INFORM webinar slide set, May 10th: Selecting an Enterprise Records Management (ERM) system enabling best practice records management

1. SELECTING AN ENTERPRISE
RECORDS MANAGEMENT SYSTEM
(ERM) ENABLING BEST PRACTICE
RECORDS MANAGEMENT
Part 2 - Enterprise Records Management
Best Practice Series
Kerry Gordon, Director
©2010 Hewlett-Packard Development Company, L.P.
The information contained herein is subject to change without notice

2. Agenda
• Introduction
• Enterprise Records Management (ERM) – what, why
• Scoping and implementing ERM systems

3. Key Themes
What are ERM best
practices? Influencing Factors
Key concepts
Making informed
choices about what
Scoping a project
you need from your
ERM

4. Why Do Recordkeepers Classify?
AUTHENTICITY

5. Why Do Recordkeepers Classify?
AUTHENTICITY SYSTEMIZATION

6. Why Do Recordkeepers Classify?
AUTHENTICITY SYSTEMIZATION
USABILITY

7. Why Do Recordkeepers Classify?
AUTHENTICITY SYSTEMIZATION
USABILITY RELATIONSHIPS

8. What are ERM Influencing
ERM best practice: Key concepts
best practices?
Key concepts factors
Making informed
choices about Scoping a
what you need project
from your ERM
Authenticity, systemisation, usability and relationships
– Means maintaining the structure of the authoritative record
and the relationship between the related elements
(metadata)
– Records are evidence of business activities and their
contextual links to a business process must be preserved

9. What are ERM Influencing
Best Practices Case Study
best practices?
Key concepts factors
Content and metadata
Making informed
choices about Scoping a
what you need project
from your ERM

10. What are ERM Influencing
ERM systems must preserve context
best practices?
Key concepts factors
Making informed
choices about Scoping a
what you need project
from your ERM
– Linking records to context
– Ensuring that the sender and receiver are documented
– Versions are managed, so we only rely on the most current
and final
– Only those people authorized can see or change it
– Can trace back all actions that happened to the record to
be able to assert its authenticity

11. What are ERM Influencing
Best Practices Case Study
best practices?
Key concepts factors
Recordkeeping in the private sector
Making informed
choices about Scoping a
what you need project
from your ERM

12. What are ERM Influencing
Influencing factors affecting
best practices?
Key concepts factors
technology choices
Making informed
choices about Scoping a
what you need project
from your ERM
– Records and metadata in ERM systems will outlive
applications, formats and storage media
– Administrative change is continuous
– Technology changes - along with user expectations
– Interoperability and collaboration with systems, suppliers,
customers and stakeholders.
– Skill sets and dissonance of expectation
– Not just content

13. What are ERM Influencing
Influencing Factors Case Study
best practices?
Key concepts factors
Increase in interoperability
Making informed
choices about Scoping a
what you need project
from your ERM
The effectiveness of our records
management systems are being
influenced by stakeholders external
to our organisations - suppliers,
clients and partners

14. What are ERM Influencing
Influencing Factors Case Study
best practices?
Key concepts factors
Technology
Making informed
choices about Scoping a
what you need project
from your ERM
Technology can deliver amazing
efficiencies – but is it the right fit for
your organisation’s mission,
strategic objectives and clients?

15. What are ERM Influencing
Making informed choices
best practices?
Key concepts factors
Making informed
choices about Scoping a
what you need project
from your ERM
– Not just the records manager or ICT manager
– What type of systems are you running?
• Document/content/line of business
• Are your recordkeeping systems mainly content or do you
have a big business systems?
– What type of regulatory environment do you
operate in?
• How big and complex are you?
• Are all your operations big and complex?
– Are you paper/hybrid/digital
• Where will you be in 3-5 years?

16. What are ERM Influencing
Making informed choices
best practices?
Key concepts factors
Making informed
choices about Scoping a
Classification Capacities
what you need project
from your ERM
Records User
Classification Classification

17. What are ERM Influencing
Making informed choices
best practices?
Key concepts factors
Making informed
choices about Scoping a
Recordkeeping Classification
what you need project
from your ERM
Documentary
Record Types
Forms
Metadata
Workflow
attribute
Classification/ Data sets
File Plans Records structures

18. What are ERM Influencing
Making informed choices
best practices?
Key concepts factors
Making informed
choices about Scoping a
User Classification
what you need project
from your ERM
Tag Clouds
Prompted
Facets
searches
Personalisation
Folksonomies User and “My
Playlist”

19. What are ERM Influencing
Making informed choices
best practices?
Key concepts factors
Making informed
choices about Scoping a
Agents, Use and Tracking
what you need project
from your ERM
Access requirements and restrictions are modelled across all
your user permissions
– Capacity to link to business analysis
– Inherit and passed from other systems and between systems
– Roles as well as names
– Suitable to their aggregation – items, containers
– Managed not ad hoc

20. What are ERM Influencing
Making informed choices
best practices?
Key concepts factors
Making informed
choices about Scoping a
Disposal
what you need project
from your ERM
ERM systems must support Case Study : migrating
records disposal processes records between systems
and policies of an – Failure to manage
organisation electronic records for the
– The rules full term of life
– Processing the rules – 50 million superannuation
– Authorising the rules records not properly
transferred
– Inability to link to
individual’s case records

21. What are ERM Influencing
Making informed choices
best practices?
Key concepts factors
Making informed
choices about Scoping a
Metadata
what you need project
from your ERM
– In a digital world these features are driven by metadata
– ERM systems must being able to manage best practice
metadata for as long as it is needed, or have the capacity
to transfer it when it is not longer needed

22. What are ERM Influencing
Scoping a project
best practices?
Key concepts factors
Making informed
choices about Scoping a
what you need project
from your ERM
So before you select an ERM you need to scope and
determine:
– Drivers for change
– Your recordkeeping strategy
– External pressures on your system
– Business goals
– Operational demands

23. What are ERM Influencing
Scoping a project
best practices?
Key concepts factors
Making informed
choices about Scoping a
What’s the problem to be solved?
what you need project
from your ERM
Internal pressure: Business challenges:
• risk Operational demands:
• staff costs
• compliance • business continuity
• training • legal • customer service
• IT costs
• mergers, acquisitions
• infrastructure costs
External pressure:
Leveraging assets:
• money
• competition
• staff
Data, Information, Records • information
• economy
• shareholders
• infrastructure
Business Goals:
• growth
• service
• costs
• profitability
• competitiveness
Information
Governance ERM Selection
Strategy
Relieve Pressure & Grow

24. What are ERM Influencing
Scoping a project
best practices?
Key concepts factors
Making informed
choices about Scoping a
What are the pressures?
what you need project
from your ERM
money budgets
Internal pressures
External Pressures
competition staff costs
economy opportunity costs
shareholders infrastructure
clients costs

25. What are ERM Influencing
Scoping a project
best practices?
Key concepts factors
Making informed
choices about Scoping a
what you need project
from your ERM
Operational
Business Challenges
Demands
SWOT
Leveraging existing
Business Goals
assets

26. Summary
Selecting an ERM system which enables best practice records
management can:
– Improve productivity and drive business efficiencies (not just
meet your compliance activities)
– Can deliver methods for accessing information across all
your stakeholders – staff, clients, suppliers and partners
– Overcome storage and access constraints of the physical
world

27. Summary
To support best practice it must have the following
functionality:
– Contextual links via classification and agents
– Capacity to link recordkeeping controls
– Capacity to store and preserve the digital objects and their
contextual metadata across changing systems
– Capacity to manage access and security – within and
external to organisational boundaries

28. QUESTIONS? • Contact Details
Kerry Gordon
Director,
Recordkeeping Innovation
k.gordon@records.com.au
www.records.com.au