Electronic Records Management

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Electronic Records Management

• ERM 101

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Dana D. Simpson, CRMVice President and
ManagerRecords and Information ManagementBBVA
Compass BankDana.Simpson_at_BBVACompass.com
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Todays Presentation

• Its ERM - 101
• Open discussion
• Informal atmosphere
• All questions are good questions
• If I dont know the answer I will get you an
  answer

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General Housekeeping

• Categorize/Classify yourself
• Technical
• Records Managers
• Legal
• Non participants

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Records Management Listserv

• RECMGMT-L (Records Management and related topics)
• To subscribe to the RECMGMT listserv
• Send an e-mail message to listserv_at_lists.ufl.edu
• 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.

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Electronic Records Management Listserv

• ERECS-L, (Management and Preservation of
  Electronic Records)
• To subscribe to the Electronic Records Management
  Listserv
• send mail to LISTSERV_at_LISTSERV.ALBANY.EDU with
  the command SUBSCRIBE ERECS-L

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RIM Advice for SuccessAccording to Dana

• A Record is a Record is a Record
• Good is Good Enough
• Do your homework. Just because it has feathers
  doesnt mean its a duck
• Never drink from a fire hose
• Read! Now read some more
• Credibility is everything
• Document, Document, Document
• Be consistent!

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Records and Information Management
IT
Records and Information Management
Administration
Security
Compliance
Risk
Legal
Physical Electronic

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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

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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

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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

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What are the Benefits of ERM?

• Financial
• Compliance
• Risk
• Operational

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Rewards
REDUCE RISK

1. Litigation
2. Reputation

INCREASE COMPLIANCE

1. Laws and Regulations
2. Policies and Procedures

REDUCE OPERATING COST

1. Records Storage
2. Records Maintenance
3. Enterprise contracts and centralized management

INCREASE EFFICIENCIES

1. Data Discovery
2. Information Lifecycle
3. Forms and Reports Management

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Where to Begin

• Build a Solid Foundation

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FoundationWith or Without EDRMS

• Policies and Procedures
• Define Responsibilities
• IT, RIM, LOB/User (see example)
• Define Your Approach
• Categorization (see example)
• Metadata
• RIM Credibility

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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

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Define Responsibilities for Each Policy and
Procedure

• Information Systems and Technology (IST)
• Records and Information Management (RIM)
• Employee/Manager/Line of Business (LOB)
• See 7 Document, Document, Document

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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

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Classification/Categorization

• SAMSales and Marketing
• ADMAdministration\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

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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.

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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!

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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

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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)

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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

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Associative Thesauri

• Related terms - shows relationships across
  hierarchies
• Category (group, class, type)
• Class (category, group, rank)
• Type (category, class, kind)

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Equivalence Thesauri

• Synonyms indicating the preferred term
• Aged person
• Use elderly person
• Bovine
• Use cow
• Home loan
• Use mortgage

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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

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RIM Credibility

• CredibilityTrustworthiness 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

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Standards

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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

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Data/Content Management
Records Management

• Storage
• Versioning
• Metadata
• Security
• Indexing
• Retrieval
• Workflow
• Collaboration

• Creation
• Maintenance
• Use
• Identifying
• Categorizing
• Archiving
• Preserving
• Disposition

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ISO

• ISOInternational Organization for
  Standardization
• National Standards Institutes from 163 countries
• Made up of member bodies (subject)
• Technical committees are created

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TR and TS

• TR Technical Report
• TS Technical Specifications

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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!

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TR48-2004

• Framework for Integration of Electronic Document
  Management Systems and Electronic Records
  Management Systems
• EDMS plus ERMS equals EDRMS

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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

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Narrow the Target

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Need to know

• Determine data type within your organization
• Structured
• Unstructured
• Determine the risk of NOT managing

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Structured versus Unstructured(type of data)

• Databases
• SQL
• Oracle
• XML format (spreadsheet)

• Email
• Shared Drive

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Decisions

• Prioritize by Risk (review data map)
• Big surprise here - usually turns out to be Email
• Define your approach
• To use ERMS or not

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Data Map of Email
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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

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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

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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

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Non ERMS Repository

• Mailbox
• Userhome or shared drive
• File drawer
• Trash

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ERMS Repository

• User categorizes mail
• If its a record - Mail moves to content
  repository
• Mail is kept according to retention schedule
• If its 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

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According to AIIM - Association for Information
and Image Management

• removing emails from the server and saving
  them to a repository isnt enough. Email must be
  classified, stored, and destroyed consistent with
  business standards-just as any other document or
  record.

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FoundationWith or Without EDRMS

• Policies and Procedures
• Define Responsibilities
• Define Your Approach
• Categorization
• Metadata
• RIM Credibility