Electronic Records Management

Electronic Records Management

What is Electronic Records Management

Electronic Records Management (ERM) utilizes technology to enable the indexing, imaging, preservation, retrieval, retention, and disposition of business records in electronic format.

Typically, businesses consider a document as a work in progress until it has undergone review, approval, and (potentially) publication, at which point it becomes a formal record within the organization. The document at that point may be in physical or electronic format. An ERM system facilitates the indexing (entry of descriptive information about the document) and its conversion to electronic media if received in physical format. The conversion process indexes the content of the document making it fully text searchable.

The ERM system then applies defined retention policies that control how long the record will be preserved from change until its final disposition. During the preservation period, the ERM

Why Consider ERMS Use

Reduce business costs

Preserve corporate knowledge otherwise lost via attrition

Improve information management and retrieval

Challenges

Migration of accountability from the departments to a central system

Mapping and conversion of legacy data from its various sources

Change management

 Administrative policies & controls

 User awareness & training

Benefits

Simplifies information management

Offers broad access to information

Provides exceptional search capability

Improves data quality

Enables defensible disposition

Best Practices--Managing Records with

an ERMS

Indexes content based, not organization based

Standardized metadata (Indexing guides)

Minimize retention categories (Big buckets)

Key performance metrics

How to Implement

Develop a vision and scope for effective use of an ERMS Establish an executive sponsor who shares the vision Examine the business processes that will be affected

Identify the people, resources, systems, and policies that will be affected Explore the capabilities of some of the ERMS products on the market Map the new business process to leverage ERMS capabilities

Develop system requirements that satisfy the new business process Develop cost justification as necessary, procure and test the technology Manage the business change

Lessons Learned

ERMS can index your physical records as well as electronic records in a single file plan

Fully understand security and access restrictions when mapping legacy data for migration

Minimize the customization of ERMS data fields for optimum system efficiency

APPENDIX

ARMA International (formerly the Association of Records Managers and Administrators) is a non-profit

professional association for records and information managers and related industry practitioners and vendors. The association provides educational opportunities and educational publications covering the principles of

records management. It also is known worldwide for its standards and guidelines.

The Association was founded in 1955. In 1975, the Association of Records Executives and Administrators (AREA) and the American Records Management Association merged to form the present ARMA International. The

headquarters for ARMA International are in Overland Park, Kansas.

ARMA International has more than 27,000 members in over 30 countries. ARMA international has approximately 150 chapters for members around the world. Its members include records managers, attorneys, information technology professionals, consultants, and archivists involved in various aspects of managing records and information assets.

APPENDIX

Information governance is key to your organization's success. With the Generally Accepted Recordkeeping Principles®, you have a way to benchmark, improve, and govern your organization's information.

Records and recordkeeping are inextricably linked with any organized activity. It is only through the information an organization records in the normal course of business that it can know what it has done and effectively plan what it will do in the future. As a key resource in the operation of any organization, records must be created, organized, secured, maintained, and used in a way that effectively supports the activity of that organization, including:

 Facilitating and sustaining day-to-day operations

 Supporting predictive activities such as budgeting and planning

 Assisting in answering questions about past decisions and activities

 Demonstrating and documenting compliance with applicable laws, regulations, and standards

The principles of recordkeeping have been well developed by those who are fully involved in records and information management. They form the basis upon which every effective records program is built and are the yardstick by which any recordkeeping program is measured. Regardless of whether an organization or its personnel are aware of them, they form the basis upon which that organization’s recordkeeping will one day be judged.

It is in the general interest of all organizations, and of society itself, to be fully aware of these principles and to manage records and information assets in accordance with them. ARMA International published these eight Generally Accepted Recordkeeping Principles® to foster general awareness of recordkeeping standards and principles and to assist

APPENDIX

Principle of Accountability

A senior executive (or a person of comparable authority) shall oversee the information governance program and delegate responsibility for records and information management to appropriate individuals. The organization adopts policies and

procedures to guide personnel and ensure that the program can be audited.

Principle of Integrity

An information governance program shall be constructed so the information generated by or managed for the organization has a reasonable and suitable guarantee of authenticity and

reliability.

Principle of Protection

An information governance program shall be constructed to ensure a reasonable level of protection for records and information that are private, confidential, privileged, secret, classified, or essential to business continuity or that otherwise

require protection.

Principle of Compliance

An information governance program shall be constructed to comply with applicable laws and other binding authorities, as well as with the organization’s policies.

Principle of Availability

An organization shall maintain records and information in a manner that ensures timely, efficient, and accurate retrieval of needed information.

Principle of Retention

An organization shall maintain its records and information for an appropriate time, taking into account its legal, regulatory, fiscal, operational, and historical requirements.

Principle of Disposition

An organization shall provide secure and appropriate disposition for records and information that are no longer required to be

maintained by applicable laws and the organization’s policies.

Principle of Transparency