Quiz IT electronic documents management
IT 380
Electronic Document and
Record Management
Systems
Unit 3: ERMS Concepts, Challenges and
Principles
Instructor: Dr. Michelle Liu
Agenda
▪ Introduction to ERM
▪ What is an electronic record?
▪ Records lifecycle
▪ Characteristics of a record
▪ Issues, problems and principles of
electronic records management
▪ Why do electronic records present special
challenges? (Open Discussion)
2
Quick Recap ▪ What is retention schedule?
▪ What is the purpose of digital signature?
▪ What is vital record?
▪ Why metadata is important (in EDRMS)?
▪ What is e-discovery?
▪ What is Big Data?
▪ What is BYOD?
▪ Major functionalities of EDRMS?
3
Recap: Records Management
4
▪ “Field of management responsible for the
efficient and 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
What is Records Management?
▪ Records management is one of management’s
responsibilities.
▪ “Systematic control” relates to the fact that the
records management discipline calls for records
to be stored in an organized, or systematic,
fashion.
▪ Records management addresses the entire
lifecycle of records.
▪ A critical part of records management is storing
records to make sure they remain accessible.
▪ It is important that records are disposed of as
soon as they no longer have to be kept. 5
What is Records Management?
(Continued)
▪ “…maintaining evidence” ▪ Records may be needed as evidence – whether in
response to a subpoena, to prosecute a litigation,
to demonstrate actions to a regulator, to prove
transactions to an auditor, or for other reasons.
▪ Records management requires that records are
secured against change and against unauthorized
deletion
▪ “Business activities and transactions” hint at the
formal definition of ‘record’.
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Classification
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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: ISO15489
Archive
▪ Files that are selected for permanent or long-
term preservation due to enduring historical
value
▪ Area or media used for long-term storage
▪ Inactive or not as active but required to be
maintained for legal or operational reasons
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Preservation
9
Processes and operations involved in ensuring
the technical and intellectual survival of authentic
records through time.
Source: ISO15489
Just Another Day at the Office
10
With so many document technology
solutions available, why don’t our
organizations feel more productive?
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Well, because we’re not!
12
Source: Harris Interactive Knowledge Worker Survey, 2015
How often do you perform the
following actions when working
with PDF?
13
Implementing an Organization-
Wide System
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▪ The vast majority of organizations have not implemented an organization-wide system ▪ Some departments are more automated than others
▪ No central source of documents
▪ Much duplication
▪ Daunting prospect given that: ▪ Existing paper-based culture for review and approval
▪ Many historical records still on paper and no electronic document available
▪ Three aspects: ▪ Technical
▪ Managerial
▪ Cultural change
The Business Drivers for ERM
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ERM
EfficiencyEffectiveness
Continuity
Compliance
Compliance
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▪ Laws;
▪ Regulations;
▪ Policies;
▪ Standards; and
▪ Best practice.
Effectiveness
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▪ Not losing records
▪ Sharing records ▪ ERM systems allow several users to read a
record at once, whereas with paper records only one person can.
▪ Finding records easily ▪ ERM systems typically offer a multitude of
ways to find specific records or correspondence items
▪ Getting the complete picture
Effectiveness: Other Examples
▪ Higher evidential weight
▪ Faster information retrieval
▪ Office relocations ▪ Difference between moving hundreds of file
cabinets or moving a dozen CDs.
▪ 24 hour, 7-day availability of information
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Efficiency
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▪ Accessing records quickly ▪ Records are held in a computer
▪ Well indexed
▪ Space savings
▪ Reduced handling costs
▪ Other examples: ▪ Archival costs
▪ Disposal of furniture
Continuity
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▪ Being able to recover records after a disaster
▪ Records are vulnerable to loss
▪ Businesses tend to fail if they lose their records (or access to them).
▪ Electronic storage may speed recovery from a disaster
▪ Backup
▪ Business continuity plan
The Importance of Records
▪ Virtually all newly-created records are
created electronically today – they are what
we call “born digital”
▪ Format: ▪ Letters
▪ Emails
▪ Faxes
▪ Web transactions
▪ Others…
21
The Importance of Records
▪ Very few new records are not electronic
▪ But many existing records are in a physical
format ▪ In an ERM project, it will often be essential to
take these physical records into account.
▪ The growth in the awareness of how
important record keeping can be. ▪ Failures of governance
▪ Increasing government requirements for
retention and disposition 22
Question about ERM
Is ERM
▪ The electronic management of
paper records?
▪ The management of electronic
records?
23
Formats of Records
▪ Electronic: ▪ Web pages, e-mail messages, word processed
documents, presentations, spreadsheets,
diagrams, forms, databases, portable
documents, drawings, audio or video…
▪ Physical: ▪ Papers, microfilm and microfiche, audio and
video tapes, CDs and DVDs, and even ‘exotic’
or specialist records such as oil drilling cores.
24
The Records Lifecycle
▪ Based on the National Archives and Records
Administration (NARA)
▪ The records lifecycle comprises three primary
phases: ▪ Creation or receipt
▪ The process of formally receiving records and placing
them into the records control framework is called
capture and declaration.
▪ Maintenance and use
▪ Disposition
▪ Those of little value should not be retained any longer
than necessary. 25
Characteristics of an Authoritative
Record
▪ Authenticity – An authentic record can be proven to be what it purports to be, created or sent by the person purported to have created or sent it, and create or sent at the time purported.
▪ Reliability – A reliable record can be trusted as a full and accurate representation of the transactions, activities, or fact to which it attests.
▪ Integrity – A complete and unaltered record is said to possess integrity.
▪ Usability – A usable record can be located, retrieved, presented, and interpreted.
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~ISO 15489-1:2001
Fundamental Principles
▪ Records are created, received, and used in
the conduct of organizational activities
▪ Organizations should create and maintain
authentic, reliable, and usable records
▪ Based on Generally Accepted
Recordkeeping Principles® established by
ARMA International
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The Principles: Your Sword & Shield
Access and usage principles
▪ Records should be accessible to
authorized users
▪ Users should be able to search for and
access records in usable formats
▪ Records should be organized to
support access and management
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Retention principles
▪ Records must be managed through their
lifecycle.
▪ Records should be kept as long as required ▪ Legal requirements, and
▪ Business or operational needs.
▪ Retaining records longer than required may
increase organizational liability and the cost
of doing business
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Disposition Principles
▪ Disposition is an accepted phase of the
records lifecycle ▪ Transfer/accession
▪ Destruction
▪ Records can, and should, be disposed of at
the end of their lifecycle
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Information Systems and Records
Management Systems
▪ Information Systems ▪ No attention to the concept of a record (or)
▪ Record as an entry in a structured system
▪ Recordkeeping Systems ▪ Record as evidence
▪ Fixity
▪ Related to process, person, time (context)