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 RecordsRecords Management Best Practices
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) environmentBusiness Process Management (BPM) and Enterprise Content
Management (ECM)
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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”
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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.
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Technology For Supporting An Archival System
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Technology For Storing Archival Records
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Rationale For Change
ComplianceLegislationLitigation support
CostTechnologySupport services
Provide “value” for future generationsAccurate representation of an event or moment in time
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Trends In The Storage Of Electronic Records
Exponential growth of electronic records
Changing Regulatory Environment
Emergingtechnology
IT & RecordsManagement Teams
Rule 26 ofCivil Procedure
FACTA
Patriot Act
SEC Rule 17
HIPAA
Sarbanes-Oxley
Gramm-Leach-Bliley
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The Regulatory Environment
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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.
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Electronic Record Archival Implementation
Common vision
Current management of electronic records
Electronic record locations
Suggested implementation strategy
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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.”
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Electronic Record Locations
“Inside” Your Enterprise “Outside” Your Enterprise
DocumentsConverted
ToElectronic
Email Backup Images
Media
ManagementDigital
Management
DocumentsAwaiting
ConversionTo
Electronic
ITApplication
RecordsManagement
System
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What Are We Doing Again?
Filter
Electronic Record Archival System
EmailBackupImages
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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?
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CLEARLY spell out what constitutes an electronic record that requires archiving!
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Step 4: Implement
Launch as a formal programDesign & roll-out training by audiencePhased approach EXCEPT the records requiring
ARCHIVINGFirst implement comprehensive “base” programThen implement best opportunities for “win”
Tailor umbrella company policy & procedures for each application
Prioritize by risk & business value
Securely destroy ALL eligible inventory Consolidate inventoryApply retention schedule to existing records
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Step 4: Implementation Checkpoint
Communication is KEY!Newsletter, Intranet, Open House
Presenting SolutionsPrioritize solution aligned with your audiences key issuesTie features & benefits to the audiences needsUse your audiences language, so avoid jargon,
abbreviations & acronymsSummarize how your audience will benefit
Seek employee feedbackWhat is it?Why is it important to me?What are the benefits of doing it?
Archival records stored using PDF standards
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Step 5: Manage
Manage security, access & integrity of data
Enforce classification & destruction review via reports & safeguards