The document discusses considerations for implementing enterprise records management (ERM) solutions. It addresses getting started with an ERM strategy tied to business needs, building an information architecture, file formats for long-term preservation, partnering with IT, and other factors like defining records and capture processes. The goal is to provide guidance on developing an effective ERM implementation approach.

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Considerations for ERM Implementations
J. Kevin Parker, CIP

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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…

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Getting Started with ERM Solution
Implementations
Considerations for ERM Implementations
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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: http://tiny.cc/JKP-InfoStrategy

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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:
http://tiny.cc/JKP-IMBizCase

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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.

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File Formats for Preservation
Considerations for ERM Implementations
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Physical Documents
Sometimes we think we’re
behind on transformation,
and then we get reminders…
This is an ongoing journey!

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Challenges with Document Formats
Technology obsolescence is
an ongoing problem:
• File formats
• Databases
• Physical storage media
• Bit rot

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Overcoming Format Challenges
Options for dealing with this:
• Keep old systems running.
• Use emulators.
• Convert documents to
records in a long-term
preservation format.

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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:
– www.aiim.org
– www.pdfa.org
📄
PDF/A

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Encryption, Redaction, and Privacy
Considerations for ERM Implementations
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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?

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Platforms, Vendors, Solution Integrators,
and Your IT Department
Considerations for ERM Implementations
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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.

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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

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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

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And Other Considerations…
Considerations for ERM Implementations
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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.

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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.

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Visualizing Records Capture

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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…

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Thank you!
J. Kevin Parker, CIP
www.linkedin.com/in/jkevinparker
www.jkevinparker.com
www.tahzoo.com