Electronic Records Management (ERM) - AIIM Notes/ERM-PRACT-1... · MODULE 1:MODULE 1: ......

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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

2Copyright © AIIM | All rights reserved

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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


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


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

Copyright © AIIM | All rights reserved

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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


What is records management?


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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


“field of management responsible for the efficient and systematic


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


Driver: Compliance

LawsRegulationsPoliciesStandardsGood practice


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Driver: Effectiveness

Not losing recordsSharing recordsFinding records easilyGetting the complete picture


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


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


Very few new records t l t i


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


importance of records managementFailures of governanceIncreasing government requirements for

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requirements for retention and disposition


Agenda


Records management principles1 4

1.2

1.3

Terminology

Key ERM concepts

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ISO 15489

Reference documents

MoReq2US DOD 5015.2Other relevant sources


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


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


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


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


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


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.


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


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


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


Terminology


1.3

1.2

1 4

Key ERM concepts

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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


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


The records lifecycle

Creation or receipt

Maintenance and use Disposition


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Records capture flow


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


Agenda


1.2 Terminology

1 4

1.3


Key ERM concepts

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1.4 Records management principles


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Characteristics of a record

AuthenticityReliabilityIntegrityUsability


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


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


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


Electronic Records Management (ERM) - AIIM Notes/ERM-PRACT-1... · MODULE 1:MODULE 1: ......

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