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An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now, and how ERM might be done in the future Jon Garde, JournalIT jon.garde@journalit.co.uk

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Page 1: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

An introduction to electronic

records management

What it is, why it is important, what are the

main issues, how ERM is done now, and

how ERM might be done in the future

Jon Garde, JournalIT

[email protected]

Page 2: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

William Shakespeare

Page 3: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

1,268 biographies on Amazon

Page 4: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

William Shakespeare

• Where he was born

• Who he married

• His children

• Where he worked

• Legal matters

• Where he bought land

• When he died

• What was in his will

AND

• His plays, sonnets, etc.

Page 5: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

~100 documents

• Baptismal records

• Title deeds

• Tax certificates

• Marriage bonds

• Writs of attachment

• Court records

• Will

records records

Page 6: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

ISO 15489

Record: Information created,

received, and maintained as

evidence and information by

an organisation or person in

pursuance of legal

obligations or in the

transaction of business

evidence

Page 7: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

ISO 15489

Characteristics of a record:

Authenticity

Reliability

Integrity

Useability

Page 8: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Electronic Records

Page 9: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Electronic Records

Page 10: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

ISO 15489

Record: Information created,

received, and maintained as

evidence and information by

an organisation or person in

pursuance of legal

obligations or in the

transaction of business

evidence

Page 11: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Electronic Records

Page 12: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

But in the future…

• How will people find it?

• How will they know who wrote it?

• How will they know that it hasn’t been

modified?

• How will they know which version of the

document is the actual will?

• Will they be able to read it?

Page 13: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

But in the future…

• How will people find it?

• How will they know who wrote it?

• How will they know that it hasn’t been

modified?

• How will they know which version of the

document is the actual will?

• Will they be able to read it?

Authenticity

Reliability

Integrity

Useability

Page 14: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Authenticity

Reliability

Integrity

Useability

Page 15: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

PLUS…

• How will it be secured if it contains sensitive information?

• If it contains personal data how will people’s identities be protected?

• If it has a set retention period how will this be monitored?

• How will it be securely disposed of afterwards?

• How will it be ensured that it is not prematurely destroyed?

• If it needs to be preserved for a long term how will it be transferred to a national archive?

Page 16: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

ERMS An Electronic Records Management System is a software tool that assists users to manage records

• Capture records

• And their metadata

• Classify records

• Find and retrieve records

• Control access to records

• Retention and disposal

• Transfer records to another system

Page 17: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

ERMS

An Electronic Records Management System

may also do

• Document management (EDRMS)

• Content management (CMS)

• Images, audio and video (DAM)

• Case management (CM)

• Workflow (BPM)

• Scanning (imaging)

• Some or all of the above (ECM)

Page 18: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

ERMS

An Electronic Records Management System

may work with

• Office documents (WP, spreadsheet, etc.)

• eMail (and attachments)

• Web pages

• Media files

• PDF (PDF/A)

May be general purpose, or

May be highly specialised

Page 19: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

ERMS Standards • 1997, 2002, 2007 US DoD 5015.2

• 2001 ISO 15489 Records management

• 2001 MoReq Model requirements

• 2006 ISO 23081 Metadata for records

• 2008 MoReq2 Model requirements

• 2008 ICA Principles and Functional Requirements

• 2010 ISO 30300 (series) Management system for records

• 2010 MoReq2010 Model requirements

• Plus many national standards

Page 20: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Role of National Archives • Membership of organisations like: EAG, DLM

Forum and ICA

Page 21: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Role of National Archives • Membership of organisations like: EAG, DLM

Forum and ICA

• Creation of national standards for ERMS

Page 22: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Role of National Archives • Membership of organisations like: EAG, DLM

Forum and ICA

• Creation of national standards for ERMS

• Testing and certification against the national standard

Page 23: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Role of National Archives • Membership of organisations like: EAG, DLM

Forum and ICA

• Creation of national standards for ERMS

• Testing and certification against the national standard

• Participation in international standards development

Page 24: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Role of National Archives • Membership of organisations like: EAG, DLM

Forum and ICA

• Creation of national standards for ERMS

• Testing and certification against the national standard

• Participation in international standards development

• Promotion of best practice to the rest of government

Page 25: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Role of National Archives • Membership of organisations like: EAG, DLM

Forum and ICA

• Creation of national standards for ERMS

• Testing and certification against the national standard

• Participation in international standards development

• Promotion of best practice to the rest of government

• Regulation by government for adoption of ERMS across government departments

Page 26: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Future trends

Page 27: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Records management

as risk management

Page 28: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Managing records in their native environments

Page 29: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Interoperability

Page 30: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

The MoReq Capsule

Capture

Import Export

Destroy

MoReq2010 ERMS

Page 31: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

The MoReq Capsule

Capture

Import Export

Destroy

MoReq2010 ERMS

Page 32: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Interconnected

MoReq2010 ERMS

Import

Capture

Destroy

Export

MoReq2010 ERMS

Import

Capture

Destroy

Export

MoReq2010 ERMS

Import

Capture

Destroy

Export

MoReq2010 ERMS

Import

Capture

Destroy

Export

Page 33: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Interconnected

MoReq2010 ERMS

Import

Capture

Destroy

Export

MoReq2010 ERMS

Import

Capture

Destroy

Export

MoReq2010 ERMS

Import

Capture

Destroy

Export

MoReq2010 ERMS

Import

Capture

Destroy

Export

Interoperability Interoperability

Page 34: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

What is the impact on suppliers?

Page 35: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Long term preservation

Line-of-business

MoReq2010 ERMS

Capture

Destroy

Departmental

MoReq2010 ERMS

Capture

Destroy

Corporate

MoReq2010 ERMS

Capture

Destroy

Archive

MoReq2010 ERMS

Capture

Destroy

∞

A new type of record lifecycle?

Page 36: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Freedom of Information

and Open Government

Page 37: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Freedom of Information

and Open Government

Page 38: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Personal Data

Protection

Page 39: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

Personal Data

Protection

Page 40: An introduction to electronic records management · An introduction to electronic records management What it is, why it is important, what are the main issues, how ERM is done now,

QUESTIONS?


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Functional requirements for electronic records management ... · PDF fileFunctional Requirements for Electronic Records ... requirements for electronic records management systems,

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