Using the principles to guide EDRM software decisions.

• Author: Gable, Julie
• Position: THE PRINCIPLES - Electronic document and records management

The Generally Accepted Recordkeeping Principles[R] provide the framework an organization can use to determine the functionality an electronic document and records management (EDRM) system must have to ensure information integrity, availability, protection, retention, and disposition. Successfully implementing an EDRM, though, is dependent on the organization's ability to provide the specific information needed for the EDRM to automate information governance policies, procedures, and processes--such as the appropriate classification scheme and properties for various types of metadata

At some point in their careers, most information governance (IG) professionals will confront the need to acquire software as a way to control their organizations' electronic records. Whether the situation calls for buying a new system or replacing an older one, nothing tests the IG program more than software acquisition and implementation.

A Decision Framework

The Generally Accepted Recordkeeping Principles[R] (Principles) are a framework for the kind of functionality that software should provide. Those who have never worked with software that's designed to manage electronic assets may not realize the interplay between the level of functionality desired from a product and the degree of IG program maturity required to implement it.

Generally speaking, sophisticated software capabilities require higher levels of IG maturity in certain areas, and the Information Governance Maturity Model (Maturity Model) can help in assessing readiness. Even in an organization with a level 3 (Essential) maturity, additional work may be necessary to accomplish the degree of IG automation sought.

Embarking on the software journey requires thoughtful research in several areas:

* What IG objectives will the software help meet? Or, alternatively, what IG gaps will the software help close?

* What functionality does the software offer?

* What functionality is expected?

* Is the current IG program mature enough to provide the elements for implementation success?

IG Objectives

Although improved compliance, transparency, and accountability are often the byproducts of successful document management projects, they are not in themselves the main reasons to invest in technology.

External drivers are usually regulation, vulnerability to litigation, and the need to show the outside world there is an expectation of adherence to internal policies. This is often the case following a compliance or litigation failure.

A regulatory audit that resembles a scavenger hunt, with multiple versions of requested documents clouding the proceedings, usually results in unsatisfactory findings. Inadequate response to a legal discovery request, complete with headlines and sanctions, isn't anyone's idea of good information management practices.

Beyond these extremes, both internal and external forces define the reasons for acquiring software. The major internal driver is better productivity through enhanced information utility, as assets become easier to create, revise, find, and manage.

Controlled document repositories are appealing in industries such as pharmaceuticals where documentation is central to research, product development, and regulatory approval. Industries that rely on infrastructure history, such as gas, oil, and water utilities, also invest in software as a way to ensure...