paradigm shifted

The paradigm has shifted from (a) an attempt to manage records in a single system where not everything is captured and originals remain in place in email and network file shares, to (b) the distributed management of records where originals remain in place (assuming SharePoint and OneDrive are used instead of network file shares and personal drives, and email remain in Exchange) and records are managed through ‘global’ settings.

The new paradigm does not exclude the ability to store (or aim to store) digital records in a single location – SharePoint Online (including for specific compliance reasons), but it provides the opportunity manage records wherever they are and use a range of additional tools to manage content from creation through to disposal.

Why the new paradigm matters

The new paradigm is likely to be counter-intuitive to many records (and other information) managers. Records management training for many years has been focused on the idea of storing and managing records in a central location with specific controls (classification, metadata and retention).

But the reality is that there are now too many digital records, and too many types of digital records, to ever expect these to be all stored in an EDRMS. And, even if only some are, what about all the others? Has a legal subpoena ever been focused only on records stored in the EDRMS?

Plan to manage records

Many organisations have acquired and are implementing Office 365, sometimes at the expense of the traditional EDRMS. It doesn’t take long for end-users to adopt the new technology because it is so easy to use.

Any suggestion that specific records now need to be copied to the EDRMS seems to be counter-intuitive. And yet, that is how some records managers continue to see Office 365 – as yet another source of records to be uploaded to the EDRMS. It is not a viable plan.

Records managers need to be at the forefront of planning for Office 365, in particular managing content across the four primary workloads. Records managers should be able to provide advice on:

  • The architecture of SharePoint Online
  • Controls around the creation of sites, including naming conventions and the ongoing management of sites
  • The structure of SharePoint Online sites, document libraries and metadata in particular
  • The retention model for Exchange Online, SharePoint Online, OneDrive for Business, MS Teams. This includes understanding existing disaster recovery arrangements and potentially replacing them with retention policies.
  • Disposal actions
  • Other compliance obligations

Plan for change

Moving away from the centralised management of records in an EDRMS to a less visible (for end-users) decentralised model, or even implementing Office 365 without any other previous document and records management system, requires careful change management.

End users (and records managers) used to the idea of uploading records to a central EDRMS may find the new ‘invisible’ and decentralised model of recordkeeping unusually simple (to the point of disbelief).

Consequently, additional re-assurance, training and awareness sessions, may be required to demonstrate and confirm how the records are managed in the new environment. There is potential for some ‘push back’ as, although it requires very little end-user effort, it manages more records than ever before, including in ‘personal’ spaces such as mailboxes and personal drives.

IT will also need to be involved as disaster recovery processes, such as backing up email and network file shares, may no longer be required.

For end users who have never had to use an EDRMS, change management activities might focus more on improving awareness and knowledge about how records will be managed in the future, including in ‘personal’ spaces.

 

Author:

I am an experienced information management professional based in Melbourne, Australia. I have had close to 40 years of practical working knowledge across the full spectrum of information, records and content management issues, and direct and practical experience with contemporary and emerging business and information and enterprise content management systems. My product knowledge includes SharePoint 2010/2013/Online and OneDrive (SharePoint Administrator), Office 365 (including as a Global Administrator), Yammer, Sway, TRIM Context (R6.2 & 7.1), ECM Documentum, Alfresco Share; and other online systems. www.andrewwarland.com.au

4 thoughts on “Shifting the paradigm for managing records – from EDRMS to Office 365

  1. Excellent assessment of different paradigms and approaches to managing information from both the Information Management professional’s perspective and that of the end user.
    I would add that successful management of information is possible with either the traditional EDRMS or the Office 365 approach.
    But success depends on how well an organization designs and adheres to business processes and to what degree information capture and storage is considered as part of those processes.

    1. Thanks Darrell, appreciate the feedback (sorry for the delay in replying). I agree with you that success depends on the overall design and plan – and sticks to it. Many organisations seem to be rolling out M365 (especially MS Teams) without a plan or full understanding of the underlying architecture.

  2. great summation of the new world records mgmt . So in you view does O365 make stand alone products like Documentum now obsolete ?

    1. Thanks Kosta for the feedback. I don’t think other systems are completely obsolete as not all records may be in MIcrosoft 365. However, given the licence costs, it could be hard to justify having a standalone system that keeps copies of what’s in M365. Standalone system vendors seem to be heavily reliant on the ‘compliance’ line in their marketing materials – that is, you have to use our product to be ‘compliant’.

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