The Bits and Bytes to Record Destruction

On the surface, it would seem disposing of electronic records should be easier than those on paper. While hitting the “delete” key may be straightforward, unfortunately for those seeking to permanently destroy a record, it is not that simple. This challenge is compounded where optical platters are involved. The permanancy of optical is also what makes destruction so difficult. While re-writeable platters exist, most legacy systems employ permanent write-once platters. Further, for legal purposes it is common for write-once platters to be the storage medium of choice . But when the document retention policy calls for destruction of a record stored on optical, the "delete" key is useless. The issue is compounded when the dates of the documents to be destroyed are significantly different, while residing on the same platter.

This is a common challenge expressed by CIOs and CFOs. Unfortunately there are no easy solutions to this, but there are options. It is possible to delete the pointers to these records that make retrieval possible. However this does not destroy the record. Another option is to "pool" records into "storage pools." These group documents based on pre-determined criteria, such as those outlined by the retention policy. Unfortunately, most legacy deployments do not have this capability. The best option for many is to first migrate those documents that are not to be destroyed, onto magnetic storage. This is especially helpful as vendors like HP are sunsetting support for optical jukeboxes. Once the records designated for continued retention are copied to magnetic, the appropriate optical platters may be physically destroyed. This guarantees that the record is permanently eliminated.

Remember that regardless of your corporate policy, consistency and compliance with the law are imperative.

The Trouble With Those Old Documents

Few realize how seemingly innocuous documents can get an organization into trouble. Recent history is littered with companies that fell victim to their own best intentions. Boeing Corporation back in 1997, spent millions restoring 14,000 e-mail back-up tapes related to different e-mail systems, for a class action lawsuit. The project was so complex that they chose to just settle for over $90m. More recently, Arthur Andersen in the Enron fiasco told employees to destroy records in accordance with the retention policy, but failed to provide important guidelines and did not invoke the policy consistently. As a result, they were convicted of obstruction of justice.

It is now years later since these high-profile examples, yet when I speak with my customers, I still find that document retention perplexes even the most diligent organizations. I suppose I should not be too critical since federal and state laws are often ambiguous, written retention policies are not easily understood, training can be costly, and enforcement is very difficult. However, this is an important issue across all levels. While there are a myriad of consultancies primed to help even the most challenged company, most solutions involve:

• A clearly written policy (that obeys all applicable laws), regularly updated, consistently employed, signed and committed to by those responsible for enforcement and execution (usually all employees). This must include clear retention periods along with the mechanics of retention. It is also critical to outline the circumstances when the policy should be suspended (e.g., pending lawsuit).
• A clear understanding for how all records (paper and electronic) are to be destroyed and who/what is responsible for its execution
• Cataloging and identifying records for easy retrieval
• Enterprise Software to implement, automate, enforce, and track compliance with the policy

Ironically, destruction can be the most important component to document retention. The courts have recognized that organizations cannot and should not keep everything forever, but they are sensitive to selective enforcement, especially in sensitive situations where there is the appearance of obstruction of justice. Furthermore, with a pending lawsuit, all available documents are subject to subpoena, regardless of whether they should have been destroyed. Destruction of electronic records, however, can be particularly challenging. Next, I'll explore approaches to destruction of these electronic records.