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6 electronic records management

6 electronic records management

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6 electronic records management

  1. 1. .“ ___§, ° .4=-- /53 _ ¢_, a. - O , _ O --£»: °:I= §¢‘, .,, = $¢‘3,‘. <3“é>'&‘z= ’/’*g<~= ~"’s’. .«? °"«~o--:5?’-5-‘? -:. v S. 5/146 A ,4? ” 0) ‘D’ <2 °’—-9 - . T '1 b '3: Q. ‘ —' , <‘>~‘°@<3}° ’? é)c: (;$°’; a’: ;‘; '~‘ ». -s. ’ Q S 3 i9); ELECTRONIC RECORDS MANAGEMENT SYSTEM ' 0 o EJ SANTOS-NIERRAS '. Information Governance Lead Country Finance - Controllership Accenture. Inc. - Philippines
  2. 2. This session aims to: Give a general idea on ERMS, its requirements and components- J Impart knowledge on ERMS standards- Introduce Information Governance as a proactive response to protect and manage electronic records- J
  3. 3. Course Outline What are electronic records? What is an ERMS? Baseline Standards for ERMS Implementing an ERMS ERMS and Disaster Preparedness: Information Governance
  4. 4. Key Concepts Electronic records . Digital, digitized, digital imaging, digitization RIM, GARP, ISO 15489, DOD 5015.2 0 DMS, ECM, ERMS, EDRMS Information Governance, ISMS, BCM Risk and Compliance
  5. 5. SPOT CHECK 0 How well do you understand our Records Mana ement Standards?
  6. 6. Records in Electronic (or Digital) Format
  7. 7. What are e—Records? Characteristics Type Formats - Non-paper format - Digital native/ - Electronic 0 created and stored digitally born publications in a computing environment - Requires a computer to read and manage - May or may not have a hard copy - Digitized - Image files 0 Word processing files / office productivity tools output
  8. 8. Portable Optical Media -* CDs, DVDs ’ LTO F‘ LUttri~. m5 I5». 3. Magnetic Tape * Linear Tape Open (LTO) Data Tape Digital Mass Storage Systems (DMSS) * Servers * Hard Disk Drives 6 Cloud
  9. 9. - A computer - An electronic application [Or ICT system or process — system] that can managed with the collect. organize. aid of computers and categorize and software — records to facilitate implemented in their management. order to manage preservation. different kinds of retrieval. use. and records in an disposition. organization- / 2 +2 cn > <1) as Z O. LIJ LIJ x c: n: - o o LIJ / Q: ELECTRONIC ELECTRONIC RECORDS MANAGEMENT SYSTEM
  10. 10. BASELINE STAN DARDS . . ‘T’?
  11. 11. /. ~iiIi »’mu: _~ visa‘: Hut. -« V 0 10 years retention for hard copies A is 5 years (hardcopies); 6 5 years (e-records) General requirements: Ensure N A RATE AND MPLErE TRAN FER QE I| ;iE IMAGES of the hardcopy of (. ..) records to an electronic storage media. D . - E E E E D E D the electronically stored images (. ..). E
  12. 12. Reasonable 9 to ensure the INTEQRIE. AEURAQ. AND BEL| AB| L|]'_‘( of the electronic storage system. Reasonable CONIBOQ to EBEMENI AND DEIEQI any “ uNAi@QRizED creation of, addition to, alteration of, I’ deletion of, or deterioration. An | us’|2Ec_r[igu and u L u CE evidenced by BEGULAR EVALUATIONS of the storage system. including EERIODIC CNECNS. A‘ RETRIEVAL §§TEM that includes an INDEXINQ §§EM. The’abilit3Tto/ BEEBQDUCE LEQIBLE AND BQDABLE hardcopies. J l‘ppt. com
  13. 13. RIM Standards Generally Accepted Record keeping Principles “ 0 Accountability ’ 0 Integrity { 0 Protection 0 Compliance 0 Availability - Retention 0 Disposition 0 Transparency ISO 15489 RIM Standard - Identify 0 Classify 0 Prioritize - Store 0 Secure - Archive 0 Preserve - Retrieve 0 Track 0 Destroy
  14. 14. 1. IMPLEMENT FILE PLAN 5. FILE RECORDS TO BE ARCHIVED 9. SYSTEM AU DITS 3- DECLARE AND FILE RECORDS 2. SCHEDULE RECORDS 4. FILE EMAIL MESSAGES 7. RETENTION AND VITAL RECORDS MANAGEMENT 6. STORE RECORDS 8. ACCESS CONTROLS 10. PRODUCT COM BINATIONS 12. ADDITIONAL REQUIREMENTS 11. SYSTEM MANAGEMENT
  15. 15. HOW TO IMPLEMENT AN ERMS? 1pm. com
  16. 16. RECORDS CAPTURE I Print INVENTORY and (ONSIHBIS) APPRAISAL DISPOSITION is INDExING/ V " DESCRIPTION _, ‘Q: __ F TRACKING and A a I I M mmeumce RE R CREA N 00 no PRESERVA11ON Records ‘ Reposlton . I ACCESS and RETRIEVAL I
  17. 17. I-I ILPi~. .Ii’I I"‘i W h_. ./ RI] M rn mwawpnvmw Rab tfl DESNPWON APPRAISAL , ,,. ,,, ,, , ,.Gm, ,., ,.. ‘ HUNG/ C TAGGING/ O ' UB$HOfiiN r"' "]‘HHEH’r"' DISPOSITION ‘ ‘ | Repository USER INTEiaI= /ICE TRACKING egg ' RI—: rENTIoN and M‘ ‘""E”“” ADCESS AND I PREsERvA11oN M I REIRIEVAL .
  18. 18. CAPTURE DIGITIZE M§{; {ffifi, a,§‘d DISPOSITION J . . . . . - L F W- ‘. av ‘ V u f7 T 7 “I FiIing/ . I Tagging I I S°a""'"g I Re°°'dS API3'a'3a' Digital Archiving x - 7 . .-. . . Quality Control / - Description / - Ide tif no - —: -’ l DIsposa| / . F. IF. ’ F. p er ‘ . : Access Control / F . 'm; "Ii2:"; ' —'. » I rm r , s ,7 ‘ ~ I Digital Storage V
  19. 19. . I m . . Ii. lI«. _i. |in. ilIn.4n| &.. uaw~m . i . D : ... ... _a 1 / . ,2.. . 2 . I/ r . _ Iiooil . » . .
  20. 20. Records Appraisal E RRS AND I IE INDEXING FILE PLAN -> METADNTA GEIIERKHON M GUIDELINES AND DIGITIZKTION (manna, cumnnunu A nesaalmou) I C , TEMPORARY I > VITAL P ARCHIVAL I REOOR l REXRDS RECORDS N -' ------ - - [ ~«= II-Isi > '' DIGITAL I DESTRUCTION I PRESEVKTION foDt. com
  21. 21. EVALUATION AS PER FILE PLAN C 06:) DIGITAL PRESERVATION T ARCHIVAL RECORDS vii DISPOSITION I PROCESS VALU ELESS RECORDS
  22. 22. __4_ S j___ _ 4- E. 1 £6.01 (5 i 53 im 1} E W {D O R? ) C '9 i ‘.6.’ L0 3 Sygste m , «$‘gfitwa re - ; ?§¢§£) D9°“”? °“I, f;LiI'+. §:. §1fl3 / {Ad r”"°eV'¢e _j interface fnnl nnm
  23. 23. immediately available at Accessibility Highly—dependent on point of use and Ease of Use quality technology Entails investment in ICT infrastructure and maintenance Generates savings on Eoonomlc wabmty physical storage space. Security and Protection May be protected up to the page level. Heavily reliant on a good ERMS software.
  24. 24. Document vs Record DOCUMENT Anything you use as your reference or guide in doing something Can be revised, replaced, discarded any time May or may not be created by H _your organization: noiactual transactional merit “ »‘1ie§’Referenoe Materials. . . Manuals, Blank Forms RECORD Any document that became an “evidence" of a procedure or a transaction Final. unique, serves as “proof” of doing something Institution as the actual creator or recipient — published and communicated i. e. Correspondence, Minutes of a Meeting, Filled-up form
  25. 25. ~§’ I MENT . TFNAGEMENT SYSTEM Manages digitally created documents in an electronic environment. Comparative to a ‘working folder" of drafts on your desktop. Ex. An MS Word File (in . docx format) of a minutes of the meeting you are working on / modifying. ELECTRONIC RECORDS MANAGEMENT SYSTEM Manages records as final evidences towards compliance. Maintains final, unique and original copies of proofs. Ex. The final, locked version (in PDF/ A or . tlf) of the minutes of the meeting that has been circulated.
  26. 26. Think about this. .. 0// hat it’s like to be a Records Manager in the face of an impending risk? 0 (Which is like, everyday! ) font. com
  27. 27. INFORMATION GOVER NANCE: Preventive and Proactive Disaster Preparedness . je-vs yx‘ _ ~. Ipploom
  28. 28. Records and information Management (RIM) RECORDS MANAGEMENT The systematic and administrative control of records O throughout their lifecycle to ensure efficiency and economy in their creation, use, handling, control, maintenance, 0 and disposition. (GART, 2oo5) INFORMATION MANAGEMENT The overall process of planning, controlling and exploiting Lijtg ' ”- rmation resources of an organization in order ‘T - support its operations. (IRMT, 2009)
  29. 29. information Governance IG is the “specification of decision rights and an accountability framework to ensure appropriate ’ behavior in the valuation, creation, storage, use, ‘ archiving and deletion of information- it includes the processes, roles and policies, standards and metrics I that ensure the effective and efficient use of information in enabling an organization to achieve its goals-” (Gartner, 2007)
  30. 30. information Governance BIG DATA It is high-volume, high-velocity and high-variety information assets that demand cost-effective, innovative forms of information processing for enhanced insight and decision making (Gartner Research). 0 E-DISCOVERY The process of discovery in civil litigation that is Earrriegdlout in electronic fonnats. it encompasses what often is referred to as electronically stored information, or ESI (AIIM).
  31. 31. Uuiilii. ) Gov£n~4,. ,Q_ . --—? —~_ . v~o‘_, ¢v lNTE5Q‘ATr’6w _ information Governance Reference Model (IGRM) Linking Duty + Value to information asset = efficient, effective management Duty, Value and Asset
  32. 32. - Records are - Correct - Management of used as a tool infrastructure information for for business / for actual effective and asset. requirements efficient use. Business - Protection from unauthorized access. - Safeguarding information as evidence for compliance Privacy and Security ‘ / ~ E c fppt. com
  33. 33. Information I assets should E '"f°"m3fl°" E be Protected E be _ modification. : aV8"aI? '9 *0 . .—_' (D | authonzed CD | _|_| ; users. Untampered ]— 5 and intact Z _ information for '"f°! 'm311°" -— 3 u n <E the right users available at ; fo ‘,1 3_ 0m > all the time. any given time. _ u; ers°a't‘$he < T right time.
  34. 34. - Reccrdsarenotproperlylceptand managed. - Recordlceeplngpraclice mayexpoee organization! » rlslra anddoee not promoln compliance in legal and statutory requirements. -Awarenessonappropi-late recordkeeplngpraclicelspneeent. - Recordloeeplngpracflcethough preeentlssdll disorganized and onan adhoobaslshenceorgenlmtlonlsstlilexpmedtorbks. - Beeellne rvecordlceeplng management is established and observed. - Recordleeeping practice is structured based on minimum requirements - there is still room to streamline and Improve processes. - lnformaflongcvemanceprogramhasbeenlnltlaiiedandloutlnely lmegratedlnto business decisions. ¢ Legal and statutory compliance and risks are adequately managed and controlled. - lnfonnatlongovemancehasbeenlntegrabedlntncorporahesuucnue andbusineesplocesaesgpractlcelsloutlneandautnmeuo. . - lnfomsationgavemancehasbeeneslabilshedeeanlntegralaspectof
  35. 35. i. XI . ..L MA» , ... wuIIi3ian. . . i _ , .. . .. 1. zfi NM

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