Digital Landfill

Users DO believe that compliance concerns related to information management are here to stay and that they are not just a passing fad. 

According to a survey of 700+ end users by AIIM (www.aiim.org ), Records Managers have an important role to play in determining compliance strategies for organizations, but they are not the MOST important department in reaching a final decision. [Note: The full survey, Compliance: It's Real, It's Relevant, and It's More Than Just Records, will be released on Tuesday, August 15.]

In response to the question, "When compliance policies, procedures, and investments relative to information management are discussed, which departments are generally involved?" the most likely participants in discussions are IT (81.6%), Legal (64.4%) and Records Management (56.7%).

Regardless of implementation status, IT is always at the table. The likelihood of a broader participation (bringing in legal and records management staff and dedicating staff directly to compliance) increases as the depth of commitment to a compliance solution grows.

When it comes to the question of who has the MOST influence in driving compliance decisions, the top decision makers are executive staff (25.1%), Legal (22.4%), and IT (17.7%). Records managers across the implementation continuum play a supporting, not a lead role. Those categorizing themselves as records and document professionals represented 53% of those responding to the survey.

As organization sophistication with compliance grows, a key transformation takes place within organizations. The likelihood of a specific group or department dedicated to compliance grows, as does the likelihood that this group will take the leadership in driving decisions. In addition, as the influence of this dedicated group grows, the influence of IT declines. Across the continuum, organizations realize that Executive Staff play a key role in driving compliance decisions-likely because many organizations have realized that the Executive Staff is ultimately held accountable for these decisions.

The full survey, Compliance: It's Real, It's Relevant, and It's More Than Just Records, will be released on Tuesday, August 15. For more information, contact Beth Mayhew at .

There are strong indicators that end users are beginning to realize they have a compliance problem.  For example:

• 63.5% “strongly” or “somewhat” disagree with the statement, “There is a low probability that content on an employee’s hard drive could put my organization at risk.”
  • 57.9% of UK users; 68.6% of US users.
• 63.5% “strongly” or “somewhat” disagree with the statement, “Content created by employees who leave our organization is actively reviewed and archived appropriately.”
  • 70.5% of UK users; 68.3% of US users.
• 44.4% “strongly” or “somewhat” disagree with the statement, “Employees understand how to access the most current version of policies, procedures, and other critical corporate information.”
  • 47.0% of UK users; 40.4% of US users.

In the AIIM 2006 compliance survey, end users were asked to agree or disagree with the following statement: "There is a low probability that content on an employee's hard drive could put my organization at risk." Here are the responses...

32.4% = "strongly disagree"

31.1% = "somewhat disagree"

26.6% = "somewhat agree"

9.9% = "strongly agree"

One of the most neglected information management challenges in organizations relates to the files of employees who leave the organization.

According to AIIM's soon to be released compliance survey, there are huge policy and procedure gaps in organizations in the handling of this information. A sample of 700 end users was asked whether they AGREE or DISAGREE with the following statement: "Content created by employees who leave our organization is actively reviewed and archived appropriately."

41.3% "strongly disagree" with this statement 28.3% "somewhat disagree"

Only 6.7% "strongly agree" that "Content created by employees who leave our organization is actively reviewed and archived appropriately."

Clearly a great deal of work remains to be done in this key retention management area.

(Click on chart to enlarge!)

Most organizations face huge problems with regards to RECORDS management.  However, the problems are actually much bigger and get to the heart of how INFORMATION is managed in the organization.  After all, not everything is a record.  A key concern also needs to simply be managing what needs to be retained -- and for how long -- to run the business.  In other words, RETENTION management.

According to an AIIM compliance survey that will be released the end of July, end users are clearly struggling with the mass of information in their organizations.  700+ end users were asked whether they agreed or disagreed with the following statement:  "We have clear plans and procedures in our organization related to getting rid of electronic information that is no longer needed to: a) run the business; or b) meet legal or regulatory requirements."  The results?  34% "strongly disagree," joined by 30% who "somewhat disagree."  Less than 7% completely agreed with the statement.

The takeaway?  What you choose to get rid of is just as important as what you choose to keep.

(Note:  click on chart to enlarge)...According to an upcoming AIIM Industry Watch Survey (for release end of July), suppliers of technology solutions in the compliance area should work hard to position their solution not only as "technology" per se, but also as helping in solving a key cost center -- documenting policies and procedures.

In answer to the question -- "With respect to meeting compliance requirements, where is your SINGLE greatest investment?" -- end users highlight the "softer" side of compliance (at least relative to IT investment.  #1 answer?  "Documenting policies and procedures" at 39%.  #2 answer?  "Training employees" at 25%.  "Purchasing technology" comes in third at 22%.

Smart solution providers will make sure they explain the impact their solution will have on these 2 points of process pain -- documentation and training...

According to a soon to be released AIIM survey of compliance practices at over 700 end user organizations, many end users still view the term compliance very narrowly and focused on government regulation.

For those in the "document business," Sarbanes-Oxley has been perhaps one of the biggest aids in helping educate senior executives about the importance of setting up systems to manage electronic documents and records.  However, there is a down side to this in that end users have yet to grasp that "compliance" has many implications beyond Sarbanes-Oxley for their organizations.  Compliance of information management systems with government regulation is certainly important.  But so too is compliance with industry standards.  And compliance with legal reguirements.  And compliance with process requirements.  And so on.

AIIM asked 700+ end users (primarily in the US, Canada, UK, and Ireland) the following question..."When the term 'compliance' is used in your organization with regards to information management, to what kind of information does it refer..."  The answers are revealing in terms of the narrowness of user interpretations of the term "compliance."