Building upon the AIIM MN chapters lecture series regarding PDF/A standards, this presentation introduces the topic of Records Management Best Practices to support an organizations adoption of the new PDF standards for preserving their vital electronic documents.

1. Preserving Electronic RecordsRecords Management Best Practices Graham Riley AIIM MN Chapter January 26th, 2009 ©2007 Iron Mountain Incorporated. All rights reserved. Iron Mountain and the design of the mountain are registered trademarks of Iron Mountain Incorporated.

3. Successful preservation strategy implementations depends upon:

4. Records management policies and procedures

5. Additional requirements and conditions

8. Implementing a compliant archival system

9. Why are we doing it?

10. Compliance

11. Cost

12. Provide value in the future

13. How are we doing it?

14. The role of the emerging PDF standards

15. PDF/A implementation support considerations

17. The information maintained and stored by the archival system provides a legally viable digital representation of any form of media i.e. photographs, video, sound recordings, letters, documents, electronic records, etc.

19. Technology For Storing Archival Records

21. Legislation

22. Litigation support

23. Cost

24. Technology

25. Support services

26. Provide “value” for future generations

28. The Regulatory Environment

29. Exponential Growth In Electronic Documents Gartner Inc. The current explosion of data is outpacing the decline in storage prices, even before the resource costs for maintaining data are taken into account.

31. Current management of electronic records

32. Electronic record locations

36. Electronic Record Locations Email Backup Images Media Management IT Application Documents Awaiting Conversion To Electronic Documents Converted To Electronic Digital Management Records Management System “Outside” Your Enterprise “Inside” Your Enterprise

37. What Are We Doing Again? Email Backup Images Filter Electronic Record Archival System

39. Where do we need to be?

40. How do we get there?

41. How do we measure progress?

43. Executive sponsor

44. Dedicated archival implementation team

45. Steering committee

46. Roles & responsibilities

47. Governance level

48. Implementation level

49. Administration level

50. Determine program scope

51. Enterprise

52. Business Unit

53. Department

55. Alternatively... Public Internal Archive Confidential Restricted

57. Why it is important?

58. Ability to describe the benefits for the:

59. Enterprise

60. Business Unit

61. Department

62. User

63. Who is doing what & when?

66. Retention

67. Policies & Procedures

68. Indexing & Accessing

69. Disposal

70. Audit Compliance & Accountability

71. Foundation of the assessment process

72. Repeatable

73. Target audience

76. Management

77. Measurement

78. Enforcement

79. Assess functional & technical requirements:

80. Record classification

81. Search capability

82. Record retention

83. Reporting capability

84. Administration & security

85. Application integration

87. Current situation

88. Desired situation

89. Service

90. Current situation

91. Desired situation

92. Compliance

93. Current situation

94. Desired situation

95. Technology

96. Requirements specification

98. Record, data & information repositories

99. Create records classification scheme

100. Identify & define record types

101. Identify recordkeeping requirements

103. Are compliant with specific regulations

104. Demonstrate good faith efforts

105. Provide management accountability

106. Facilitate employee adoption

108. Design & roll-out training by audience

109. Phased approach EXCEPT the records requiring ARCHIVING

110. First implement comprehensive “base” program

111. Then implement best opportunities for “win”

112. Tailor umbrella company policy & procedures for each application

113. Prioritize by risk & business value

114. Securely destroy ALL eligible inventory

115. Consolidate inventory

117. Newsletter, Intranet, Open House

118. Presenting Solutions

119. Prioritize solution aligned with your audiences key issues

120. Tie features & benefits to the audiences needs

121. Use your audiences language, so avoid jargon, abbreviations & acronyms

122. Summarize how your audience will benefit

123. Seek employee feedback

124. What is it?

125. Why is it important to me?

126. What are the benefits of doing it?

128. Enforce classification & destruction review via reports & safeguards

129. PDF compliant storage of Archival records

130. Maintain training, communications & certification programs

131. Update retention schedule, policies & procedures

132. Plan & budget for program maintenance, enforcement, audit & enhancement

134. Authorized user lists updated

135. Inventory repositories consolidated

136. Practices & procedures regularly updated and are taught at new hire / orientation

137. End user departments report improved SLA’s

139. Review all key components annually (longer for the Archival System)

140. Recommend improvements

141. Decide on corrective actions

142. Benchmark against audit metrics

143. Benchmark against industry “Best Practices”

145. Retention Schedule accuracy?

146. Record classification accuracy & completeness?

147. Are archival records being stored in a PDF compliant format?

148. User, department & business unit compliance?

149. Destruction “Hold” administration?

151. DO adopt a practical implementation strategy based on “Best Practices”

152. DO leverage technology as component of an archival program i.e. the PDF standards

153. DO consider the outsourcing option for long-term storage. Items invoiced monthly tend to get questioned!

154. DON’T bite off too much

155. DON’T over-engineer or over-complicate

157. One-Stop-Shop Electronic Archival Solution

158. Next Steps: Your Response………… “Provide the Enterprise with the ability to securely preserve and manage ALL electronic records requiring long term archival per the company’s records management policy in a cost effective & compliant manner.”

159. For additional information…Graham RileyGraham.Riley@ironmountain.com612.490.0228 ©2007 Iron Mountain Incorporated. All rights reserved. Iron Mountain and the design of the mountain are registered trademarks of Iron Mountain Incorporated.