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Considerations for ERM Implementations


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So you are planning an electronic records management solution implementation. How do you get started? How do you select a vendor and choose cloud vs. on-prem vs. hybrid solution? Which file formats should you use? What about encryption, redaction, and privacy? And how do you partner with IT to do it right? This session looks at these questions and more to help you succeed in your ERM solution implementations.

Presented at ARMA NOVA on 5/17/2017.

Published in: Business
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Considerations for ERM Implementations

  1. 1. 5/19/17 1 Image: Marvel’s Agents of S.H.I.E.L.D. / ABC Studios Considerations for ERM Implementations J. Kevin Parker, CIP
  2. 2. 5/19/17 2 Objectives In this presentation, we will discuss: • How do you get started with ERM solutions? • What about file formats for preservation? • What about encryption, reaction, and privacy? • How do you select a platform, vendor, and solution integrator? How do you partner with IT to get it done right? • And other considerations…
  3. 3. 5/19/17 3 Getting Started with ERM Solution Implementations Considerations for ERM Implementations Image: Marvel’s Agents of S.H.I.E.L.D. / ABC Studios
  4. 4. 5/19/17 4 Start with Information Strategy Information Strategy – What your organization plans to do with information and why. A Unified Information Strategy must cover all types of content, data, knowledge, and records for the entire organization, for all major processes, in all formats, and in every location. More:
  5. 5. 5/19/17 5 Tie Information Strategy to Business Strategy We know why RIM programs are essential to business. The challenge is communicating that to decision makers and check writers. Build the business case. Secure a mandate. Create a program charter. And get to work! More:
  6. 6. 5/19/17 6 Build ERM Information Architecture • Identify all the processes that produce records. Focus on the processes! • Build out the records categories as a Business Classification Scheme (a type of taxonomy). Keep it simple. • Determine where records will be stored and how they will be captured. Try to automate it. • Design architecture with the next system migration in mind. Make it easy to migrate.
  7. 7. 5/19/17 7 File Formats for Preservation Considerations for ERM Implementations Image: Marvel’s Agents of S.H.I.E.L.D. / ABC Studios
  8. 8. 5/19/17 8 Physical Documents Sometimes we think we’re behind on transformation, and then we get reminders… This is an ongoing journey!
  9. 9. 5/19/17 9 Challenges with Document Formats Technology obsolescence is an ongoing problem: • File formats • Databases • Physical storage media • Bit rot
  10. 10. 5/19/17 10 Overcoming Format Challenges Options for dealing with this: • Keep old systems running. • Use emulators. • Convert documents to records in a long-term preservation format.
  11. 11. 5/19/17 11 Long-Term Preservation Formats and Standards • PDF/A (Archive) – A long-term format documents. • PDF/UA (Universally Accessible) – A standard, not a file format. • Get more info: – – 📄 PDF/A
  12. 12. 5/19/17 12 Encryption, Redaction, and Privacy Considerations for ERM Implementations Image: Marvel’s Agents of S.H.I.E.L.D. / ABC Studios
  13. 13. 5/19/17 13 Encryption, Redaction, and Privacy Encryption and Digital Rights Management • Needed for cybersecurity and privacy • A challenge for preservation • Weigh the benefits/risks Redaction • Redacting record copy, or convenience copy for distribution? • Do you need to preserve non-redacted originals?
  14. 14. 5/19/17 14 Platforms, Vendors, Solution Integrators, and Your IT Department Considerations for ERM Implementations Image: Marvel’s Agents of S.H.I.E.L.D. / ABC Studios
  15. 15. 5/19/17 15 When to Engage Vendors or Solution Integrators After you have done strategy and high-level architecture. While you are building your business case and alternatives analysis. Before you decide on the platform. Before you write all of your requirements. Unless you determine you already have the technology you need—then engage them next time around.
  16. 16. 5/19/17 16 Partner with IT Clearly delineate between: • RIM as a business service • The RIM solution platform as an IT service RIM Solution Platform IT Services Records and Information Management Business Services
  17. 17. 5/19/17 17 Benefits of this RIM/IT Partnership • Keeps IT focused on providing services • Keeps the management of information as an asset with the business • Helps to eliminate competition and mistrust • Prepares the way for moving to the cloud RIM Solution Platform On-Prem IT Services RIM Solution Platform Cloud IT Services Records and Information Management Business Services
  18. 18. 5/19/17 18 And Other Considerations… Considerations for ERM Implementations Image: Marvel’s Agents of S.H.I.E.L.D. / ABC Studios
  19. 19. 5/19/17 19 Clearly Define What/When is a Record: For Digitization of Paper Are you digitizing for convenience, or for preservation? • For Convenience: Paper is still the record; digital is convenience copy. • For Preservation: Digital is the record; paper becomes convenience copy. Plan disposition accordingly! Disposition Authority: NARA has old DAs for paper-to- microfilm. This is exactly the same principle.
  20. 20. 5/19/17 20 Clearly Define What/When is a Record: For File Conversion Converting from native document formats to PDF/A? Do full quality assurance (just like with digitization). Document that the new PDF/A file is the record; the original is a convenience copy that should have its own disposition. Do not keep working copies and records in the same location.
  21. 21. 5/19/17 21 Visualizing Records Capture
  22. 22. 5/19/17 22 Summary In this presentation, we discussed: • Getting started with ERM solutions • File formats for preservation • Encryption, reaction, and privacy • Platforms, vendors, solution integrators, and your IT department • And other considerations…
  23. 23. 5/19/17 23 Thank you! J. Kevin Parker, CIP