what is so difficult about electronic records management anyway? · 2010. 10. 2. · title: what is...

What is so difficult about electronic records management anyway?

Bucureşti, 04 octombrie 2010

Copyright © Inforesight Limited 2010

Copyright © Inforesight Ltd 20090

1

What is so difficult about

electronic records management anyway?

Marc Fresko

Inforesight LimitedArhivele electronice si administratia publica



2

◢ Context

◢ Kinds of records

◢ The right technology

◢ It’s not just technology

◢ Change is not immediate

◢ Records last longer than systems

◢ Conclusions

Agenda





3

◢ Specialist management consultant

◤ Information Management, Electronic Records Management

◢ 25 years experience

◢ MoReq, MoReq2 principal author

Context: 1

MoReq2MoReq

ERMOffice

Automation EDMImaging ECM

1985 1990 1995 2000 2005 2010


4

◢ We work in a time of electronic records

◢ Electronic records are becoming more and more

important

◢ Electronic records are increasing in volume

enormously

◢ Almost all our records are “born electronic”

◢ There is an overwhelming need for electronic

records management (ERM)

Context: 2





5

◢ In the United Kingdom, we have seen hundreds of

ERM system projects

◢ Many have succeeded

◢ Many have failed

ERM projects can succeed, but they are difficult

Context: 3


6

◢ Context






◢ Conclusions

Agenda





7

◢ There are many kinds of records

◤ Structured, unstructured

◤ Case file, non-case file

◤ Created by staff, created by systems, received from outside

◤ Electronic, physical

◤ Many different electronic formats

◢ Records management has to manage all of these

Kinds of records


8

◢ Structured records are:

◤ Are stored as data in databases

◤ Have a predictable internal structure for content

◤ Are used mainly by computer applications, e.g. payroll

◢ Unstructured records are:

◤ Stored anywhere

◤ Have no predictable structure for content

◤ Are used mainly by human beings. Examples: images, text

Structured, unstructured





9

◢ Case files and non-case files contain records

◢ Case files:◤ Have consistent internal structure

◤ Result from predictable high-volume business processes

◤ E.g.: licence applications; complaints; insurance claims

◢ Non-case files:◤ Have no consistent internal structure

◤ Result from unpredictable business processes

◤ E.g.: policy development files, meeting minutes, client correspondence

Case file, non-case file


10

◢ Physical:

◤ Paper, microfilm, removable digital media, physical samples

◢ Electronic:

◤ Stored and managed as digital objects using computers

◤ See next slide…

Electronic, physical





11

Many different electronic formats


12

Records managed by ERM systems

Case Records

Non- Case Records

Structured Records Unstructured Records

All this is in scope of ERM as a discipline

Records typically managed by ERM systems

Records managed in business applications





13

Records managed by ERM systems

Case Records

Non- Case Records

Unstructured Records

Records typically managed by ERM systems


14

◢ Application software designed specifically to manage

electronic records:

ERM Systems

◤ Especially unstructured

◤ Mainly non-case

◤ Also some physical





15

◢ Context






◢ Conclusions

Agenda


16

It’s not just technology

PeopleProcesses

Technology





17


PeopleProcesses

Technology

(SOFTWARE)


18

Operating system?

Specialised ERM software?

The right technology

SharePoint?





19

◢ This presentation applies to all three – operating

system, SharePoint and ERM software

◢ The “technology” section applies only to ERM software



20

◢ Question:

◤ What should a good electronic records management

system be able to do?

◢ Answer:

◤ See a good standard specification


ASOCIAŢIA DE STANDARDIZARE DIN ROMÂNIA





21

ERM system standards

Nederlandse norm

NEN 2082(nl)

Eisen voor functionaliteit van informatie- enarchiefmanagement in programmatuur

Requirements for records management functionality in software

Nederlandse norm

NEN 2082(nl)

Eisen voor functionaliteit van informatie- enarchiefmanagement in programmatuur

Requirements for records management functionality in software


22

ERM system standards: international and up to date

ICA Specification MoReq2





23

◢ ICA Specification

◤ International Council on Archives

◤ Global

◢ MoReq2

◤ DLM Forum

◤ European – but used worldwide

◤ Follows MoReq

ICA Specification and MoReq2


24

◢ ICA Specification

◤ Imprecise

◤ High level

◢ MoReq2

◤ Precise

◤ Detailed

◤ Long

ICA Specification and MoReq2

◤ Not testable

◤ Very popular with users

◤ Testable

◤ Very unpopular with vendors





25

◢ A “model” – or standard – specification of functionality

for ERM systems

◢ MoReq2 contains

◤ Capturing records

◤ Organising records

◤ Providing context

◤ Searching for records

◤ Administering the system

MoReq2

◤ Metadata model

◤ xml schema

◤ Test data framework

… and more


26

◢ Widely translated

◤ French

◤ Czech

◤ Hungarian

◤ Russian

◤ Slovenian

◤ Romanian

◢ Many other translation projects started

MoReq2





27

◢ Use MoReq2, ICA Requirements or some similar

specification as a basis to define your requirements

The right technology…


28

There is more technology

ERM

System





29

There is more technology

ERM

System

MS Desktop suiteBusiness

Applications

Intranet

Internet

External email

Others

Network

External materials

Scanned docs

Nat.Arch.

OfficeSystems

With thanks to Liz McLachlan, 2001


30

◢ Context






◢ Conclusions

Agenda





31


PeopleProcesses

Technology


32

Processes

Technology


People





33

◢ Implementing electronic records management is NOT

a technology project –

it’s a culture change project with a little technology

An ERM project


34

◢ Use electronic records more than paper records

◢ Store them in an organisational “classification scheme”

◢ Share records automatically

◢ Apply metadata

◢ Recognise the organisation “owns” the records

◢ Don’t file paper copies

… and more

What changes are needed from users?





35




◢ Apply metadata



… and more

What do users say?I like paper!

I want my own!

No!

I have better things to do!

But we have

to keep

paper copies!

I need to decide what

happens to them!


36




◢ Apply metadata



… and more

What do users say?





37

Technology


PeopleProcesses


38

◢ Policies for use of the system

◢ Changes to records filing procedures

◢ Supporting users

◢ Maintaining key “instruments” (e.g. filing plan)

◢ Maintaining security model

◢ … and more

Business process changes





39






◢ … and more

Business process changes Who will

develop?

Which

processes?

Who will be boss?

Who will

control?

Who will

control?


40






◢ … and more






41

◢ Governance regime

◤ For records

◤ For instruments



42

◢ Implementing electronic records management is NOT

a technology project –

it’s a culture change project with a little technology

An ERM project





43

There is technology

ERM

System

MS Desktop suiteBusiness

Applications

Intranet

Internet

External email

Others

Network

External materials

Scanned docs

Nat.Arch.

OfficeSystems



44

There is more Change than technology

��






45

◢ Context






◢ Conclusions

Agenda


46

Case study 1: Government ministry

◢ About 3,000 users

◢ Early adopter

◢ Expensive system

◢ Low system usage

◢ After two years, major review and amendments

◢ System usage increased greatly

Change is not immediate





47

Case study 2: Government agency

◢ About 150 users

◢ Early adopter

◢ Major review after a few years

◢ Huge increase in usage

Change is not immediate

Review


48

1. Define your expected benefits

2. Measure your actual benefits

3. Expect corrective actions will be needed

4. Allow enough resources

◤ At first

◤ For corrective actions

◤ For ongoing monitoring and support

Lessons





49

◢ Context






◢ Conclusions

Agenda


50

◢ So, you will need to transfer them –

◤ To archives

◤ To upgraded systems

Records have long lifetimes





51

◢ Digital signatures

◢ Audit trails

◢ Context

◢ Metadata models

◢ Security and access

◢ DRM (Digital Rights Management)

Transfer difficulties include


52

Case study 3: Government ministry

◢ Large, successful system

◢ System operated by “outsourcing” company

◢ Needed to major software upgrade

◢ Outsourcing company first quoted over 20 million €

Records have long lifetimes





53

Records transfer standard needed


54

MoReq2 xml schema

MoReq2010 should have a new

schema

DLM Forum may develop a standard

Records transfer standards





55

… so how will you read them in the future?

Records have long lifetimes…


56

Many different electronic formats





57

◢ Context






◢ Conclusions

Agenda


58

◢ Electronic records management (ERM) is unavoidable

◢ ERM projects are difficult

◤ Some fail

◤ Some succeed

Conclusions – 1 of 2





59

◢ There are real challenges to implement ERM systems

◤ Technology, people, processes

◤ Long lifetimes of records

◢ The ERM challenges have been overcome

◤ There are many case studies of successes

◢ Learn from these case studies

◤ Repeat their successes, not the mistakes of others

Conclusions – 2 of 2


60

Marc Fresko

Inforesight Limited

http://inforesight.co.uk

Questions?

what is so difficult about electronic records management anyway? · 2010. 10. 2. · title: what is...

Documents