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Electronic Records Management

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Electronic Records Management ERM 101 ISO 15489 ISO/TR 15489 -2 Part 1 General specifies the fundamentals of records management and defines the results to be ... – PowerPoint PPT presentation

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Title: Electronic Records Management


1
Electronic Records Management
  • ERM 101

2
Dana D. Simpson, CRM Vice President and
Manager Records and Information Management BBVA
Compass Bank Dana.Simpson_at_BBVACompass.com
3
Todays Presentation
  • Its ERM - 101
  • Open discussion
  • Informal atmosphere
  • All questions are good questions
  • If I dont know the answer I will get you an
    answer

4
General Housekeeping
  • Categorize/Classify yourself
  • Technical
  • Records Managers
  • Legal
  • Non participants

5
Records Management Listserv
  • RECMGMT-L (Records Management and related topics)
  • To subscribe to the RECMGMT listserv
  • Send an e-mail message to listserv_at_lists.ufl.edu
  • In subject line of your message, type Subscribe
  • In the body of the message, type sub RECMGMT-L
    Your Name
  • e.g. sub RECMGMT-L John Smith would subscribe
    someone named John Smith.
  •  DO NOT type in your e-mail address.

6
Electronic Records Management Listserv
  • ERECS-L, (Management and Preservation of
    Electronic Records)
  • To subscribe to the Electronic Records Management
    Listserv
  • send mail to LISTSERV_at_LISTSERV.ALBANY.EDU with
    the command SUBSCRIBE ERECS-L

7
RIM Advice for Success According to Dana
  • A Record is a Record is a Record
  • Good is Good Enough
  • Do your homework. Just because it has feathers
    doesnt mean its a duck
  • Never drink from a fire hose
  • Read! Now read some more
  • Credibility is everything
  • Document, Document, Document
  • Be consistent!

8
Records and Information Management
IT
Records and Information Management
Administration
Security
Compliance
Risk
Legal
Physical Electronic

9
What is Electronic Records Management?
  • Records Management is the systematic process of
    analyzing and controlling data in all formats
    (paper, photographic, electronic)
  • See 1 A Record is a Record is a Record
  • Manage electronic records with or without an EDRM
    system
  • See 2 Good is Good Enough

10
Does ERM include Email? Yes
  • Email creates an electronic document
  • Email is the most difficult data to manage
  • Email is the most prolific type of data
  • Email is the most sought after data in litigation

11
What about Duplicate and Draft Electronic
Documents?
  • Duplicates
  • Replicates the content and functionality of the
    official copy
  • May or may not be in same format or medium as the
    official copy
  • Drafts
  • Preliminary version of a document. May contain
    information that is omitted from or otherwise
    different than information contained in the final
    version
  • When created in the preparation of company
    records, the final version is considered the
    official copy for retention purposes

12
What are the Benefits of ERM?
  • Financial
  • Compliance
  • Risk
  • Operational

13
Rewards
REDUCE RISK
  1. Litigation
  2. Reputation

INCREASE COMPLIANCE
  1. Laws and Regulations
  2. Policies and Procedures

REDUCE OPERATING COST
  1. Records Storage
  2. Records Maintenance
  3. Enterprise contracts and centralized management

INCREASE EFFICIENCIES
  1. Data Discovery
  2. Information Lifecycle
  3. Forms and Reports Management

14
Where to Begin
  • Build a Solid Foundation

15
Foundation With or Without EDRMS
  • Policies and Procedures
  • Define Responsibilities
  • IT, RIM, LOB/User (see example)
  • Define Your Approach
  • Categorization (see example)
  • Metadata
  • RIM Credibility

16
Policies and Procedures
  • Must be written and published
  • Company Ownership
  • Retention of Company Records
  • Duplicate Records and Drafts
  • Destruction of Company Records
  • Access to Company Records
  • Protection of Vital Records
  • Retention of Electronic Messages
  • Media Handling and Disposal Policy
  • See 7 Document, Document, Document

17
Define Responsibilities for Each Policy and
Procedure
  • Information Systems and Technology (IST)
  • Records and Information Management (RIM)
  • Employee/Manager/Line of Business (LOB)
  • See 7 Document, Document, Document

18
Define Your Approach
  • Example Managing Email
  • Do nothing
  • Keep everything forever
  • Big Buckets delete all messages older than 2
    years
  • Use mailbox quotas force users to delete
    regardless of content
  • Declare it a record and manage accordingly
  • See 1 A Record is a Record is a Record

19
Classification/Categorization
  • SAMSales and Marketing
  • ADMAdministration\Facilities
  • Classifying products and standardizing
    descriptors also helps in finding it later
  • Example of a classification system
  • Made up of codes (letters or numbers)
  • UPC Universal Product Code
  • Food, Health, Automotive parts

20
Using Categories/Classification
  • To Dana Simpson
  • From Cindy Trinidad
  • Subject SAM
  • Attachment SWRGiftCards.pdf
  • Dana,
  • Here is the latest product idea for the southwest
    region.
  • With your approval we will begin offering on Oct
    1, 2010.

21
Controlled Vocabulary
  • A restricted list of words
  • Used to categorize or label
  • Ideal for Corporations where lots of people use
    the list (for use in metadata fields like
    subject of an email)
  • Controlled Vocabulary vs Free Tagging
  • See 8 Be consistent
  • Hooray for Consistency!

22
Taxonomy (Type of Controlled Vocabulary)
  • The word actually means The science of
    classifying/categorizing things
  • Hierarchical structure that share similar
    characteristics
  • Industry
  • Financial Services
  • Banking
  • Insurance
  • Wealth Management
  • Health Care
  • Manufacturing

23
Thesauri
  • Type of controlled vocabulary that is very
    structured and provides relationships between
    words
  • Hierarchical (broadens or narrows a term)
  • Associative (related but non-hierarchical)
  • Equivalence (use synonyms and near synonyms)

24
Hierarchical Thesauri
  • Shows how words relate as they broaden or narrow
    (start with a broad class and use narrow term -
    NT or broad term - BT to show relation)
  • Automobiles
  • Cars
  • 2 door
  • Red
  • Trucks

25
Associative Thesauri
  • Related terms - shows relationships across
    hierarchies
  • Category (group, class, type)
  • Class (category, group, rank)
  • Type (category, class, kind)

26
Equivalence Thesauri
  • Synonyms indicating the preferred term
  • Aged person
  • Use elderly person
  • Bovine
  • Use cow
  • Home loan
  • Use mortgage

27
Metadata
  • Legal needs for ediscovery
  • RIM needs for disposition
  • IT needs for archiving
  • Proves authenticity and ownership
  • Provides guidance to consultants and system
    designers
  • Provides a rich description of information (Who
    What When Where Why)
  • Automate as much as possible
  • Publish a controlled vocabulary or thesauri

28
RIM Credibility
  • CredibilityTrustworthiness and Expertise
  • Program Credibility
  • Customized and comprehensive
  • Personal Credibility
  • Know your stuff
  • Know when to bring in experts
  • Never over-promise or over-commit
  • See 1, 2, 3, 4, 5, 6, 7, 8

29
Standards

30
ERMS Standards
  • DOD 5015.2
  • Functional requirements for systems to manage
    electronic records
  • This is the only standard we have
  • Use this standard to find potential vendors then
    do your homework
  • See 3, 5
  • Do your homework. Just because it has feathers
  • Read! Now read some more

31
Data/Content Management
Records Management
  • Storage
  • Versioning
  • Metadata
  • Security
  • Indexing
  • Retrieval
  • Workflow
  • Collaboration
  • Creation
  • Maintenance
  • Use
  • Identifying
  • Categorizing
  • Archiving
  • Preserving
  • Disposition

32
ISO
  • ISOInternational Organization for
    Standardization
  • National Standards Institutes from 163 countries
  • Made up of member bodies (subject)
  • Technical committees are created

33
TR and TS
  • TR Technical Report
  • TS Technical Specifications

34
ISO 15489 ISO/TR 15489 -2
  • Part 1 General specifies the fundamentals of
    records management and defines the results to be
    achieved
  • Part 2 Guidelines Implementation guide to Part
    1. One methodology to accomplish ISO 15489-1
  • See 5 Read. Now read some more!

35
TR48-2004
  • Framework for Integration of Electronic Document
    Management Systems and Electronic Records
    Management Systems
  • EDMS plus ERMS equals EDRMS

36
ISO/TS 23081-1 (Metadata)
  • Part I Principles
  • Information and documentation
  • Records management processes
  • Metadata for records
  • Guide to
  • Understanding metadata
  • Implementing metadata
  • Using metadata
  • All within the framework of ISO 15489

37
Narrow the Target

38
Need to know
  • Determine data type within your organization
  • Structured
  • Unstructured
  • Determine the risk of NOT managing

39
Structured versus Unstructured (type of data)
  • Databases
  • SQL
  • Oracle
  • XML format (spreadsheet)
  • Email
  • Shared Drive

40
Decisions
  • Prioritize by Risk (review data map)
  • Big surprise here - usually turns out to be Email
  • Define your approach
  • To use ERMS or not

41
Data Map of Email
42
General Principles With permission - Slide
created by Jesse Wilkins, Access Sciences
  • Email management is part of time management
  • Email is a medium, not an action
  • Email should not be used for everything
  • Email should be kept as long as needed and no
    longer

43
Who captures the message? With permission - Slide
created by Jesse Wilkins, Access Sciences
  • YOU have to capture an email
  • You receive from outside the organization
  • You send, either internally or to someone outside
    the organization
  • Designate someone to capture messages sent to
    groups/lists

44
Emails that are not captured With permission
Slide created by Jesse Wilkins, Access Sciences
  • Transitory messages that are not timely
  • Personal messages unrelated to business
  • Me-too messages
  • Messages already captured by someone else

45
Non ERMS Repository
  • Mailbox
  • Userhome or shared drive
  • File drawer
  • Trash

46
ERMS Repository
  • User categorizes mail
  • If its a record - Mail moves to content
    repository
  • Mail is kept according to retention schedule
  • If its not a record - Mail remains on server
  • Mail is managed according to server rules
  • Legal can perform ediscovery
  • Place records on hold
  • RIM can run reports and assist with managing

47
According to AIIM - Association for Information
and Image Management
  • removing emails from the server and saving
    them to a repository isnt enough. Email must be
    classified, stored, and destroyed consistent with
    business standards-just as any other document or
    record.

48
Foundation With or Without EDRMS
  • Policies and Procedures
  • Define Responsibilities
  • Define Your Approach
  • Categorization
  • Metadata
  • RIM Credibility
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