SharePoint is a natural solution for Document and Records Management (EDRM) and many organizations are using for that. Some have experience with EDRM applications such as Documentum and TRIM to name a few. Generally these organizations have some level of EDRM maturity and utilize organization policy (Data and Security) to manage. But, some don’t have organizational and data management disciplines in place. As a consequence they are not able to:
- Leverage EDRM for Strategy, including effective conduct of business through informed decision-making; performance management; productivity improvement; consistency, continuity and quality assurance in management and operations.
- Operations, including responsive and accurate service delivery, resource management and cost control.
- Regulatory compliance, and legal protection and support.
- Accountability, corporate governance, financial and practice audits.
- Risk management, including security, reputation management, business continuity planning and implementation.
- Ethics, including openness, trust and meeting expectations of external stakeholders.
- Corporate memory, including innovation through capture and reuse of organizational knowledge, and use of strategic knowledge to support business.
Whether you chose to utilize pure play EDRM tools (e.g. Documentum, Trim). integrate your existing EDRM with SharePoint, use SharePoint as your EDRM (Document and or Records Center) or add a third-party add-on (Gimmal), the standards listed below will provide you with organizational and technology direction.
The following recordkeeping standards are published by the International Standards Organization (ISO) will help either organization. They outline guiding principles and organizational requirements for effective records management, and set specifications for electronic recordkeeping.
Why standards? Standards promote:
- Identification of responsibilities for records creation and control.
- Adoption of computerised and automated means of creating and managing records.
- Integration of records creation and control with business processes.
- Incorporation of records into organizations’ information framework to enhance their value and encourage their use.
- Retention for as long as the records are needed and timely destruction in accordance with legal requirements and society’s expectations.
ISO 15489 – Information and Documentation – Records Management
Aimed primarily at records professionals, this standard sets out guiding principles and requirements for managing records regardless of media format. Since publication in 2001, it has provided the baseline for all other records standards and guidelines.
- ISO 15489-1:2001 – Part 1: General
- ISO 15489-2:2001 – Part 2: Guidelines
ISO 30300 Series – Management Systems for Records
The ISO 30300 series was developed primarily for a management audience. In this standard, “Management Systems” does not mean information systems. It refers to a framework of policies and processes in an organization, designed to achieve defined objectives. ISO Management System Standards “provide tools for top management to implement a systematic and verifiable approach to organizational control in an environment that encourages good business practices.”
- ISO 30300:2011 – Management Systems for Records – Fundamentals and vocabulary
- ISO 30301:2011 – Management Systems for Records – Requirements The standard is designed to assist government and private organizations of all types in implementing and operating an effective management system for records (MSR). This is done by establishing a policy and objectives based on the organization’s requirements, and putting in place the necessary controls and processes.
Standards for Managing Electronic Records
The two standards below (ISO 16175 and MoReq2010) set out ‘functional requirements’ for electronic recordkeeping: they specify how electronic systems supporting business processes should operate to create, manage and ensure the integrity and accessibility of records as long as required. Specifications of this kind have been in use in many jurisdictions for over a decade, and this international knowledge and experience was brought to the development of ISO 16175 and MoReq2010. The two standards are consistent and complementary.
ISO 16175 – Information and Documentation – Principles and functional requirements for records in electronic office environments
ISO 16175 is intended to provide “core, high-level and generic” specifications that can be used in any jurisdiction. It provides a helpful narrative explanation of the principles and requirements, and discusses organizational requirements and approaches for implementation. The guidelines and functional requirements are divided into two parts: one for ‘digital records management systems’ (products whose primary function is records management – often called ‘electronic records management systems’ or ‘enterprise content management systems’); and another for ‘business systems’ (systems that automate structured business processes and transactions).
- ISO 16175-1:2010 – Part 1: Overview and statement of principles
- ISO 16175-2:2011 – Part 2: Guidelines and functional requirements for digital records management systems
- ISO 16175-3:2010 – Part 3: Guidelines and functional requirements for records in business systems ISO 16175 is limited to core specifications, and it refers readers who require additional specifications to more detailed standards such as MoReq2010.
MoReq2010 – Modular Requirements for Records Systems (June 2011)
This is the most recent and extensive set of functional requirements for electronic recordkeeping. Developed and managed by the DLM Forum, a not-for-profit foundation sponsored by the European Commission, MoReq2010 builds on internationally recognized standards such as ISO 15489 and ISO 16175, and its precursor MoReq2.
MoReq2010 uses a flexible, modular approach designed to support a wide range of organizations and applications. It provides a set of common core services that can be shared by different records systems, and additional modules that can be added to meet specific needs (eg, records of specialized business processes). It also contains non-functional requirements for different kinds of records systems, and an XML schema for exporting records from one system to another to enable long-term preservation. 3
MoReq2010 “provides an easy to read narrative combined with precisely defined functional and non-functional requirements and a fully worked information model that caters to…the educational needs of the beginner, the professional needs of the seasoned records management practitioner, as well as the exacting blueprint required by the engineers, suppliers and test centers that are developing MoReq2010 compliant solutions and bringing them to market.”
Victorian Electronic Records Strategy (VERS)
The Victorian Electronic Records Strategy (VERS) is designed to assist agencies in managing their electronic records. The strategy focuses on the data or information contained in electronic records, rather than the systems that are used to produce them.
VERS was developed with the assistance of CSIRO, Ernst & Young, the Department of Infrastructure, and records managers across government. The recommendations included in the VERS Final Report1 issued in March 1999 provide a framework for the management of electronic records.
Under various provisions of the Public Records Act 1973, Public Record Office Victoria and agencies share responsibility for the management of records in all formats and, where appropriate, their long-term preservation. In order to assist agencies to meet their responsibilities under the Public Records Act, Public Record Office Victoria publishes Standards for the management of public records2. These include Standards for the creation and maintenance, management, destruction and transfer of public records. They apply equally to records in all formats, including electronic records.
Want to know how your Records Management stacks up against best practice? There is a checklist available from the Australian Archives site that will help you determine how your doing. “The survey developed by the National Archives of Australia to help Australian Government agencies gauge their digital information management maturity and set clear direction for improved digital practices.”