Quiz for Electronic Document and record Management-IT

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IT380Unit2_Fundamentals-EDRMS.pdf

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IT 380

Electronic Document and

Record Management

Systems

Unit 2: Fundamentals of EDRMS

Instructor: Dr. Michelle Liu

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Agenda

▪ Important terminologies, cont’d

▪ Documents vs. records

▪ Information theft

▪ Mobile devices

▪ The evolution of ERMS

▪ Key concepts

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Functionality Requirements

▪ Policy and Rules ▪ Creating, maintaining, and enforcing information management policies,

whether a result of law and regulation, internal policy and process, or business agreements

▪ Must operate across technology platforms and resources

▪ Examples include policies for retention, disposition, security, privacy, use, and distribution.

▪ Content Management ▪ Creating, templating, capturing, storing, version managing, retaining,

archiving, disposing, collaborating, holding and preserving information

▪ Configuration Management ▪ Establishing ownership and custodial responsibilities and business

application dependencies

▪ Classification ▪ Classification of data, including the ability to distinguish between

business records and non-business information, classified and non- classified in the government sense, personally identifiable information (PII), and classifying information based on policy attributes

▪ Crawling (Gathering) ▪ Locating and gathering unstructured information scattered across the

information management environment

Functionality Requirements (Continued)

▪ Information Access and Discovery ▪ Indexing, searching, and discovery across resources

▪ Creation , Transfer and Copy Management ▪ Rules on the creation of information, copies to be maintained, transfer

of information, and de-duplication (single instancing)

▪ Security and Privacy ▪ Policies for identity management, information authentication, access

management, privacy control, use management and auditing

▪ For example, this functionality allows the user to determine the authenticity of business records and to establish and maintain a policy based relationship between users and data

▪ Analytics and Reporting ▪ Monitoring, alerting, and real-time reporting on key information

management events such as policy updates, configuration changes, security anomalies, classification events, and “right-to-know” requests

▪ Compliance and Risk Mitigation ▪ Legal compliance and mitigation of risk resulting from inappropriate use

of the unstructured documents

Security of Electronic Documents

▪ Much of computer security also applies to documents: ▪ Network defenses (firewalls, etc)

▪ Access control

▪ Encryption

▪ Journaling and logging

▪ Special techniques: ▪ Digital signatures

▪ Watermarking

▪ Digital Rights Management (DRM)

▪ Preservation

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Privacy of Electronic Documents

▪ Much of privacy same as other types of data ▪ Privacy policy

▪ Disclosure of personally identifiable information (PII)

▪ Internet access and availability

▪ Breach notification rules

▪ Global variations

▪ Document specific concerns ▪ Classification

▪ Collaboration

▪ Redaction

▪ Proliferation

▪ Source: “Commercial Data Privacy and Innovation in the Internet Economy: a Dynamic Policy Framework” , Department of Commerce, December 2010

Known Problems

▪ Need for end-to-end solution ▪ From creation to disposal

▪ Lack of scalability

▪ Integration issues

▪ Escalating storage growth

▪ Inflexible policy management

▪ Inaccurate auto-classification engines

▪ Inadequate search capabilities

▪ Increasing regulatory compliance

▪ Increasing amounts of e-discovery

Electronic Document Management

Roadmap

▪ Basic principles and objectives

▪ Inventory of document assets (where are they)

▪ Converting existing paper records

▪ Managing distribution inside and outside the

organization

▪ A methodology to automate data classification

▪ Records management policies and procedures

▪ Educational materials (for communicating 'the why')

▪ Training materials (for transferring knowledge of 'the

how')

▪ Auditing and compliance parameters and metrics

▪ A lifecycle strategy/plan for continuous improvement

Making Priorities

▪ Get better understanding of the user’s

information flow needs

▪ Identifying the information flow disconnects and

resulting unintentional non-compliance with

regulatory, legislative, and corporate policies

▪ More effective management of cultural change

and better opportunity for project marketing

▪ Initial focus on education (the why) and save

training (the how) for later on in the process

Selecting Tools

▪ No single solution available from a vendor that will meet all requirement ▪ All current single solutions will be overkill in some areas and

lacking in others.

▪ Integration of solutions, therefore, will be necessary ▪ Technologies and vendors that do not facilitate and “play

nice” with other solutions should be avoided

▪ Short-term solutions to fix critical business problems may be necessary ▪ Cost of replacing the solution should be built into the

business case and budget

▪ Solutions can and should be different for different departments/LOBs.

▪ The ability to effectively classify data in line with policy must be included in every tool selected

Electronic Discovery

From edrm.net

References

▪ ISO 15489

▪ MoReq2

▪ US DOD 5015.2

▪ Other relevant

sources

Definition of Record

▪ “Information created, received, and

maintained as evidence and information by

an organization or person, in pursuance of

legal obligations or in the transaction of

business.”

–Source: ISO 15489

Key Points of Record

▪ A record could, in principle, be in any form or

format we can think of, so long as it conveys

information.

▪ Records are not only created within

organizations but also received by them.

▪ The word “maintained” indicates that it is not

enough to ‘capture’ records. They have to

be stored, and managed properly once

stored. ▪ Include disposing of records when they are no

longer needed 14

Key Points of Record, Cont’d

▪ For a record to be good evidence (e.g., in a

court case), there must be no doubt that it is

complete and unchanged. ▪ Place requirements on ERM systems

▪ Records need to be kept for two reasons: ▪ Legal obligations

▪ Transaction of business

Records Management

▪ In the past, the term used to refer only to the management of

records which were no longer in everyday use but still needed to

be kept

▪ Today, refers to the entire 'lifecycle' of records - from the point of

creation right through until their eventual disposal

▪ The ISO 15489-1: 2001 standard ("ISO 15489-1:2001") defines

records management as "[the] field of management responsible

for the efficient and systematic control of the creation, receipt,

maintenance, use and disposition of records, including the

processes for capturing and maintaining evidence of and

information about business activities and transactions in the

form of records“

▪ The ISO considers management of both physical and electronic

records

Question

▪ What is a document?

Definition of Document

Recorded information or object which can be

treated as a unit.

Source: ISO15489

Information set down in any physical form or

characteristic. A document may or may not meet

the definition of a record.

Source: DoD 5015.2

Document vs. Record

▪ The definition of “document” does not say

anything about whether, or how, the

documents are kept.

▪ The definition of “record” sets out strictly how

they must be managed.

▪ Some documents become records at some

time in their existence. ▪ Others don’t!

▪ Document can be changed by suitably-

authorized people ▪ By definition, document is not necessarily

controlled. 19

Changes to Documents not Records

▪ Documents can change BUT records do not

and MUST not change

▪ The record is a document or set of documents,

all relating to a specific matter that has

happened in the past ▪ A record of history

▪ A document could be a work in progress ▪ Subject to change and therefore not a record

automatically

▪ Documents do become records once they are

finalized

Worldwide Shift

▪ In today’s digital world, the distinction between

records and documents has become vague

▪ Any document can be considered a record and any

piece of its content can be extracted and used in a

context different from the original intention of the

document, making it a separate record

▪ The traditional view of records management as a

discipline has been changed ▪ Not restricted in library catalogue and archive

management any more

▪ How records are created and used in

organizations is also reshaped 213/5/2021

Worldwide Shift, cont’d

▪ In recent years there has been a worldwide shift toward electronic transactions, in business and government ▪ Internet ▪ Mobile applications ▪ BYOD

▪ People do not to have to be physically present at an office location

▪ Organizations need to be able to access information quickly, easily, and efficiently

▪ Paper files and folders have been used for years and are an ingrained culture

▪ Need to be replaced by electronic document and record management system