What is so difficult about electronic records management anyway? · 2010. 10. 2. · Title: What is...
Transcript of 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
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What is so difficult about
electronic records management anyway?
Marc Fresko
Inforesight LimitedArhivele electronice si administratia publica
Bucureşti, 04 octombrie 2010
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◢ Context
◢ Kinds of records
◢ The right technology
◢ It’s not just technology
◢ Change is not immediate
◢ Records last longer than systems
◢ Conclusions
Agenda
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ 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
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◢ 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
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ 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
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◢ Context
◢ Kinds of records
◢ The right technology
◢ It’s not just technology
◢ Change is not immediate
◢ Records last longer than systems
◢ Conclusions
Agenda
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ 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
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◢ 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
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ 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
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◢ Physical:
◤ Paper, microfilm, removable digital media, physical samples
◢ Electronic:
◤ Stored and managed as digital objects using computers
◤ See next slide…
Electronic, physical
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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Many different electronic formats
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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
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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Records managed by ERM systems
Case Records
Non- Case Records
Unstructured Records
Records typically managed by ERM systems
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◢ Application software designed specifically to manage
electronic records:
ERM Systems
◤ Especially unstructured
◤ Mainly non-case
◤ Also some physical
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ Context
◢ Kinds of records
◢ The right technology
◢ It’s not just technology
◢ Change is not immediate
◢ Records last longer than systems
◢ Conclusions
Agenda
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It’s not just technology
PeopleProcesses
Technology
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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It’s not just technology
PeopleProcesses
Technology
(SOFTWARE)
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Operating system?
Specialised ERM software?
The right technology
SharePoint?
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ This presentation applies to all three – operating
system, SharePoint and ERM software
◢ The “technology” section applies only to ERM software
The right technology
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◢ Question:
◤ What should a good electronic records management
system be able to do?
◢ Answer:
◤ See a good standard specification
The right technology
ASOCIAŢIA DE STANDARDIZARE DIN ROMÂNIA
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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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
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ERM system standards: international and up to date
ICA Specification MoReq2
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ ICA Specification
◤ International Council on Archives
◤ Global
◢ MoReq2
◤ DLM Forum
◤ European – but used worldwide
◤ Follows MoReq
ICA Specification and MoReq2
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◢ ICA Specification
◤ Imprecise
◤ High level
◢ MoReq2
◤ Precise
◤ Detailed
◤ Long
ICA Specification and MoReq2
◤ Not testable
◤ Very popular with users
◤ Testable
◤ Very unpopular with vendors
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ 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
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◢ Widely translated
◤ French
◤ Czech
◤ Hungarian
◤ Russian
◤ Slovenian
◤ Romanian
◢ Many other translation projects started
MoReq2
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ Use MoReq2, ICA Requirements or some similar
specification as a basis to define your requirements
The right technology…
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There is more technology
ERM
System
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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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
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◢ Context
◢ Kinds of records
◢ The right technology
◢ It’s not just technology
◢ Change is not immediate
◢ Records last longer than systems
◢ Conclusions
Agenda
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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It’s not just technology
PeopleProcesses
Technology
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Processes
Technology
It’s not just technology
People
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ Implementing electronic records management is NOT
a technology project –
it’s a culture change project with a little technology
An ERM project
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◢ 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?
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ 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 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!
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◢ 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 do users say?
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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Technology
It’s not just technology
PeopleProcesses
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◢ 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
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ 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 Who will
develop?
Which
processes?
Who will be boss?
Who will
control?
Who will
control?
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◢ 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
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ Governance regime
◤ For records
◤ For instruments
Business process changes
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◢ Implementing electronic records management is NOT
a technology project –
it’s a culture change project with a little technology
An ERM project
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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There is 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
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There is more Change than technology
����
With thanks to Liz McLachlan, 2001
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ Context
◢ Kinds of records
◢ The right technology
◢ It’s not just technology
◢ Change is not immediate
◢ Records last longer than systems
◢ Conclusions
Agenda
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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
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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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
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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
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ Context
◢ Kinds of records
◢ The right technology
◢ It’s not just technology
◢ Change is not immediate
◢ Records last longer than systems
◢ Conclusions
Agenda
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◢ So, you will need to transfer them –
◤ To archives
◤ To upgraded systems
Records have long lifetimes
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ Digital signatures
◢ Audit trails
◢ Context
◢ Metadata models
◢ Security and access
◢ DRM (Digital Rights Management)
Transfer difficulties include
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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
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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Records transfer standard needed
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MoReq2 xml schema
MoReq2010 should have a new
schema
DLM Forum may develop a standard
Records transfer standards
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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… so how will you read them in the future?
Records have long lifetimes…
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Many different electronic formats
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ Context
◢ Kinds of records
◢ The right technology
◢ It’s not just technology
◢ Change is not immediate
◢ Records last longer than systems
◢ Conclusions
Agenda
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◢ Electronic records management (ERM) is unavoidable
◢ ERM projects are difficult
◤ Some fail
◤ Some succeed
Conclusions – 1 of 2
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
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◢ 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
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Marc Fresko
Inforesight Limited
http://inforesight.co.uk
Questions?