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Electronic Records Management (ERM)Managing electronic records effectively in the organisation
ERM ERM ERM Case Study
AIIM ERM Certificate Programme
ERMStrategy
ERMPractitioner
ERM Specialist
Case Study
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ERM Practitioner Course Outline
Foundations Classification Controls Technologies
1. Introduction
2. Create & Capture
4. Introduction to Classification
5.Developing Classification Tools
7. Search 10. RM Technologies
8. Controls & Security
11. Storage Technologies
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3. Metadata 9. Retention & Disposition
12. Digital Preservation
6. Classifying Records
ERM Practitioner Course Outline
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MODULE 1:MODULE 1: INTRODUCTION TO ERMElectronic records management concepts and principles
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Learning objectives
At the end of this session, you should be able tto:Understand what electronic records management (ERM) isIdentify key terminology relating to ERMIdentify basic principles associated with records
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Identify basic principles associated with records management
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Agenda
Introduction to ERM1.1
Key ERM concepts
Records management principles
1.3
1 4
Terminology1.2
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Records management principles1.4
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What is records management?
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What is records management?
Field of management responsible for the efficient d t ti t l f th ti i tand systematic control of the creation, receipt,
maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records
Source: ISO 15489
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Source: ISO 15489
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“field of management responsible for the efficient and systematic
What is records management?
Responsibility of management
S f defficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining
Sense of order
Full lifecycle
Records disposed of
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evidence of and information about business activities and transactions in the form of records”
Evidence needs to be credible
Records
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What are the main business drivers?
ERM
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Driver: Compliance
LawsRegulationsPoliciesStandardsGood practice
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Driver: Effectiveness
Not losing recordsSharing recordsFinding records easilyGetting the complete picture
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Driver: Effectiveness
Other examplesHigher evidential weight Faster information retrieval Office relocations24 hour, 7-day availability of information
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Disaster recovery and backups
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Driver: Efficiency
Accessing records quicklySpace savingsReduced handling costsOther examplesArchival costs Di l f f it
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Disposal of furniture Consumables
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Driver: Continuity
Records are vulnerable to lossBusinesses tend to fail if they lose their recordsElectronic storage may speed recovery from
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a disaster
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Most of today’s d t t t i
The importance of records
records start out in electronic formLettersEmailsFaxes
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FaxesWeb transactionsOther transactions
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Very few new records t l t i
The importance of records
are not electronic:Incoming lettersSome signed documentsHandwritten notes…
But many existing
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But many existing records are in a physical format
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Growing awareness of i t f d
The importance of records
importance of records managementFailures of governanceIncreasing government requirements for
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requirements for retention and disposition
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Agenda
Introduction to ERM1.1
Records management principles1 4
1.2
1.3
Terminology
Key ERM concepts
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Records management principles1.4
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ISO 15489
Reference documents
MoReq2US DOD 5015.2Other relevant sources
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What is a ‘record’?
The word ‘record’ does not translate wellThe concept does not exist everywhereSomething to do with:Corporate memory…Archives…Proof of what has happened
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Proof of what has happened…Organisations have to develop their own definition of record
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Definition of record
Information created, received, and maintained as id d i f ti b i tievidence and information by an organisation or
person, in pursuance of legal obligations or in the transaction of business
Source: ISO 15489
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Definition of record
o“information created, received, and maintained
Any sort of information
,as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of b i ”
Both create and receive
Manage well
Manage actively
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business” Reasons to keep records
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Definition of document
Recorded information or object which can be treated as a unit
Information set down in any physical form or characteristic. A document may or may not meet the definition of a record.
Source: US DOD 5015.2
Source: ISO 15489
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Definition of document
Says nothing about mediumConcept of “a unit”
Can be picked up, if physicalCan be ‘managed’ by a computer
If electronic, may or may not be well managed
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managed
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Documents & records
Context
DOCUMENT RECORDS
Corporate
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Corporate Control
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Definition of record series
A group of related records filed/used together as a it d l t d it f t tiunit and evaluated as a unit for retention purposes.
Source: ANSI/ARMA 12-2005
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Archive
Files that are selected for permanent or long-term preservation due to enduring historical valueArea or media used for long-term storage
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Classification
Systematic identification and arrangement of /business activities and/or records into
categories according to logically structured conventions, methods, and procedural rules represented in a classification system
Source: ISO 15489
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Classification
Systematic identification and arrangement of b i i i i d/ d ibusiness activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification system
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Retention schedules
A formal instrument that defines the retention periods and consequent disposition actions authorised for records described in the schedule.
Source: MoReq 2
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Source: MoReq 2
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Example retention schedules
Destroy this file 7 years after it is closed.
Transfer this series to the archives 5 years after
ACTION TIMEPERIOD
EVENT
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Transfer this series to the archives 5 years after the last record is added to it.
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Metadata
Data about dataSources: NISO W3C Wikipedia
Data describing context, content and structure of records and their management through timeSource: ISO 15489
Sources: NISO, W3C, Wikipedia, Dictionary.com….
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Metadata
• Basic metadata about a document or record• Metadata to support discovery and establish
a purpose and context• Metadata to support management of the
item as a record
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Disposition
Range of processes associated with implementing d t ti d t ti t f d i irecords retention, destruction or transfer decisions
which are documented in disposition authorities or other instruments
Source: ISO 15489
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Preservation
Processes and operations involved in ensuring the t h i l d i t ll t l i l f th titechnical and intellectual survival of authentic records through time
Source: ISO 15489
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Vital records
Subset of records that are critical to the i ti ’ i i i torganisation’s mission or existence
Loss may cause irreparable harmVital records require exceptional protection and periodic review
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Agenda
Introduction to ERM1.1
Terminology
Records management principles
1.3
1.2
1 4
Key ERM concepts
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Records management principles1.4
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Electronic records management
Question: Is ERM
The electronic management of paper records?
The management of electronic records?
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Answer: Both
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When is information a record?
Different understandings in different countriesCommon understanding in much of the English-speaking world Slight differences in Nordic EuropeConceptual differences in Latin countriesDiffering degrees of choice
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Differing degrees of choiceLegal differences
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Formats of record
Electronic
Physical
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What is a record?
RecordsFi i l d t
Not recordsP ttiFinancial documents
Policies and proceduresAudit trails and logsMeeting minutesSignificant memoranda
Press cuttingsInvitationsTrade/industry publicationsTrivial memorandaS i t l il
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Some internal e-mailSome drafts
Some internal e-mailSome drafts
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The records lifecycle
Creation or receipt
Maintenance and use Disposition
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Records capture flow
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Records maintenance and use
ClassificationIndexingAccess controlsStorage and media selectionAudits and reporting
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Retention and disposition
Records should be managed according to th i l t th i titheir value to the organisationRecords should be retained according to records programRecords should be disposed of at the end of the lifecycle
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of the lifecycleDocuments that are not records must still be managed appropriately
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Agenda
Introduction to ERM1.1
1.2 Terminology
1 4
1.3
Records management principles
Key ERM concepts
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1.4 Records management principles
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Characteristics of a record
AuthenticityReliabilityIntegrityUsability
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Fundamental principles
Records are created, received, and used in the conduct of organisational activitiesOrganisations should create and maintain authentic,
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reliable, and usable records
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Access and usage principles
Records should be accessible to authorisedusers Users should be able to search and access records in usable formatsR d h ld b i d
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Records should be organisedto support access and management
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Retention principles
Records must be managed through their lif llifecycleRecords should be kept as long as requiredStatutory requirementsLegal requirementsBusiness or operational needs
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Business or operational needsRetaining records longer than required may increase organisational liability
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Disposition principles
Disposition is an accepted phase of the d lif lrecords lifecycle
Transfer/accessionDestruction
Records should be disposed of at the
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disposed of at the end of the lifecycle
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In this module we covered:
Summary
What ERM is and is notKey ERM conceptsBasic principles for records management
In the next module we will cover:Creating and capturing records
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Creating and capturing records
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