Preserving Electronic Records   Records Management Best Practices By Graham Riley
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Preserving Electronic Records Records Management Best Practices By Graham Riley

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Building upon the AIIM MN chapters lecture series regarding PDF/A standards, this presentation introduces the topic of Records Management Best Practices to support an organizations adoption of the new ...

Building upon the AIIM MN chapters lecture series regarding PDF/A standards, this presentation introduces the topic of Records Management Best Practices to support an organizations adoption of the new PDF standards for preserving their vital electronic documents.

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    Preserving Electronic Records   Records Management Best Practices By Graham Riley Preserving Electronic Records Records Management Best Practices By Graham Riley Presentation Transcript

    • Preserving Electronic RecordsRecords Management Best Practices
      Graham Riley
      AIIM MN Chapter
      January 26th, 2009
      ©2007 Iron Mountain Incorporated. All rights reserved. Iron Mountain and the design of the mountain are registered trademarks of Iron Mountain Incorporated.
    • The Topic Of Electronic Record Preservation
      Sept 08: PDF Standards by Betsy Fanning, AIIM
      • PDF/A is just one component of a comprehensive preservation strategy
      • Successful preservation strategy implementations depends upon:
      • Records management policies and procedures
      • Additional requirements and conditions
      • Quality assurance processes
      Oct 08: Auto. Document Centric Processes by Peggy Winton, AIIM
      • The traditional electronic record (document) environment
      • Business Process Management (BPM) and Enterprise Content Management (ECM)
    • Agenda
      • What are we doing?
      • Implementing a compliant archival system
      • Why are we doing it?
      • Compliance
      • Cost
      • Provide value in the future
      • How are we doing it?
      • The role of the emerging PDF standards
      • PDF/A implementation support considerations
      • Records Management “Best Practices”
    • The Compliant Archival System
      • Ability to maintain and keep electronic records that have enduring value as reliable memories of the past, and they help people find and understand the information they need in those records.
      • The information maintained and stored by the archival system provides a legally viable digital representation of any form of media i.e. photographs, video, sound recordings, letters, documents, electronic records, etc.
      • Organizations must select records valuable enough to justify the costs of storage and preservation, plus the labor intensive expenses of arrangement, description, and reference service.
    • Technology For Supporting An Archival System
    • Technology For Storing Archival Records
    • Rationale For Change
      • Compliance
      • Legislation
      • Litigation support
      • Cost
      • Technology
      • Support services
      • Provide “value” for future generations
      • Accurate representation of an event or moment in time
    • Trends In The Storage Of Electronic Records
      Changing Regulatory Environment
      Gramm-Leach-Bliley
      Emerging
      technology
      Exponential growth of electronic records
      Sarbanes-Oxley
      Rule 26 of
      Civil Procedure
      HIPAA
      SEC
      Rule 17
      FACTA
      Patriot Act
      IT & RecordsManagement Teams
    • The Regulatory Environment
    • Exponential Growth In Electronic Documents
      Gartner Inc. The current explosion of data is outpacing the decline in storage prices, even before the resource costs for maintaining data are taken into account.
    • Electronic Record Archival Implementation
      • Common vision
      • Current management of electronic records
      • Electronic record locations
      • Suggested implementation strategy
    • Common Vision
      “Provide the Enterprise with the ability to securely preserve and manage ALL electronic records requiring long term archival per the company’s records management policy in a cost effective & compliant manner.”
    • Electronic Record Locations
      Email
      Backup
      Images
      Media
      Management
      IT
      Application
      Documents
      Awaiting
      Conversion
      To
      Electronic
      Documents
      Converted
      To
      Electronic
      Digital
      Management
      Records
      Management
      System
      “Outside” Your Enterprise
      “Inside” Your Enterprise
    • What Are We Doing Again?
      Email
      Backup
      Images
      Filter
      Electronic Record Archival System
    • Suggested Implementation Strategy
      Based upon successful existing enterprise methods:
      • Where are we now?
      • Where do we need to be?
      • How do we get there?
      • How do we measure progress?
      • How do we know when we are there?
    • Step 1: Organize
      • Establish ownership
      • Executive sponsor
      • Dedicated archival implementation team
      • Steering committee
      • Roles & responsibilities
      • Governance level
      • Implementation level
      • Administration level
      • Determine program scope
      • Enterprise
      • Business Unit
      • Department
      • Terminology
    • Step 1: What Is A Record?
      Archive
      Casual
      Administrative
      Regulated
      Critical
    • Alternatively...
      Public
      Internal
      Archive
      Confidential
      Restricted
    • Step 1: Organizational Checkpoint
      • What it is?
      • Why it is important?
      • Ability to describe the benefits for the:
      • Enterprise
      • Business Unit
      • Department
      • User
      • Who is doing what & when?
      • Terminology
    • Building On The Foundation
      Search
      Capacity
      Retrieve
      Security
      Accurate
      Service
      Storage
      Responsive
      Cost
      Reliable
      Retention
      Compliance
      Litigation
      Privacy
      Storage Control
      Disposal
      Archival
      System
    • Step 2: Assessment Tool Questionnaire
      • Design a diagnostic questionnaire
      • Retention
      • Policies & Procedures
      • Indexing & Accessing
      • Disposal
      • Audit Compliance & Accountability
      • Foundation of the assessment process
      • Repeatable
      • Target audience
      • TIP! When between ratings, select lesser value
    • Step 2: Assessing The Results
      Rating 1 to 5
    • Step 2: Assess The Archival System
      • Assess technology for:
      • Management
      • Measurement
      • Enforcement
      • Assess functional & technical requirements:
      • Record classification
      • Search capability
      • Record retention
      • Reporting capability
      • Administration & security
      • Application integration
      • Document tracking
    • Step 2: Assessment Checkpoint
      • Storage
      • Current situation
      • Desired situation
      • Service
      • Current situation
      • Desired situation
      • Compliance
      • Current situation
      • Desired situation
      • Technology
      • Requirements specification
      • Alternatives identified
    • Step 3: Develop
      • Consolidation Plan
      • Record, data & information repositories
      • Create records classification scheme
      • Identify & define record types
      • Identify recordkeeping requirements
      • Assign retention periods based on:
      Legal requirements
      Risk considerations
      Operational needs
      • Develop a comprehensive records retention schedule that provides consistent rules across the enterprise
    • Step 3: Development Checkpoint
      • Deliver consistent policies, procedures & practices that:
      • Are compliant with specific regulations
      • Demonstrate good faith efforts
      • Provide management accountability
      • Facilitate employee adoption
      • CLEARLY spell out what constitutes an electronic record that requires archiving!
    • Step 4: Implement
      • Launch as a formal program
      • Design & roll-out training by audience
      • Phased approach EXCEPT the records requiring ARCHIVING
      • First implement comprehensive “base” program
      • Then implement best opportunities for “win”
      • Tailor umbrella company policy & procedures for each application
      • Prioritize by risk & business value
      • Securely destroy ALL eligible inventory
      • Consolidate inventory
      • Apply retention schedule to existing records
    • Step 4: Implementation Checkpoint
      • Communication is KEY!
      • Newsletter, Intranet, Open House
      • Presenting Solutions
      • Prioritize solution aligned with your audiences key issues
      • Tie features & benefits to the audiences needs
      • Use your audiences language, so avoid jargon, abbreviations & acronyms
      • Summarize how your audience will benefit
      • Seek employee feedback
      • What is it?
      • Why is it important to me?
      • What are the benefits of doing it?
      • Archival records stored using PDF standards
    • Step 5: Manage
      • Manage security, access & integrity of data
      • Enforce classification & destruction review via reports & safeguards
      • PDF compliant storage of Archival records
      • Maintain training, communications & certification programs
      • Update retention schedule, policies & procedures
      • Plan & budget for program maintenance, enforcement, audit & enhancement
      • Ensure appropriate business unit oversight
    • Step 5: Management Checkpoint
      • Destructions in progress
      • Authorized user lists updated
      • Inventory repositories consolidated
      • Practices & procedures regularly updated and are taught at new hire / orientation
      • End user departments report improved SLA’s
      • Are we cost effective when responding to regulatory, litigation & operational requirements?
    • Step 6: Audit
      • Incorporate into the internal audit function
      • Review all key components annually (longer for the Archival System)
      • Recommend improvements
      • Decide on corrective actions
      • Benchmark against audit metrics
      • Benchmark against industry “Best Practices”
      • Risk Management/Cost Management
    • Step 6: Audit Checkpoint
      • Timeliness of destructions?
      • Retention Schedule accuracy?
      • Record classification accuracy & completeness?
      • Are archival records being stored in a PDF compliant format?
      • User, department & business unit compliance?
      • Destruction “Hold” administration?
      • Training & communications delivery?
    • Next Steps: Some Do’s & Don’ts
      • DO incorporate the requirements for an archival system into existing processes for record SERVICE & COMPLIANCE and NOT replace them
      • DO adopt a practical implementation strategy based on “Best Practices”
      • DO leverage technology as component of an archival program i.e. the PDF standards
      • DO consider the outsourcing option for long-term storage. Items invoiced monthly tend to get questioned!
      • DON’T bite off too much
      • DON’T over-engineer or over-complicate
      • DON’T think that technology alone can solve the archival challenges that your Enterprise faces
    • Next Steps: Trend of Change Will Continue…
      Changing Regulatory Environment
      Gramm-Leach-Bliley
      Emerging
      technology
      Exponential growth of electronic records
      Sarbanes-Oxley
      Rule 26 of
      Civil Procedure
      HIPAA
      SEC
      Rule 17
      FACTA
      Patriot Act
      IT & RecordsManagement Teams
    • One-Stop-Shop Electronic Archival Solution
    • Next Steps: Your Response…………
      “Provide the Enterprise with the ability to securely preserve and manage ALL electronic records requiring long term archival per the company’s records management policy in a cost effective & compliant manner.”
    • For additional information…Graham RileyGraham.Riley@ironmountain.com612.490.0228
      ©2007 Iron Mountain Incorporated. All rights reserved. Iron Mountain and the design of the mountain are registered trademarks of Iron Mountain Incorporated.