Electronic Records Management ERM 101. Dana D. Simpson, CRM Vice President and Manager Records and Information Management BBVA Compass Bank [email protected].

Electronic Records Management

ERM 101

Dana D. Simpson, CRMVice President and ManagerRecords and Information ManagementBBVA Compass [email protected]

Today’s Presentation

It’s ERM - 101 Open discussion Informal atmosphere All questions are good questions If I don’t know the answer I will get you an

answer

General Housekeeping

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

Records Management Listserv

RECMGMT-L (Records Management and related topics)

To subscribe to the RECMGMT listserv:– Send an e-mail message to: [email protected]– 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.

Electronic Records Management Listserv

ERECS-L, (Management and Preservation of Electronic Records)

To subscribe to the Electronic Records Management Listserv:– send mail to

[email protected] with the command: SUBSCRIBE ERECS-L

RIM Advice for Success…According to Dana

1. A Record is a Record is a Record

2. Good is Good Enough

3. Do your homework. Just because it has feathers doesn’t mean it’s a duck

4. Never drink from a fire hose

5. Read! Now read some more

6. Credibility is everything

7. Document, Document, Document

8. Be consistent!

Records and Information Management

Administration

Legal

Security

Records and Information Management

IT

ComplianceRisk

Physical Electronic

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

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

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

What are the Benefits of ERM?

Financial Compliance Risk Operational

Rewards

1. Litigation

2. Reputation1. Laws and Regulations

2. Policies and Procedures

INCREASE COMPLIANCE

REDUCE RISK

INCREASE EFFICIENCIES1. Data Discovery

2. Information Lifecycle

3. Forms and Reports Management

REDUCE OPERATING COST1. Records Storage

2. Records Maintenance

3. Enterprise contracts and centralized management

Build a Solid Foundation

Where to Begin

FoundationWith or Without EDRMS

Policies and Procedures Define Responsibilities

– IT, RIM, LOB/User (see example)

Define Your Approach Categorization (see example) Metadata RIM Credibility

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

Define Responsibilities for Each Policy and Procedure

Information Systems and Technology (IS&T) Records and Information Management (RIM) Employee/Manager/Line of Business (LOB)

See #7 Document, Document, Document

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

Classification/Categorization

SAM=Sales and Marketing

ADM=Administration\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

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.

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!

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

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)

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

Associative Thesauri

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

Equivalence Thesauri

Synonyms indicating the preferred term– Aged person

Use: elderly person

– Bovine Use: cow

– Home loan Use: mortgage

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

RIM Credibility

Credibility=Trustworthiness 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

Standards

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

Data/Content Management

Storage Versioning Metadata Security Indexing Retrieval Workflow Collaboration

Creation Maintenance Use Identifying Categorizing Archiving Preserving Disposition

Records Management

ISO

ISO=International Organization for Standardization – National Standards Institutes from 163 countries – Made up of member bodies (subject)

Technical committees are created

TR and TS

TR= Technical Report TS= Technical Specifications

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!

TR48-2004

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

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

Narrow the Target

Need to know…

Determine data type within your organization– Structured– Unstructured

Determine the risk of NOT managing

Structured versus Unstructured(type of data)

Databases– SQL– Oracle

XML format (spreadsheet)

Email Shared Drive

Decisions

Prioritize by Risk (review data map)– Big surprise here - usually turns out to be Email

Define your approach To use ERMS or not

Data Map of Email

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

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

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

Non ERMS Repository

Mailbox Userhome or shared drive File drawer Trash

ERMS Repository

User categorizes mail– If it’s a record - Mail moves to content repository

Mail is kept according to retention schedule

– If it’s 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

According to AIIM - Association for Information and Image Management

“…removing emails from the server and saving them to a repository isn’t enough. Email must be classified, stored, and destroyed consistent with business standards-just as any other document or record.”

FoundationWith or Without EDRMS

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