From Standards to Implementation

Transcription

1 From Standards to Implementation Electronic records policy: progress and challenges Facilitator: Philip Bantin

2 Electronic Records Policies - Survey Results 3 of the 13 CIC institutions have an approved Electronic Records Policy 4 more institutions have an Electronic Records Policy drafted but not officially approved 6 institutions have no Electronic Records Policy approved or drafted

3 Questions on Strategies for Creating and Gaining Approval for a Policy on Electronic Records Management Is it necessary to have a policy in place that specifically addresses electronic records to successfully manage electronic records? Is it enough to have a records management policy in place that acknowledges the multiple formats of records?

4 Questions on Strategies for Creating and Gaining Approval for a Policy on Electronic Records Management What are the biggest hurdles or challenges to constructing and gaining approval for an electronic records policy? For those of you who have created an electronic records policy, what words of advice do you have for the rest of us? What are some factors in successful implementation?

5 Discussion Question What are the hot button, critical issues that are driving or could be used to promote the creation of electronic records management policies and procedures?

6 Retention and Disposal How important are the issues of retention and disposal of electronic records on your campus? Is retention one of the key issues driving the efforts to create electronic record polices and to provide better life cycle management of electronic records on your campus?

7 Preservation How important is the issue of long-term preservation of records on your campus? Is preservation one of the key issues driving the efforts to create electronic record policies and to provide better life cycle management of electronic records on your campus?

8 Security and Access We all know security and regulating and controlling access to records are important issues on campuses. But are security issues resulting in a greater concern for developing better electronic record policies and procedures?

9 E-Discovery Policies Survey Results Only 2 of the 13 CIC institutions currently have a policy that addresses electronic discovery 3 other institutions are developing policy and procedures that deal with e- discovery requests 8 institutions have no e-discovery policy

10 E-Discovery and Legal Issues How important are e-discovery, compliance and legal issues as they relate to records on your campus? Are legal issues one of the key issues driving the efforts to create e-r policies and to provide better life cycle management of electronic records on your campus?

11 Policies on the Management of Desktop Applications Survey Results Only 3 CIC institutions have developed policies to manage and preserve records produced by desktop applications

12 Questions on Policies Relating to Different Systems and Applications How important is it to have different policies relating to specific systems or applications such as , desktop applications, content/document management systems, and transaction processing system? And why is it important or not important to do so? In developing policies for the management of the records produced by these systems, which applications have the highest priority on your campus and why?

13 Use of the CIC Electronic Records Standard Survey Results Only 5 of the 13 based their policy on the CIC-UAG electronic records policy standards document

14 Question Related to the CIC Standards Document For those of you who were not involved in the creating the CIC standards document, what is your opinion of the document? Does it address all the important issues? How could it be improved? Is it a document that speaks to all the professionals involved in managing records IT and audit as well as archivists and records managers? What are the elements of a good electronic records policy?

15 Policy - Wrap Up What have we learned? What new questions do we have? Are there any next steps we can recommend?