AIIM ERM Certificate Programme

Transcription

1 Electronic Records Management (ERM) Managing electronic records effectively in the organisation AIIM ERM Certificate Programme ERM ERM ERM Case Study Strategy Practitioner Specialist 2 1

2 ERM Practitioner Course Outline Foundations Classification Controls Technologies 1. Introduction 4. Introduction to Classification 7. Search 10. RM Technologies 2. Create & Capture 5.Developing Classification Tools 8. Controls & Security 11. Storage Technologies 3. Metadata 6. Classifying 9. Retention & Records Disposition 12. Digital Preservation 3 MODULE 5: DEVELOPING CLASSIFICATION TOOLS How to develop common classification tools and structures 4 2

3 Learning objectives At the end of this session, you should be able to: Identify steps required to conduct a records inventory Identify steps required to develop a classification scheme Identify steps required to develop a file plan and a retention schedule 5 Agenda The records inventory Developing a classification scheme Developing a file plan Developing a retention schedule 6 3

4 The records and information inventory Essential to a good records and information management t(rim) program An excellent way to understand the information environment Information types in use Storage methods and practices Users Owners 7 Purpose of the inventory Identifies what the organisation has Documents, records, and copies Paper and electronic Identifies how information is created and used Identifies where information is stored Exposes problems and inconsistencies in information management practises 8 4

5 Value of the inventory Foundation for other records management programme instruments t Classification schemes File plans Records retention schedules 9 Objectives of the inventory Locate and describe organisational information holdings Identify obsolete or duplicate records Identify vital and permanent records Identify storage needs 10 5

6 Before the inventory begins Get senior management buy-in Identify and communicate the purpose of the inventory Identify liaisons from business and functional areas Identify technical liaisons 11 Before the inventory begins Determine the scope of the inventory Business units Physical locations Information types Systems Identify the team who will conduct the inventory 12 6

7 The inventory process 1. Identify all departments in the organisation 2. Scope and prioritise the inventory 3. Review departmental work processes 4. Review existing document management policies and procedures 13 The inventory process 5. Identify and review departmental document repositories i 6. Interview targeted personnel 7. Create a list of documents for the department 8. Review the contents of organisational repositories 14 7

8 The inventory process 9. Create log of all repositories in the organisation 10.Create final organisation-wide inventory 11.Create process for updating inventory 15 Information to gather in the inventory Source of the information Whether information exists in more than one format or rendition Media, file format, and software characteristics Physical and logical location(s) 16 8

9 Management-related information to gather Whether information is managed or not Whether records have been identified When information was created When information was updated 17 User information to gather Who creates or receives information Who uses or accesses it Including access controls How it is used Who manages it on an ongoing basis Who owns it 18 9

10 Agenda The records inventory Developing a classification scheme Developing a file plan Developing a retention schedule 19 Guidelines for classification schemes ISO MoReq2 DIRKS ISO

11 Organisation-wide development Develop and deliver the entire scheme all at once? OK for small or short projects For longer projects, the scheme could be out-of-date before it is delivered 21 Incremental development Develop scheme in phases Deliver scheme to organisation as they are completed Analyse, implement & train simultaneously Maintain the bits delivered while other bits are still being designed Experience has shown that this compromise is OK, & better than the alternative 22 11

12 Who should be involved? A mixed core team comprising: In-house I h records management staff with experience with classification schemes Externals with significant experience in the development of classification schemes & in ERM Plus users in relevant areas 23 Characteristics of a good scheme Ease of use is key characteristic of a good classification scheme Time taken to save & declare records Time taken to retrieve relevant records Users will resist a scheme that is difficult to use 24 12

13 Developing a classification scheme Identify stakeholders Gather feedback Define purpose Deploy scheme Determine approach Pilot scheme Collect information Develop scheme Identify stakeholders Project sponsor Business unit managers Records management IT department Identify stakeholders 26 13

14 2. Define the purpose of the scheme Classification for records management Classification for user access Job aid for browsing information Define purpose Determine the approach Based on purpose and scope Hierarchical vs. thesaurus Categories vs. levels Organisation-wide vs. incremental deployment Buy vs. build Determine approach 28 14

15 4. Collect information Information inventory Interview and survey notes from inventory Existing classification schemes Formal and informal Existing job aids and references Supplemental interviews Collect information Develop the scheme Start with the top level or most important areas Test to ensure that everything fits within those top levels Develop next level or set of areas Develop scheme 30 15

16 6. Pilot the scheme Select area to pilot the scheme Select users to pilot the scheme Deploy scheme to pilot users Have users use the scheme To classify records To retrieve records Set success and failure criteria Pilot scheme Deploy the scheme Once pilot is complete the scheme can be deployed d Create finding aids, references, and thesauri Create metadata templates and structures in related systems Automate those as much as possible Train users on the scheme Deploy scheme 32 16

17 8. Gather feedback Ask for feedback from users Gather and review statistics on usage What information is/is not being classified? What information needs to be reclassified? Who is classifying/using/accessing information? Determine any gaps that exist Start the cycle again Gather feedback 33 Agenda The records inventory Developing a classification scheme Developing a file plan Developing a retention schedule 34 17

18 Introduction to the file plan Describes document types for a particular work group Department Group of users with similar needs Often in spreadsheet format Bridges the gap between the department and the records retention schedule 35 Purpose of the file plan Places responsibility for managing departmental records in the department Enables personnel to manage departmental information in accordance with their particular needs Reduces the guesswork in determining What is and is not a record Which retention periods apply 36 18

19 File plan characterisitics Lists all the types of records a work group creates, uses, distributes, and/or maintains Uses familiar language Indicates where record types are stored and who is responsible States how long record types must be kept according to the RRS 37 How to develop the file plan Follow the same basic process as for developing the classification scheme Develop according to how users work Using their terminology The idea of a taskonomy 38 19

20 Agenda 5.1 The records inventory 5.2 Developing a classification scheme 5.3 Developing a file plan Developing a retention schedule 39 Retention schedule what it is A document that specifies how long an organisation must keep (retain) a record Retention periods are based on the regulations, legal statutes, and business needs related to the content of the document 40 20

21 Example retention schedule 41 Retention schedule format Often a database Can be exported as a database report Includes specific fields for retention-related metadata 42 21

22 Retention-related metadata Series identifier Title of series Owner and/or custodian of series Brief description of contents Vital record status and review periods Retention period Disposition instructions Legal citations 43 How to develop a retention schedule Follow basic classification scheme approach Conduct legal research to determine retention and disposition requirements Conduct operational research to determine business requirements Longest retention period generally wins Reviewed and approved by legal department 44 22

23 Summary In this module we covered: How to conduct a records inventory How to develop a classification structure How to develop a file plan and a retention schedule In the next module we will cover: Classifying records 45 23