electronic records management erm 101. dana d. simpson, crm vice president and manager records and...
TRANSCRIPT
Electronic Records Management
ERM 101
Dana D. Simpson, CRMVice President and ManagerRecords and Information ManagementBBVA Compass [email protected]
Today’s Presentation
It’s ERM - 101 Open discussion Informal atmosphere All questions are good questions If I don’t know the answer I will get you an
answer
General Housekeeping
Categorize/Classify yourself– Technical – Records Managers– Legal– Non participants
Records Management Listserv
RECMGMT-L (Records Management and related topics)
To subscribe to the RECMGMT listserv:– Send an e-mail message to: [email protected]– 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.
Electronic Records Management Listserv
ERECS-L, (Management and Preservation of Electronic Records)
To subscribe to the Electronic Records Management Listserv:– send mail to
[email protected] with the command: SUBSCRIBE ERECS-L
RIM Advice for Success…According to Dana
1. A Record is a Record is a Record
2. Good is Good Enough
3. Do your homework. Just because it has feathers doesn’t mean it’s a duck
4. Never drink from a fire hose
5. Read! Now read some more
6. Credibility is everything
7. Document, Document, Document
8. Be consistent!
Records and Information Management
Administration
Legal
Security
Records and Information Management
IT
ComplianceRisk
Physical Electronic
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
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
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
What are the Benefits of ERM?
Financial Compliance Risk Operational
Rewards
1. Litigation
2. Reputation1. Laws and Regulations
2. Policies and Procedures
INCREASE COMPLIANCE
REDUCE RISK
INCREASE EFFICIENCIES1. Data Discovery
2. Information Lifecycle
3. Forms and Reports Management
REDUCE OPERATING COST1. Records Storage
2. Records Maintenance
3. Enterprise contracts and centralized management
Build a Solid Foundation
Where to Begin
FoundationWith or Without EDRMS
Policies and Procedures Define Responsibilities
– IT, RIM, LOB/User (see example)
Define Your Approach Categorization (see example) Metadata RIM Credibility
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
Define Responsibilities for Each Policy and Procedure
Information Systems and Technology (IS&T) Records and Information Management (RIM) Employee/Manager/Line of Business (LOB)
See #7 Document, Document, Document
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
Classification/Categorization
SAM=Sales and Marketing
ADM=Administration\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
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.
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!
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
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)
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
Associative Thesauri
Related terms - shows relationships across hierarchies– Category (group, class, type)– Class (category, group, rank)– Type (category, class, kind)
Equivalence Thesauri
Synonyms indicating the preferred term– Aged person
Use: elderly person
– Bovine Use: cow
– Home loan Use: mortgage
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
RIM Credibility
Credibility=Trustworthiness 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
Standards
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
Data/Content Management
Storage Versioning Metadata Security Indexing Retrieval Workflow Collaboration
Creation Maintenance Use Identifying Categorizing Archiving Preserving Disposition
Records Management
ISO
ISO=International Organization for Standardization – National Standards Institutes from 163 countries – Made up of member bodies (subject)
Technical committees are created
TR and TS
TR= Technical Report TS= Technical Specifications
ISO 15489ISO/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!
TR48-2004
Framework for Integration of Electronic Document Management Systems and Electronic Records Management Systems– EDMS plus ERMS equals EDRMS
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
Narrow the Target
Need to know…
Determine data type within your organization– Structured– Unstructured
Determine the risk of NOT managing
Structured versus Unstructured(type of data)
Databases– SQL– Oracle
XML format (spreadsheet)
Email Shared Drive
Decisions
Prioritize by Risk (review data map)– Big surprise here - usually turns out to be Email
Define your approach To use ERMS or not
Data Map of Email
General PrinciplesWith 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
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
Emails that are not capturedWith 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
Non ERMS Repository
Mailbox Userhome or shared drive File drawer Trash
ERMS Repository
User categorizes mail– If it’s a record - Mail moves to content repository
Mail is kept according to retention schedule
– If it’s 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
According to AIIM - Association for Information and Image Management
“…removing emails from the server and saving them to a repository isn’t enough. Email must be classified, stored, and destroyed consistent with business standards-just as any other document or record.”
FoundationWith or Without EDRMS
Policies and Procedures Define Responsibilities Define Your Approach Categorization Metadata RIM Credibility