I believe that we may be cutting this issue overly fine. However, I'm
not certain we are all talking the same language.

I don't believe that records management should be involved in managing
disaster recovery backups on a day to day basis unless the records
management department has an offsite records center (in-house) that can
properly store and rotate the backup media. If the offsite facility is
outsourced, let the outsourcer come to the tape library or data center
to pick up the tapes.

Policy is important here. The policy on backups should define a backup
as something like: "A backup is a copy of the official record that is
being maintained for a relatively brief period of time, the sole
purpose of which is to provide the ability to recover computer systems
that have been damaged, destroyed, or are otherwise unavailable for
production service." In some cases, that also means that the backup
tapes will not be used to restore files that have been deleted
inadvertently by a ham-fisted senior executive. In other cases, that's
the primary reason they exist. Either way, the policy needs to be
absolutely clear.

Are backups records? I would say that backup tapes may contain copies
of the official record and that they can be used as evidence in
litigation, if required. There is a difference.

Should backups appear on a retention schedule? Perhaps. I feel that
since they are not the official record, per se, they don't need to be
there. But there should be a very clear policy that governs their
retention and rotation practices, as well as their use. And that policy
should be validated from time to time.

I am given to some caution because "backup" appearing on a retention
schedule is very much akin to "email" appearing on a retention
schedule. It is very much a medium of storage. And as our mantra here
goes, "Content determines retention."

Hugh argued earlier that if some knucklehead mixed record series in a
box, we'd get involved. Of course. Because those are likely the
official record. But let's say, for a minute, that some company decided
to "protect" its records by making two copies of every document
printed. One copy would be given to the person doing the printing. That
copy would be properly filed away as the official record. The other
copy would be put into a box in sequential order. And, for the sake of
this argument, let's say that the original records were purged on a
very regular basis so that only active documents were on the shelf for
more than a month. Wouldn't you then purge the sequential copy every
month? (The analogy isn't perfect, but I hope you see where I'm going.)
Would this be a records management function? After all, those copies
are just there as backups. Notwithstanding an absolute need for
treatment as a vital record, you'd toss the sequential files just as
soon as you could because they are duplicates of the official copy.
That's what a backup tape does.

Now, should the records manager be blissfully unaware of what the IT
department is doing? Of course not. IT departments sometimes confuse
backups and archives. And a lot of companies create "backups" for the
ham-fisted executives and retain those backups indefinitely, "just in
case" (just in case the CEO deletes a file and wants to beat up the CIO
for not keeping a copy of everything forever). Archives we care about
and should set retentions for. If the IT department decides to bundle
up the archived tapes and ship them off to a barn in the back of a
pickup truck, should we act on that? Perhaps.  It's dumb and it is
risky and it likely puts the company's ability to maintain records at
risk. On the other hand, if the IT department does the same thing with
backup tapes, should we care? Perhaps not, other than as a stockholder
or employee who might be concerned about security as well as the
ability of the company to recover from a disaster.

There are things that we need to know about. There are things that we
need to influence. And there are things that we are accountable for. I
think that some records managers step outside their bounds because that
thing over there is "cooler" or "higher visibility" or preceived as
"more important". Don't fall into that trap. Focus on records. Focus on
retention. Focus on the best ways to efficiently retain and deliver
needed records to end users. Look for ways to ensure that records are
not retained beyond their retention period, regardless of form. Be
aware of information security, privacy protection, disaster recovery,
etc. Certainly be conversant with the issues there and work to ensure
that your scope of responsibility is protected. But, as my mother would
say, "Stick to your own knitting."


Patrick Cunningham, CRM
[log in to unmask]

"Those who would give up essential liberty to purchase a little temporary safety deserve neither liberty nor safety."
Benjamin Franklin, Historical Review of Pennsylvania, 1759

List archives at http://lists.ufl.edu/archives/recmgmt-l.html
Contact [log in to unmask] for assistance
To unsubscribe from this list, click the below link. If not already present, place UNSUBSCRIBE RECMGMT-L or UNSUB RECMGMT-L in the body of the message.
mailto:[log in to unmask]