Preserving Electronic RecordsRecords Management Best Practices<br />Graham Riley<br />AIIM MN Chapter<br />January 26th, 2...
The Topic Of Electronic Record Preservation<br />Sept 08: PDF Standards by Betsy Fanning, AIIM<br /><ul><li>PDF/A is just ...
Successful preservation strategy implementations depends upon:
Records management policies and procedures
Additional requirements and conditions
Quality assurance processes</li></ul>Oct 08: Auto. Document Centric Processes by Peggy Winton, AIIM<br /><ul><li>The tradi...
Business Process Management (BPM) and Enterprise Content Management (ECM)</li></li></ul><li>Agenda<br /><ul><li>What are w...
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”</li></li></ul><li>The Compliant Archival System<br /><ul><li>Ability to maintain and k...
The information maintained and stored by the archival system provides a legally viable digital representation of any form ...
Organizations must select records valuable enough to justify the costs of storage and preservation, plus the labor intensi...
Technology For Storing Archival Records<br />
Rationale For Change<br /><ul><li>Compliance
Legislation
Litigation support
Cost
Technology
Support services
Provide “value” for future generations
Accurate representation of an event or moment in time</li></li></ul><li>Trends In The Storage Of Electronic Records<br />C...
The Regulatory Environment<br />
Exponential Growth In Electronic Documents<br />Gartner Inc. The current explosion of data is outpacing the decline in sto...
Electronic Record Archival Implementation<br /><ul><li>Common vision
Current management of electronic records
Electronic record locations
Suggested implementation strategy</li></li></ul><li>Common Vision<br />“Provide the Enterprise with the ability to securel...
Electronic Record Locations<br />Email<br />Backup<br />Images<br />Media<br />Management<br />IT<br />Application<br />Do...
What Are We Doing Again?<br />Email<br />Backup<br />Images<br />Filter<br />Electronic Record Archival System<br />
Suggested Implementation Strategy<br />Based upon successful existing enterprise methods:<br /><ul><li>Where are we now?
Where do we need to be?
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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 PDF standards for preserving their vital electronic documents.

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Preserving Electronic Records Records Management Best Practices By Graham Riley

  1. 1. Preserving Electronic RecordsRecords Management Best Practices<br />Graham Riley<br />AIIM MN Chapter<br />January 26th, 2009<br />©2007 Iron Mountain Incorporated. All rights reserved. Iron Mountain and the design of the mountain are registered trademarks of Iron Mountain Incorporated.<br />
  2. 2. The Topic Of Electronic Record Preservation<br />Sept 08: PDF Standards by Betsy Fanning, AIIM<br /><ul><li>PDF/A is just one component of a comprehensive preservation strategy
  3. 3. Successful preservation strategy implementations depends upon:
  4. 4. Records management policies and procedures
  5. 5. Additional requirements and conditions
  6. 6. Quality assurance processes</li></ul>Oct 08: Auto. Document Centric Processes by Peggy Winton, AIIM<br /><ul><li>The traditional electronic record (document) environment
  7. 7. Business Process Management (BPM) and Enterprise Content Management (ECM)</li></li></ul><li>Agenda<br /><ul><li>What are we doing?
  8. 8. Implementing a compliant archival system
  9. 9. Why are we doing it?
  10. 10. Compliance
  11. 11. Cost
  12. 12. Provide value in the future
  13. 13. How are we doing it?
  14. 14. The role of the emerging PDF standards
  15. 15. PDF/A implementation support considerations
  16. 16. Records Management “Best Practices”</li></li></ul><li>The Compliant Archival System<br /><ul><li>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.
  17. 17. 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.
  18. 18. 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.</li></li></ul><li>Technology For Supporting An Archival System<br />
  19. 19. Technology For Storing Archival Records<br />
  20. 20. Rationale For Change<br /><ul><li>Compliance
  21. 21. Legislation
  22. 22. Litigation support
  23. 23. Cost
  24. 24. Technology
  25. 25. Support services
  26. 26. Provide “value” for future generations
  27. 27. Accurate representation of an event or moment in time</li></li></ul><li>Trends In The Storage Of Electronic Records<br />Changing Regulatory Environment<br />Gramm-Leach-Bliley<br />Emerging<br />technology<br />Exponential growth of electronic records<br />Sarbanes-Oxley<br />Rule 26 of<br />Civil Procedure<br />HIPAA<br />SEC<br /> Rule 17<br />FACTA<br />Patriot Act<br />IT & RecordsManagement Teams<br />
  28. 28. The Regulatory Environment<br />
  29. 29. Exponential Growth In Electronic Documents<br />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.<br />
  30. 30. Electronic Record Archival Implementation<br /><ul><li>Common vision
  31. 31. Current management of electronic records
  32. 32. Electronic record locations
  33. 33. Suggested implementation strategy</li></li></ul><li>Common Vision<br />“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.”<br />
  34. 34.
  35. 35.
  36. 36. Electronic Record Locations<br />Email<br />Backup<br />Images<br />Media<br />Management<br />IT<br />Application<br />Documents<br />Awaiting<br />Conversion<br />To<br />Electronic<br />Documents<br />Converted<br />To<br />Electronic<br />Digital<br />Management<br />Records<br />Management<br />System<br />“Outside” Your Enterprise<br />“Inside” Your Enterprise<br />
  37. 37. What Are We Doing Again?<br />Email<br />Backup<br />Images<br />Filter<br />Electronic Record Archival System<br />
  38. 38. Suggested Implementation Strategy<br />Based upon successful existing enterprise methods:<br /><ul><li>Where are we now?
  39. 39. Where do we need to be?
  40. 40. How do we get there?
  41. 41. How do we measure progress?
  42. 42. How do we know when we are there?</li></li></ul><li>Step 1: Organize<br /><ul><li>Establish ownership
  43. 43. Executive sponsor
  44. 44. Dedicated archival implementation team
  45. 45. Steering committee
  46. 46. Roles & responsibilities
  47. 47. Governance level
  48. 48. Implementation level
  49. 49. Administration level
  50. 50. Determine program scope
  51. 51. Enterprise
  52. 52. Business Unit
  53. 53. Department
  54. 54. Terminology</li></li></ul><li>Step 1: What Is A Record?<br />Archive<br />Casual<br />Administrative<br />Regulated<br />Critical<br />
  55. 55. Alternatively...<br />Public<br />Internal<br />Archive<br />Confidential<br />Restricted<br />
  56. 56. Step 1: Organizational Checkpoint<br /><ul><li>What it is?
  57. 57. Why it is important?
  58. 58. Ability to describe the benefits for the:
  59. 59. Enterprise
  60. 60. Business Unit
  61. 61. Department
  62. 62. User
  63. 63. Who is doing what & when?
  64. 64. Terminology</li></li></ul><li>Building On The Foundation<br />Search<br />Capacity<br />Retrieve<br />Security<br />Accurate<br />Service<br />Storage<br />Responsive<br />Cost<br />Reliable<br />Retention<br />Compliance<br />Litigation<br />Privacy<br />Storage Control<br />Disposal<br />Archival<br />System<br />
  65. 65. Step 2: Assessment Tool Questionnaire<br /><ul><li>Design a diagnostic questionnaire
  66. 66. Retention
  67. 67. Policies & Procedures
  68. 68. Indexing & Accessing
  69. 69. Disposal
  70. 70. Audit Compliance & Accountability
  71. 71. Foundation of the assessment process
  72. 72. Repeatable
  73. 73. Target audience
  74. 74. TIP! When between ratings, select lesser value</li></li></ul><li>Step 2: Assessing The Results<br />Rating 1 to 5<br />
  75. 75. Step 2: Assess The Archival System<br /><ul><li>Assess technology for:
  76. 76. Management
  77. 77. Measurement
  78. 78. Enforcement
  79. 79. Assess functional & technical requirements:
  80. 80. Record classification
  81. 81. Search capability
  82. 82. Record retention
  83. 83. Reporting capability
  84. 84. Administration & security
  85. 85. Application integration
  86. 86. Document tracking</li></li></ul><li>Step 2: Assessment Checkpoint<br /><ul><li>Storage
  87. 87. Current situation
  88. 88. Desired situation
  89. 89. Service
  90. 90. Current situation
  91. 91. Desired situation
  92. 92. Compliance
  93. 93. Current situation
  94. 94. Desired situation
  95. 95. Technology
  96. 96. Requirements specification
  97. 97. Alternatives identified</li></li></ul><li>Step 3: Develop<br /><ul><li>Consolidation Plan
  98. 98. Record, data & information repositories
  99. 99. Create records classification scheme
  100. 100. Identify & define record types
  101. 101. Identify recordkeeping requirements
  102. 102. Assign retention periods based on:</li></ul>Legal requirements<br />Risk considerations<br />Operational needs<br /><ul><li>Develop a comprehensive records retention schedule that provides consistent rules across the enterprise</li></li></ul><li>Step 3: Development Checkpoint<br /><ul><li>Deliver consistent policies, procedures & practices that:
  103. 103. Are compliant with specific regulations
  104. 104. Demonstrate good faith efforts
  105. 105. Provide management accountability
  106. 106. Facilitate employee adoption
  107. 107. CLEARLY spell out what constitutes an electronic record that requires archiving!</li></li></ul><li>Step 4: Implement<br /><ul><li>Launch as a formal program
  108. 108. Design & roll-out training by audience
  109. 109. Phased approach EXCEPT the records requiring ARCHIVING
  110. 110. First implement comprehensive “base” program
  111. 111. Then implement best opportunities for “win”
  112. 112. Tailor umbrella company policy & procedures for each application
  113. 113. Prioritize by risk & business value
  114. 114. Securely destroy ALL eligible inventory
  115. 115. Consolidate inventory
  116. 116. Apply retention schedule to existing records</li></li></ul><li>Step 4: Implementation Checkpoint<br /><ul><li>Communication is KEY!
  117. 117. Newsletter, Intranet, Open House
  118. 118. Presenting Solutions
  119. 119. Prioritize solution aligned with your audiences key issues
  120. 120. Tie features & benefits to the audiences needs
  121. 121. Use your audiences language, so avoid jargon, abbreviations & acronyms
  122. 122. Summarize how your audience will benefit
  123. 123. Seek employee feedback
  124. 124. What is it?
  125. 125. Why is it important to me?
  126. 126. What are the benefits of doing it?
  127. 127. Archival records stored using PDF standards</li></li></ul><li>Step 5: Manage<br /><ul><li>Manage security, access & integrity of data
  128. 128. Enforce classification & destruction review via reports & safeguards
  129. 129. PDF compliant storage of Archival records
  130. 130. Maintain training, communications & certification programs
  131. 131. Update retention schedule, policies & procedures
  132. 132. Plan & budget for program maintenance, enforcement, audit & enhancement
  133. 133. Ensure appropriate business unit oversight</li></li></ul><li>Step 5: Management Checkpoint<br /><ul><li>Destructions in progress
  134. 134. Authorized user lists updated
  135. 135. Inventory repositories consolidated
  136. 136. Practices & procedures regularly updated and are taught at new hire / orientation
  137. 137. End user departments report improved SLA’s
  138. 138. Are we cost effective when responding to regulatory, litigation & operational requirements?</li></li></ul><li>Step 6: Audit<br /><ul><li>Incorporate into the internal audit function
  139. 139. Review all key components annually (longer for the Archival System)
  140. 140. Recommend improvements
  141. 141. Decide on corrective actions
  142. 142. Benchmark against audit metrics
  143. 143. Benchmark against industry “Best Practices”
  144. 144. Risk Management/Cost Management</li></li></ul><li>Step 6: Audit Checkpoint<br /><ul><li>Timeliness of destructions?
  145. 145. Retention Schedule accuracy?
  146. 146. Record classification accuracy & completeness?
  147. 147. Are archival records being stored in a PDF compliant format?
  148. 148. User, department & business unit compliance?
  149. 149. Destruction “Hold” administration?
  150. 150. Training & communications delivery?</li></li></ul><li>Next Steps: Some Do’s & Don’ts<br /><ul><li>DO incorporate the requirements for an archival system into existing processes for record SERVICE & COMPLIANCE and NOT replace them
  151. 151. DO adopt a practical implementation strategy based on “Best Practices”
  152. 152. DO leverage technology as component of an archival program i.e. the PDF standards
  153. 153. DO consider the outsourcing option for long-term storage. Items invoiced monthly tend to get questioned!
  154. 154. DON’T bite off too much
  155. 155. DON’T over-engineer or over-complicate
  156. 156. DON’T think that technology alone can solve the archival challenges that your Enterprise faces</li></li></ul><li>Next Steps: Trend of Change Will Continue…<br />Changing Regulatory Environment<br />Gramm-Leach-Bliley<br />Emerging<br />technology<br />Exponential growth of electronic records<br />Sarbanes-Oxley<br />Rule 26 of<br />Civil Procedure<br />HIPAA<br />SEC<br /> Rule 17<br />FACTA<br />Patriot Act<br />IT & RecordsManagement Teams<br />
  157. 157. One-Stop-Shop Electronic Archival Solution <br />
  158. 158. Next Steps: Your Response…………<br />“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.”<br />
  159. 159. For additional information…Graham RileyGraham.Riley@ironmountain.com612.490.0228<br />©2007 Iron Mountain Incorporated. All rights reserved. Iron Mountain and the design of the mountain are registered trademarks of Iron Mountain Incorporated.<br />

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