electronic records and system development -course notes- assoc. prof. dr. Özgür kÜlcÜ

Electronic Records and System

Development

-Course Notes-

Assoc. Prof. Dr. Özgür KÜLCÜ

At the beginning• Records are authentic and reliable sources of information that

enable internal and external communication and that manifest where, when, by whom and how a certain activity is carried out within the institution

• To realize these aims records managment systems should be designed to appropriate for the institutional needs, that are based on the analyses to be conducted and that may be integrated into the international evrironment

• Another significant issue is transferring of services into the electronic environment in parallel with swiftly developing communication and information technologies

• These conditions today lead many studies to focus on improving e-government applications and electronic information services

At the beginning

Importance of e-records…• In more recent times, many fields of the service sector have been

transferred into the electronic environment and e-government applications have become widespread in order to increase the speed and improve the efficiency of public services, and to accelerate the communication between the government and citizen.

• On the other hand a significant number of institutions in Turkey similar to international examples, experience the problems in terms of developing an e-records management program in accordance with their needs.

• Under the circumstance, a great number of the institutions experience the problems, such as bureaucratic slowdown and problems related to access to the records.

At the beginning

Overwhelmed by Records?

Records Management can Help!

Objectives

• Understand the legal requirements for records

• Use the General Records Retention Schedule

• Learn how to maximize space by transferring inactive records to the Records Center

Records Management Functions

• Develop & update records retention schedules

• Help with filing systems

• Store inactive records

• Provide retrieval services

• Disposition services

What Are Public Records?

Pubic records is: Any paper, correspondence, completed

form, photograph, film sound recording, map, or machine-

readable record regardless of physical form or

characteristic and including such copies thereof made by or

received by any agency while transacting public business

Public Records

• All records need to be inventoried for purposes of developing records retention schedules

• Establishes Records Committee to review/approve agency retention schedules

• Stipulates records may not be destroyed or transferred until listed on an approved retention schedule

Creation (or receipt) Maintenance & Use(organization, distribution,

retention scheduling, retrieval)

Disposition

Destruction

(recycling or shredding)

Preservation (archival)

LIFE CYCLE OF RECORDS

Records Retention SchedulingTool to manage records throughout life cycle

Records Management works with offices to develop records retention schedules

Records Retention Schedules

• Records Retention Schedules establish official retention periods allowing for the legal and orderly disposition of records.

• Retention schedules indicate the minimum period offices need to retain records based on legal, audit, administrative, and historical needs.

Departmental Records Retention Schedule

• Serves as both a guide and authority for the retention and disposition of records unique to the office or department.

• Office records not included on the General Schedule should be listed and approved on individual office Retention Schedules, prepared by the office Records Coordinator and the Archives & Records Center.

Electronic Records

• Electronic records need to be identified and

scheduled along with paper records

• E-mail is also considered a record

• Recommend printing E-mail if message contains

long-term or historical information and filing

with the system used for paper

Records Center Services• Storage

– Economical and convenient storage for semi-active and inactive records

• Transfer Assistance– Records picked up from campus offices and

transported to the Records Center• Records Retrieval and Delivery

– Reference service provided usually within 24 hours• Records Destruction

– Records destroyed with approval of Records Coordinators/ includes shredding of confidential records

Inactive Records Storage

Records Center stores inactive & historical records from the offices.

Preparation of Records for Transfer

• Group records by series and by disposition date;

clearly labeled within boxes

• Please, no hanging folders

• Boxes should not be overfilled

• Place archival records in a separate box from

non-archival

Purpose of Records Transmittal Form

• Provides listing of records in a box

• Office uses to request records for reference

• Contains unique numbers identifying contents (accession number, location, disposition date, record status)

Records Retrieval

• Efficient Retrieval Services from the Records Center

Retrieval/Reference Requests

• Accession Number

• Box Number

• Records Center

location (if known)

• Identification of File

Folder or Documents

Records Disposition Methods

• Two Methods: • From the Office• From the Records Center

Records Disposition Methods (cont.)

• Dispose of records according to retention standards or departmental records retention schedule

• Records Center provides destruction service, including shredding office confidential records

Records Remain in Office for Retention Period

Confidential records transferred for shredding

Archival records transferred to UARC

Recycling non-confidential records

DISPOSITION METHODS FROM THE RECORDS CENTER

Archives & Records Center

Records Disposition Notice to Office Archival records

to remain in Central Archive for preservation

Recycling Shredding

Records transferred for storage

ARCHIVAL RECORDS(typical examples)

• Records of committees (minutes, agendas, reports)

• Annual and other reports• Planning and policy documents• Records of departmental organization &

function; history files• Records of faculty, staff & student

organizations

Why Records Management?• Records form the basis to determine corporate and individual

responsibility

• Responsibility through recorded evidence leads to corporate and individual accountability

• Accountability controls corruption and fraud

• Recorded evidence supports prosecution

• Strong accountability through records management provides integrity and authenticity

Three Core Principles• The originating or accumulating organisation

is responsible to maintain records (in the original sequence from the time of creation: provenance)

• Life cycle; active, semi active, non active

• Over time, provide consistent management of similar records (retention rules)

Current State• Loss of corporate control over creation, use

and access of records• Division of paper and electronic information• No context metadata attached to content• Challenge to control reproduction and

revision of electronic media • Difficulty with long term preservation of

machine readable data• Misuse and unauthorised destruction of

documents

Conflicts• The definition of ‘Information Management’

assumes only electronic information

• Technology professionals deliver electronic B2B, but only RM professionals have a long term mandate to protect transactional records

• Some assume technology will solve chaotic paper record keeping systems

• Natural tension between legal requirements for static information versus easy to manipulate electronic media

Reward• Records, and the evidence they contain, promote

a culture of trust and a commitment to high business standards

• Protects and promotes your brand image

• Organised company records are easier to retrieve

• Employee moral is directly affected– financial records needed to calculate commissions– human resources files need to calculate pension– documentation of success required to promote staff

Records Management

•Retention & Disposition

•Paper & Electronic

•Classification

•Circulation

•Holds

Document Management

•Workflow

•Search & Retrieval

•Version Control

•Repository

•Imaging

•MeetingZone

•Security

•Audit

•Discussions

•Collaboration

•Notifications

EDRMS

Electronic Records Management

Dana D. Simpson, CRMVice President and Manager

Records and Information ManagementBBVA Compass Bank

[email protected]

mailto:[email protected]

Records and Information Management

Administration

Legal

Security

Records and Information Management

IT

ComplianceRisk

Physical Electronic

What is Electronic Records Management?

• Records Management is the systematic process of analyzing and controlling data in all formats (paper, photographic, electronic) See #1 A Record is a Record is a Record

• Manage electronic records with or without an EDRM systemSee #2 Good is Good Enough

Does ERM include Email? Yes

• Email creates an electronic document• Email is the most difficult data to manage• Email is the most prolific type of data• Email is the most sought after data in litigation

What about Duplicate and Draft Electronic Documents?

Duplicates • Replicates the content and functionality of the official copy • May or may not be in same format or medium as the official

copy

Drafts• Preliminary version of a document. May contain

information that is omitted from or otherwise different than information contained in the final version

• When created in the preparation of company records, the final version is considered the official copy for retention purposes

What are the Benefits of ERM?

• Financial• Compliance• Risk• Operational

Rewards

1. Litigation

2. Reputation1. Laws and Regulations

2. Policies and Procedures

INCREASE COMPLIANCE

REDUCE RISK

INCREASE EFFICIENCIES1. Data Discovery

2. Information Lifecycle

3. Forms and Reports Management

REDUCE OPERATING COST1. Records Storage

2. Records Maintenance

3. Enterprise contracts and centralized management

Where to Begin

Build a Solid Foundation

FoundationWith or Without EDRMS

• Policies and Procedures• Define Responsibilities

– IT, RIM, LOB/User (see example)

• Define Your Approach • Categorization (see example)• Metadata• RIM Credibility

Policies and Procedures

• Must be written and published– Company Ownership– Retention of Company Records– Duplicate Records and Drafts– Destruction of Company Records– Access to Company Records– Protection of Vital Records– Retention of Electronic Messages– Media Handling and Disposal Policy

See #7 Document, Document, Document

Define Responsibilities for Each Policy and Procedure

• Information Systems and Technology (IS&T)• Records and Information Management (RIM)• Employee/Manager/Line of Business (LOB)

See #7 Document, Document, Document

Define Your Approach

• Example: Managing Email– Do nothing– Keep everything forever– Big Buckets – delete all messages older than 2

years– Use mailbox quotas – force users to delete

regardless of content– Declare it a record and manage accordingly

• See #1 A Record is a Record is a Record

Classification/Categorization

• SAM=Sales and MarketingADM=Administration\FacilitiesClassifying products and standardizing descriptors also helps in finding it later

• Example of a classification “system”– Made up of codes (letters or numbers)

• UPC – Universal Product Code– Food, Health, Automotive parts

Using Categories/ClassificationTo: Dana SimpsonFrom: Cindy TrinidadSubject: SAMAttachment: SWRGiftCards.pdf

Dana, Here is the latest product idea for the southwest region.With your approval we will begin offering on Oct 1, 2010.

Controlled Vocabulary

• A restricted list of words• Used to categorize or label• Ideal for Corporations where lots of people

use the list (for use in metadata fields like “subject” of an email)

• Controlled Vocabulary vs Free TaggingSee #8 Be consistent

Hooray for Consistency!

Taxonomy (Type of Controlled Vocabulary)

• The word actually means “The science of classifying/categorizing things”

• Hierarchical structure that share similar characteristics– Industry

• Financial Services– Banking– Insurance– Wealth Management

• Health Care• Manufacturing

Thesauri

• Type of controlled vocabulary that is very structured and provides relationships between words– Hierarchical (broadens or narrows a term)– Associative (related but non-hierarchical)– Equivalence (use – synonyms and near synonyms)

Hierarchical Thesauri

• Shows how words relate as they broaden or narrow (start with a broad class and use narrow term - NT or broad term - BT to show relation)– Automobiles

• Cars– 2 door

» Red

• Trucks

Associative Thesauri

• Related terms - shows relationships across hierarchies– Category (group, class, type)– Class (category, group, rank)– Type (category, class, kind)

Equivalence Thesauri

• Synonyms indicating the preferred term– Aged person

• Use: elderly person

– Bovine• Use: cow

– Home loan• Use: mortgage

Metadata

• Legal needs for ediscovery

• RIM needs for disposition• IT needs for archiving• Proves authenticity and

ownership• Provides guidance to

consultants and system designers

• Provides a rich description of information (Who What When Where Why)

• Automate as much as possible

• Publish a controlled vocabulary or thesauri

RIM Credibility

• Credibility=Trustworthiness and Expertise• Program Credibility

– Customized and comprehensive• Personal Credibility

– Know your stuff– Know when to bring in experts– Never over-promise or over-commit

• See # 1, 2, 3, 4, 5, 6, 7, 8

Standards

ERMS Standards

• DOD 5015.2– Functional requirements for systems to manage

electronic records– This is the only standard we have– Use this standard to find potential vendors then

do your homework– See # 3, 5

• Do your homework. Just because it has feathers…• Read! Now read some more

Data/Content Management

• Storage• Versioning• Metadata• Security• Indexing• Retrieval• Workflow• Collaboration

• Creation• Maintenance• Use• Identifying• Categorizing• Archiving• Preserving• Disposition

Records Management

ISO

• ISO=International Organization for Standardization – National Standards Institutes from 163 countries – Made up of member bodies (subject)

• Technical committees are created

TR and TS

• TR= Technical Report • TS= Technical Specifications

ISO 15489ISO/TR 15489 -2

• Part 1 General – specifies the fundamentals of records management and defines the results to be achieved

• Part 2 Guidelines – Implementation guide to Part 1. One methodology to accomplish ISO 15489-1

See #5 Read. Now read some more!

TR48-2004

• Framework for Integration of Electronic Document Management Systems and Electronic Records Management Systems– EDMS plus ERMS equals EDRMS

ISO/TS 23081-1 (Metadata)

• Part I Principles– Information and documentation – Records management processes– Metadata for records

• Guide to:– Understanding metadata– Implementing metadata– Using metadata – All within the framework of ISO 15489

Narrow the Target

Need to know…

• Determine data type within your organization– Structured– Unstructured

• Determine the risk of NOT managing

Structured versus Unstructured(type of data)

• Databases– SQL– Oracle

• XML format (spreadsheet)

• Email• Shared Drive

Decisions

• Prioritize by Risk (review data map)– Big surprise here - usually turns out to be Email

• Define your approach• To use ERMS or not

Data Map of Email

General PrinciplesWith permission - Slide created by Jesse Wilkins, Access Sciences

• Email management is part of time management

• Email is a medium, not an action• Email should not be used for everything• Email should be kept as long as needed – and

no longer

Who captures the message?With permission - Slide created by Jesse Wilkins, Access Sciences

• YOU have to capture an email:– You receive from outside the organization– You send, either internally or to someone outside

the organization

• Designate someone to capture messages sent to groups/lists

Emails that are not capturedWith permission – Slide created by Jesse Wilkins, Access Sciences

• Transitory messages that are not timely• Personal messages unrelated to business• “Me-too” messages• Messages already captured by someone else

Non ERMS Repository

• Mailbox• Userhome or shared drive• File drawer• Trash

ERMS Repository

• User categorizes mail– If it’s a record - Mail moves to content repository

• Mail is kept according to retention schedule

– If it’s not a record - Mail remains on server• Mail is managed according to server rules

• Legal can perform ediscovery – Place records on hold

• RIM can run reports and assist with managing

According to AIIM - Association for Information and Image Management

“…removing emails from the server and saving them to a repository isn’t enough. Email must be classified, stored, and destroyed consistent with business standards-just as any other document or record.”

FoundationWith or Without EDRMS

• Policies and Procedures• Define Responsibilities• Define Your Approach • Categorization• Metadata• RIM Credibility

Electronic Records Management

The transition from paper to electronic media

Information is Becoming More Electronic

• Most records are digitally born in various forms, some with associated metadata

• This presents new challenges for storage, filing, and retrieval

• Policies, infrastructure, and business processes were designed for a paper world

• New laws and policies must be written to adapt to the changing environment

What are electronic records?

• Data bases/data sets

• E-mail

• Digital images

• Web sites

• Audio recordings

• Work station files

Spreadsheets

Text messages

CDs

Jump drives

Hardware

Software

Metadata is data about data

• Information about who created a document, when, who changed it, and when, etc.

• It is a record of events about particular files

• Metadata is useful in identifying a particular file’s properties when searching for specific information

• Accurate metadata is critical to electronic records management.

Government Records Access and Management Act

• Electronic or paper: the same rules apply

• Determine a record by content

Record“ …. a book, letter, document, paper, map, plan, photograph,

film, card, tape recording, electronic data, or other documentary material regardless of physical form or characteristics: that is prepared, owned, received, or

retained by a governmental entity or political subdivision.” UCA 63G-2-103(22)(a)


• Categorize records into record series

Record series“ …. a group of records that may be

treated as a unit for purposes of designation, description, management and disposition.”

UCA 63G-2-103(23)


• Government records are the property of the state

• It is unlawful to destroy or damage records in contravention to an approved retention schedule

• Records must be retained according to an approved retention schedule.


Record copy“ …. The officially designated copy of a

record that will be maintained according to an approved retention schedule.

The record copy may be maintained in any format.

How long will it last?

Paper or microfilm will last 500 to 1,000 years.

Compact discs have a life expectancy of 5 to 10 years.

Technology is Changing

• 5 ½” – 3 ½” discs - cd’s - jump drives

• Analogue is becoming obsolete

• Permanent retention will require reformatting

Digital Image Converter

• Purchased by 14 counties in the state• Enables local offices to save files on

state server for conversion to microfilm• Archives captures the files and creates

microfilm• Microfilm is kept at Perpetual Storage

in Little Cottonwood Canyon• Archives has capacity to convert

microfilm into digital• Technology will become available to all

Digital Image Converter

Purchased by 14 Utah Counties in 2008

E-mail is correspondence

• Classification & retention depend on content

• Non-business: not a record

• Transitory: until administrative need ends

• Policies and procedures: permanent

Records Management Software

• Should provide for retention and destruction of selected files

• Should have classification capability

• Should be able to remove private and protected elements

Digitization Advantages

• Easy to disseminate• Easy to copy• Convenient• High Density storage• Easy to retrieve• Multiple users

Digitization Disadvantages

• Dependence on hardware• Can be expensive• Technological obsolescence• Complicated disposition• Metadata requirements• Staff training required

Individual workstation files

• Organize in folders for easy access

• Temporary drafts are not records

• Delete regularly when retention is met

• Print important files

What is the solution?

• Standardize processes and rules

• Implement electronic records management programs

• Find technical solutions

• Awareness, education, coordination

Records Management Committee

• Committee should include:– Agency records officer– IT personnel– Members of each department or section

• Meet regularly to establish policies and address records management issues

• Work things out one piece at a time

Web sites

• Agencies are required to allow some transactions to be conducted electronically (UCA 46-4-503)

• Archives to maintain public meeting web site (UCA 52-4-202(3)(a)(i)(B))

Strategic Implications ofE-Business and Electronic

Records

John McDonaldWorld Bank, Washington

June, 2001

Overview

• Organizational trends• Technological trends• Electronic record keeping issues• Electronic record keeping requirements• Managing electronic records in diverse

computing environments:– Structured business processes– ‘unstructured’ work environments– The internet environment

Organizational Trends

Restructuring Downsizing Steering vs rowing Service orientation

Citizen NeedsCitizen Needs&&

ExpectationsExpectations

Citizen NeedsCitizen Needs&&


Business NeedsBusiness Needs&&


Business NeedsBusiness Needs&&


Technology Technology RevolutionRevolution

Technology Technology RevolutionRevolution

ExplosionExplosion of theof the

InternetInternet

ExplosionExplosion of theof the

InternetInternet

GlobalizationGlobalizationGlobalizationGlobalization

What is the enabling technology vision?

National National GovernmentsGovernments

Academic Academic OrganizationsOrganizations

International International OrganizationsOrganizations

Non-Profit Non-Profit AgenciesAgencies

Private Sector Private Sector OrganizationsOrganizations

InfoInfo

InternetInternet

TransactionsTransactions

PKI

Access OptionsAccess Options

Citizen/Citizen/Partner/Partner/ClientClient

BusinessBusinessMapMap

Relevant, TimelyRelevant, TimelyAccessible Services Accessible Services

Responding toResponding toIndividual, Partner, and Individual, Partner, and

Community NeedsCommunity Needs

What is the outcome?

• Transparency

• Information anywhere at anytime

Some running assumptions…• Information may be recorded in many different

forms; – on paper, in electronic form, in peoples’ minds, etc.

• Information can be tacit as well as explicit; – both must be managed in an integrated manner

• Information is an asset (resource) that must be managed as any other valued asset (resource)

• The value of information is enhanced if it can be related to other information within a given context

Some running assumptions…(cont.)

• The purpose of information is to:– support decision-making, – program/service delivery, – the achievement of strategic priorities, and:– the ability to meet accountability requirements

expressed in law and policy

• The management of information must be viewed within the same context as the management of the “business” of the organization.

• What is the “business” view?

Organization

Function/activity

Law

Acc

oun

tabi

lity

Man

date Business processtask task task

B u s i n e s s V i e w

task

• What is the information view in the context of the “business” view?

• (begins with an understanding of the activities performed on information)

Information activities- Create

• Activities organizations do to manifest information - bring it into existence - in order to support program/service delivery– create, collect, generate, receive

Information activities- Use

• Activities organizations do with their information to support program/service delivery– access, exchange, transmit,

disseminate, share

Information activities- Preserve

• Activities organizations do to their information to ensure that it is authentic, reliable; available, understandable, and usable for as long as required for program/service delivery and accountability– retain, protect, store, describe, migrate,

dispose

Business

Process

A w

a r

e n

e s

s/ U

n d

e r

s t

a n

d i

n g

Information View

Law/policy Systems

Standards/practices

People

create use

preserve

O w

n e

r s

h i

p/ A

c c

o u

n t

a b

i l i

t y

Information Management - Issues

create preserve

use

Employees

Clients/Partners/Citizens

Information Creation• What am I supposed to keep?• (What am I supposed to create?)• What should an information object look like

re: authenticity, reliability and integrity?• Recognizing that a single information object

is of little value on its own, how do I relate information objects to one another so that I can understand them in context?

• Who can I turn to for help?

Information Use• How do I access information (the information

of others)?• How do I navigate across complex,

distributed information bases to find what I need?

• How do I exploit information recognizing that such information may be of value far beyond its original purpose?


Information Preservation• How do I maintain the authenticity and

reliability of information through time?• How do I protect information from

inadvertent/unauthorized access and destruction?

• How do I make sure information is gone when its supposed to be gone?


Information in electronicform is a fragile resource

The information may be required beyond the lifeof the system

and...

Why?

• Stored on media that deteriorates over time

• Created by software/hardware that changes over time

• Supported by inadequate metadata leading to loss of context over time

• Supported by a weak accountability framework contributing to corporate amnesia over time

Which Leads To...• Poor quality decisions

• Heightened risk

• Lack of trust

• Lost opportunities

• Increased costs

• Corporate memory loss

Some Unfortunate Examples

• Murders in Somalia

• $1 billion in lost Canadian government grants and contributions

• Ollie North and the Iran-contra scandal

• NASA’s lost interplanetary data files

• The FBI/McVeigh ‘missing files’ case

The Requirements?

• Policies

• Standards and practices

• Systems and technologies

And…

The Requirements?

• People– Information creators/users– Information infrastructure builders

… with the required knowledge, skills, and abilities

The Solutions?• The archives and records management

community– San Diego project– INTERPARES– DLM functional requirements– Australian SPIRT metadata project

• International standards– ISO Records Management Standard

• Industry sectors– Pharmaceutical industry– Patents organizations– Others

Applying the requirements

• Structured business processes

• “Unstructured” work environments

• The internet environment

Before applying the solutions:

• Understand the landscape

The Factory Floor

The Technology Environment

The Wild Frontier


Structured Business Processes

Structured Business Processes(the factory floor)

content

context

structure

Record Keeping Systeminformation

source

accountability instrument

use

preserve

capturecapture capture

records recordsrecords

transactions transactions transactions

task task task

(review) (approval) (notification)

Business ProcessLands registration

Mandate

Land Management• Rural Land Development• Urban Land Development• Lands Registration

• applications• review

• Land Use Analysis• Regulation • Internal Resource Management

Functions

Organization

• National Land Management Directorate• urban development division• rural development division

• Office of the Registrar of Lands • Research and Mapping Directorate• Policy and Monitoring Directorate • Corporate Services Directorate

Ministry of Lands

Structured Business Processes

• Build approach to record keeping based on systems development/maintenance policies, standards and procedures

• Tap into the existing accountability framework

• Focus on functional requirements for incorporation in systems design

• Use systems audits and reviews to measure compliance

• Enhance record keeping awareness

Managing Records in Shared Drives

Problem• Finding relevant electronic documents in a

timely manner• Bringing together the complete ‘story’ of

an issue, project, etc.• Distinguishing the wheat from the chaffe• Building confidence re: compliance with

information laws and policies

content

context

structure


source


use

preserve




task task task

(review) (approval) (notification)

Business ProcessLands registration

Mandate




Functions

Organization



Ministry of Lands

Organization



Ministry of Lands

content

Context?

Structure?





Functions

Mandate

actions actions actions

Shared drive

Solution

• Configure the shared space to reflect the functions/activity based classification scheme;

• Migrate relevant folders to the new directory structure;

• Encourage e-mail messages to be stored on the shared drive in order to maintain the ‘complete story’;

• Establish business rules for the filing of e-mail messages and other electronic documents;

• Assign responsibility for managing the integrity of the shared space.

Electronic Document and Records Management Systems (EDRMS)

content

context

structure


source


use

preserve



actions actions actions

Mandate




Functions

Organization



Ministry of Lands

The Advantages

• Ensures the authenticity and reliability of records as evidence of actions and transactions;

• Facilitates information access and retrieval in context;

• Protects information for as long as required to support business and accountability requirements;

• Provides the trustworthy environment that clients, partners, citizens, and employees can depend upon with respect to their information needs.

The Challenges

• Weak accountability• Absence of work flow• Systems integration issues• Lack of clarity re: costs vs benefits• Corporate culture – the ‘sharing’ issue• Capacity re: systems integrators,

records managers, etc.

Internet and Workflow EnabledRecord Keeping

Internet and workflow enabled record keeping

Workflow-enabled record keeping

• Work processes are automated• User interfaces are work activity not utility

driven• Records are kept in electronic form• Records capture happens automatically• Records capture and record keeping is

transparent• Records are kept only for as long as

required – disposition is automatic

content

context

structure


source


use

preserve




task task task

(research) (approval) (dissemination)

Work FlowPolicy development

Mandate




Functions

Organization



Ministry of Lands

The Strategies• Interim Strategies

– Print to paper– Manage e-mail and other electronic documents

in existing technological environments (e.g. shared directories)

– Develop functional requirements for electronic document and records management systems

– Incorporate functional requirements in systems design

• Advanced Strategy– Migrate to internet and workflow-enabled

record keeping

The infrastructure• policies (to assign accountability)

• standards and practices (including business rules)

• systems and technologies

• people• records creators/users

• records infrastructure builders

The Competencies

• know what a record is (and is not)• know the purpose of records• know how to set standards• know how to set requirements for creating and

capturing records• know how to set requirements for accessing and

retrieving records• know how to set requirements for maintaining

authentic and reliable records through time

• know how to adopt a user perspective

Summary

• Understand the landscape and its evolution

• Understand the issues • Understand the requirements• Understand the record keeping options

and associated infrastructure needs• Understand the competencies

Information Management and Knowledge Management

1. Policies,guidelines,authoritative sources

2. Policies & discipline for physicaldata stores

3. Improvedinformationaccess

Information Management

KnowledgeManagement

4. KM/intellectualassets linkedto strategic direction

5. KMculture

9. KMintegrationwith jobs &workplace

7. Capture tacitknowledge &insight

8. Collaborativeenvironment & culture

10. Extend KMto partners &customers

6. Identify subject matterexperts

Data and informationaccessibility is a criticalissue but its not the onlyissue

Copyright: Gartner Group, 2000

E-Commerce and Evidence: Standards for Recordkeeping in the

Electronic EnvironmentQuick Start Program

World BankMay 22, 2001

Michael L. Miller, DirectorModern Records Programs, NARA

Ancient History

• Records management as volume management• Driver is space• Records management as document security• Driver is litigation• Records management as retrieval• Driver is access

Our Response

• Keep as little as possible for as short a time as possible

• Building blocks– Inventories– File plans– Retention schedules (mandatory)– Microform

The Present Climate

• Push for E-Business & E-Government• Information as a resource• Multiple media for some time• Increased secondary uses

– Litigation – Protecting individual rights– Public service and access– Public accountability

What’s Driving Records Management Today?

• Electronic transactions– Interoperability & document exchange– Web enabled government & industry

• Rising customer expectations • Mixed customer requirements• Concern for computer security• Concern for privacy• Concern for accountability• Increased litigation risks

Some Fallout From the Situation

• There are no answers from the records management– No agreement on theory– Mostly pilot phase

• There are no guidelines from the legal end– Falls back on systems issues

• Procedures Are they good• Implemented Tested

A New Situation

• More players in the records/information game• Services being redefined• Role of records evolves in an organization• Records are born digital• Information becoming separated from records• New skill set(s) required of records managers

Need to Reinvent Records Management to Meet These Needs

• Records themselves– Rethink the definition of records– Rethink the role of records

• Records management– Rethink the goals– Rethink the tools

• Records Managers– Rethink our skill sets– Rethink role in the organization

What Are the Big Issues??

• Defining what is an electronic record• Defining a “trustworthy” electronic record• Determining what of the old records management

theory applies and what must be replaced• Developing standards• The relationship of records management to legal and

security issues• Balancing multiple requirements and costs

Perspective I

• Content, Context, and Structure• Recordkeeping Systems Standards

– Compliant – Reliable– Systematic– Managed– Routine Activity

Perspective II• Records are:

– Made– Retained– Complete– Comprehensive– Adequate– Accurate– Authentic– Usable– Inviolate

Components of a Recordkeeping System

• The records themselves• A system of organization of the records• Policies and procedures for management• A program to train staff on using the records

and system• An audit program to ensure compliance

1 2

34

5

A Working Definition Electronic Recordkeeping?

• Creating and maintaining records in electronic form so that those records can successfully serve as the records to meet an agency’s legal, fiscal, administrative, and other business needs, and when necessary be preserved permanently as part of our Nation’s historical record

Success Factors for a Good Implementation

– Core business process– Clear goals and objectives– Well financed– Process involves the public– Records are core to the business process– Answers are below the cutting edge– Close cooperation with RM

All Records Are Not Created Equal

• Much of what we create qualifies as a record

• To serve as a record of business activity the records must be trustworthy– Reliability Integrity– Authenticity Usability

• Adequate and proper documentation doesn’t mean everything must be retained forever.

These Ideas Are Not Absolutes

• Based on business needs– Administrative, legal, fiscal– Oversight– Appropriate public access– Historical preservation

• Based on assessment of risk• No different from paper

What do We Mean by Risk?• Visibility - Issue of level of exposure

– Low, Medium, High• Risk of having/not having the records

– Litigation– Accountability

• Sensitivity• Consequences

Case Study #1 - Electronic Signatures

Executive Summary Points (1 of 2)

• Organizations must consider RM when implementing E-sig

• E-sig systems will produce new records or augment existing records

• Various approaches ensure trustworthy e-signed records

• Organizations must maintain trustworthiness of e-signed records over time

• Use of 3rd party contractors in implementing e-sig systems raise adequacy of documentation issues

• Scheduling issues must be addressed before disposing of e-sig records

• Records disposition authorities of e-signed records may need to be modified

• Permanent e-signed records documenting legal rights have special considerations

Executive Summary Points (2 of 2)

• Content– The e-signature is part of the content of the e-signed

record• Context

– Records used to verify the reliability and authenticity of the e-signed record

• Structure– Records used to re-validate the e-signed record

Content, Context & Structure of E-signed Records

Examples of New Record Types (1 of 2)

• Content– E-signatures– Documentation of individual identities

• Context– Documentation of individual identities– Trust verification records (audit trails)– Certificates– Certificate revocation lists – Trust paths

Examples of New Record Types (2 of 2)• Content (cont.)

– Certificate policies– Certificate practice statements

• Structure– Hashing algorithms– Encryption algorithms

Possible Authentication Alternatives

• Maintaining adequate documentation of e-sig validity gathered at or near the time of signing

• Maintaining the ability to re-validate e-sigs• Maintain log file of e-signed record

acceptability at time of receipt• Other alternatives may exist• Organization selects method based on

business need & risk analysis

Methods for Protection

• Evidence of message origin and verification• Evidence of message receipt• Transaction time stamping• Long-term storage facility stores evidence and

lets an adjudicator settle disputes

One Framework• Crfeate and maintain documentation of the systems used to create the e-

sigs.• Ensure a secure storage environment• Implement standard operating procedures• Create and maintain records according to those procedures• Train staff in the procedures• Develop disposition authorities

Scheduling E-signed Records Is Necessary When...

• New content, context or structure records (as determined by your risk analysis/ business practices) are being created

• Organization determines incorporation of e-sig will result in changes in retention period of e-signed record

• Incorporation of e-sig and/or changes in work processes significantly change the character of the record

Case Study #2 - The Web

Does It Qualify As Record Material?

• Depends on definition– Federal government - yes– Most other governments - yes

• What is covered?• What are the records?• Why is it a record?• What are the risks?

What Are the Records?

• Web site(s) themselves - content• Records used to manage the web - context• Records of how the web appeared - structure• Records of activity

– Who was there– What they did

• Records of transactions• Records behind the site

Examples of Web Records - 1

• Content– Html pages – Images of pages – Comprehensive list of urls– Interactively generated records– Referenced files

Examples of Web Records – 2

Context recordsWeb design recordsCopyrighted materialsProgram managementSoftware to operate the siteLogs and statistical compilations

Examples of Web Records – 3

• Structural records– Web site map– Self executing files– COTS software configuration files

Managing Web Records

• Develop policy • Assign responsibilities• Conceptualizing your site• Identifying the role of the

site/components for your organization• Determining risks• Determine recordkeeping requirements• Determine strategy for capturing records

Preservation Strategies & Techniques

• Look at the question of risk – how complete a record is necessary

• Three approaches– Know generally what was up there – record of

postings and removals and a snapshot• Know exactly what was up there – record of

all changes and snapshots• Recreate the site as it was – ability to

rebuild to a point in time.

Possible Strategies

• Two approaches– Object-driven– Event-driven

• Snapshots as a tool• Tracking changes• Source - National Archives of Australia• http://www.naa.gov.au/recordkeeping/er/

web_records

Let’s Summarize

• Get Involved in the Team• Know the Records• Learn the Technology• Rethink as You Reengineer• Identify Recordkeeping Requirements• Reexamine Your Retention Periods• Make Changes Where Needed

Transaction Processing

• Data Representation and Storage– Sequential files

• ordered set of structurally similar records– Indexed files

• 2 part structure: data + index– Databases

• multiple entities (tables) linked by key-fields• minimal redundancy

Data Systems and Record Systems

• How are they Similar?• They both…

– capture and store data– organize digital data– enforce standards for representation of data– protect data from destruction (accidental or

intentional).– make data available for people to use (search,

browse, retrieve, etc.)

But are TPS Good Recordkeeping Systems?

• Transaction Processing– Primary Goal: to automate some activity or business

process.• Transaction Processing and Records

– Recordkeeping may be the business process– …or records may be the byproduct of the business

process; but recordkeeping is not the primary purpose of the system

– …or records may be difficult or impossible to locate or retrieve …if they exist there at all.


• Record-oriented business process– General Ledger

• keep record of debits and credits• cumulative history of transactions: account,

object, amount, date…– Academic Record (Transcript)

• keep record of courses, grades, degrees• cumulative history of academic career:

– course department & title, instructor, grade – semesters and dates of enrollment– degree, school, major, honors, date


• Records as byproduct– Hotel Reservation

• retrieve room vacancy information • collect guest information• assign guest to room • record guest information & reservation dates

– Employee Payroll• combine pay rates and hours worked• produce paychecks• record annual totals of earnings, withholdings, benefits

– But managing complete records of all business transactions over the life cycle is not the primary objective of the system

Transaction Processing Systems and Record Systems

• Why aren't TPS reliable Recordkeeping Systems?– They capture incomplete information. Records are made

up of content, context, and structure. Many Information Systems capture only content, and not always completely.

– They keep only current information. Many Information Systems store only "current values" for key bits of information and they do a bad job of tracking the history of changes to these values.


• Why aren't TPS reliable Recordkeeping Systems?– They scatter information. To avoid redundancy,

Information Systems store each bit of information just once, often in separate tables or databases, and they rely on computer software to re-connect the bits of information when needed. Related pieces of information become disconnected over time, or may be preserved or discarded according to different timetables.


• However…in many cases TPS ARE (de facto) Record Systems. – An institution or agency may be using a TPS to conduct its

business, and relying on the databases of that system to keep a record of key activities.

– It may not be a really good Record System, but that Data System IS the institution's (agency's) primary system for keeping records.

• Key issue: Is it possible to make an adequate Record System from a Transaction Processing System?

DECISION SUPPORT SYSTEMS

• A computer-based information system that provides a flexible tool for analysis and help managers in making strategic decisions

• Uses data and information to produce flexible, on-demand reports or information, and assistance in decisions about unstructured problems

• By means of models, DSS can provide valid representations of real world systems

DATA WAREHOUSE

• The data warehouse concept is about unbundling the two environments. In one environment – TPS - the business automates its processes on many different on-line transaction systems in the most effective and expedient manner possible. The data from these many and varied systems is then used to populate a database comprising all the data necessary to support decision making in a separate data warehouse environment.

DATA WAREHOUSE

• Unlike operational databases that are set up to handle transactions and that are kept current as of the last transaction or update, data warehouses are analytical, subject oriented and are structured to aggregate transactions as a snapshot in time.

DATA WAREHOUSES - PRIMARY CHARACTERISTICS

• Separate from the Operational systems and populated by data from these systems

• Available entirely for the task of making information available to users

• Time-stamped and associated with defined periods of time

• Subject Oriented as defined by the customer• Accessible to users who have limited knowledge of

computer systems

Data Warehouses as Recordkeeping Systems

• Data Warehouses are NOT ERMS• Do not meet many of the requirements• 1) Do not routinely capture records – Evidence of

Business Transactions – More concerned about transforming data into information

• 2) Do not manage information or records over the entire life cycle

EDMS as Recordkeeping Systems

• Many EDMS functions overlap with ERMS• EDMS functionality typically includes: indexing of

documents, storage management, version control, integration with desktop applications, and retrieval tools to access the documents

• But they are not fully functioning ERMS

EDMS As A Recordkeeping System

• EDMS: Primary purpose is to support day-to-day use of documents for ongoing business

• ERMS: Primary purpose is to provide a secure repository for authentic and reliable business records


• EDMS allows documents to be modified and exist in several versions

• ERMS prevents records from being modified


• EDMS may allow documents to be deleted by owner of data

• ERMS prevents records from being deleted except in certain strictly controlled circumstances


• EDMS may include some retention controls

• ERMS must include rigorous retention controls


• EDMS may include a document classification scheme

• ERMS must include a robust record classification scheme


• Most EDMS do not meet many of the requirements of a EDMS

• 1) Do not routinely capture records – Evidence of Business Transactions

• 2) Do not manage information or records over the entire life cycle

• Strategies for Capturing Record Content and Record Metadata

Overall Goals of Record and Metadata Capture

• System officially “captures” records for the University

• Capture involves process of:• 1) Registering a record• 2) Deciding which class it should be classified

to• 3) Adding further metadata to it• 4) Storing it in the ERMS.

STRATEGIES FOR CAPTURING RECORDS

• 1) Applications that include BUSINESS PROCESS ENGINES

• 2) Applications that include WORKFLOW ENGINES

• 3) RECORDS MANAGEMENT APPLICATIONS (RMA)

Business Process Models

• Primary Advantage:• Models clearly identify all activities within a process

and consequently identify all records and the relationships between records and processes

• It is a complete representation of the business process and of the various inputs and outputs generated by the process

Business Process Models

• Primary Disadvantage• These models are not often designed into the

system - automated business process engines are not the norm in North America

• Good Examples of automated business process engines are the European Registry Systems

Registry System in Finland

• All recordkeeping functions in a Finnish government agency are supervised by a recordkeeping schedule

• Based on a hierarchical classification of agency functions, activities and business processes which serves– the registry system– filing– appraisal

Registry System - Operational Procedures

• Registration is based upon a business process– e.g, filling an archivist’s position in the university

archives • This business process gets a registry number that

is based on the functional classification schema– uniquely identifies the business process in question– links the business process to the function it serves, in

this example personnel management

Registry System - Operational Procedures

• Each business process is registered step by step regardless of the boundaries of the organizational units that participate in the process

• Records created by each step are filed in a document management system and are linked to registry entries

Example of Recordkeeping in Registry System - Filling an archivist’s position in the University Archives

Date Transaction Agent

2001-04-24 an announcement of the vacant position sent Office A Rto a local newspaper

2001-05-10 an application sent by Ms. X Office A R2001-05-10 an application sent by Ms. Y Office A R2001-05-12 an application sent by Mr. W Office A R2001-05-24 applications sent for review to the archives Office A2001-06-24 statement of the applicants sent to Office B Archives R

after interviews2001-06-30 a request for additional information from Office B R

the archives2001-07-10 a revision to a previous statement to Office B Archives R2001-07-25 a decision to appoint Ms. Y as an archivist Office B R2001-07-26 a letter to Ms. Y informing her that she has Archives R

been appointed

Advantages of the Registry System

• For records and archives management the registry links records to – business processes and functions that create

them– other records created by the same business

process and function • Provide contextual information and ensure the

integrity of electronic records

Conceptual Design – Workflow

Workflow is "the automation of a business process, in whole or part, during which documents, information or tasks are passed from one participant [human or machine] to another for action, according to a set of procedural rules.”

http://www.e-workflow.org/

“Starting from creation and ingestion, we should integrate the workflow process with the preservation process: appraisal, verification, maintenance and, eventually, retirement.”

Su-Shing Chen “The Paradox of Digital Preservation”Computer (IEEE Computer Society), March 2001

WORKFLOW MODELS

• Advantages: • 1) Commonly used• 2) Coming back into fashion with an

emphasis on life cycle management• 3) Often Automated

WORKFLOW MODELS

• Disadvantages• 1) Primarily a Routing mechanism and thus: • a) not all records that are created go through

workflow process• b) routing process may not identify all activities, all

inputs and outputs within a given process; consequently some records within the process may not be identified and captured

UIS EDEN Workflow Engine

Overview of workflow engine for IU’s OneStart portal.

OneStartCustom

ized

Personalized

Adaptable

Desktop

Application Delivered

HR

MS

SIS

FIS

IUIE

Other

Other Content

EDEN

Channels

Services

Workflow

Record Keeping

Security

Users Application

Services

Applications

User Interface

Infrastructure

OneStart & EDEN Component-Based Development

Goals of EWE

• Service to enterprise applications that routes electronic transactions to individuals or systems for work, approval or notification.

• Audit trail of all routing and actions taken on electronic transactions.

• Integration with IU’s portal.

Technical Architecture

• Component Based – EJB’s– Application interface– Application post-processors– Route Modules

• Documents processed in XML format– Minimal content is EWE route control data– EWE can be used as the storage for pending transactions.– EWE can enable versioning of information.

• Web services – applications required to register a web service for each document type.

Document creation

Request route ID for doc

Application using EWE

Workflow engine

Applications send XML version of electronic document to EWE. (Document must be of a registered type.)

Route Document

RouteDoc( XML contents of doc )


Workflow engine

EWE submits XML to route modules

Discover Action Requests

Workflow engine

1) XML for document

2) Action Requests

3) Add action requests to

document route

Routing Modules

Route modules scan XML for specific route controls and match document information to action request rules.

Route modules return list of action requests

Activate Next Action Request

• Document’s action requests are activated by:1. Route type priority as determined by document type

route template2. Request priority as determined by the route rule3. Order in which request was associated with the

document.• The activated requests are put on the appropriate

action lists of the persons or processes.

Review Action List

• Person reviews action list in the portal.

• Person is able to see the routing log and other header information.

Open document

• Action list refers user to original application to see any business information in the document.

• Application consults with engine to determine what elements of the document to show the user, if any.

Approve Document

• User acts upon the action request.

• Application business rules are applied to control actions taken on the document.

Route Document again

RouteDoc( updated XML contents of doc and action taken by user )


Workflow engine

Post-process document

• Once the engine has determined that all routing is complete, it then notifies the application post-processor.

• This is an EJB for the application that does appropriate work with the document such as changing pending status, updating calculations, generate new documents, etc.

ADDITIONAL FEATURES

• Add Recordkeeping Routing Rules• Add Recordkeeping Environment

FIS

HRMS

Purchasing

OneS

tart

Recordkeeping

Inbox

WorkflowEngine

Preference Engine

EDEN(Infrastructure)Portal

(User Interface)

Applications

Conceptual Design – Workflow and Electronic Recordkeeping

SAMPLE RECORDS MANAGEMENT APPLICATIONS (RMA)

TRIM

• Attempts to include the functionality of: • EDMS to provide integration with desktop

applications, add version control, and collect key documents

• Records Management System to file records within the framework of the record management architecture and to manage records over their life cycle

• Knowledge Management to build relationships between objects to enhance retrieval

• Workflow to combine processes and objects

TRIM

• TRIM manages and integrates both electronic and physical records

• TRIM supports the capture and import of e-mail messages and their associated attachments

TRIM

• Control Mechanisms:• Registration – Provide evidence that a record has

been created or captured in a recordkeeping system• Classification:• TRIM has a Record Plan or File Classification module

that allows organizations to build a classification system that reflects the business processes

• TRIM also has a concept of Record Types to allow for further classification

TRIM

• Retention and Disposition:• Classification scheme is linked to Disposal

Schedules• TRIM allows organizations to import disposal

schedules or to create their own• Schedules are attached to records to allow

for automated disposal or retention

TRIM

• Thesaurus:• TRIM has a Thesaurus module that

conforms to the ISO standard• TRIM allows organizations to build a

thesaurus or to import thesaurus terms for an accepted thesaurus

TRIM

• Access control is provided through a combination of individual “Administration Access” rights, view and edit privileges assigned via the record plan, and system option setup assignments.

TRIM

• Migration and Conversion• TRIM provides the tools to

migrate records to another relational database system

TRIM• Tracking: Audit Trails• TRIM offers the capability to perform two levels of audit

logging. Core logging includes logging of the record title, number and container changes, record movements, record deletions, and all electronic activity. Full logging captures the elements of core logging plus record creations, changes to security, notes, retention schedules and triggers, dispositions, thesaurus terms, record plans, location security, location deletions, and workflow processing.

• Physical Tracking of Paper Records: Barcoding, Location Designations, Movement History

TRIM

• TRIM provides an Application Programming Interface (API) toolkit to allow integration with many other business system applications in an effort to provide an integrated environment

TRIM

• TRIM 4.3 was tested and certified as complaint with DoD 5015.2 Standard in 1999 and again in 2001.

• Statement from 1999 DoD compliance test: TRIM “integrates electronic document management and records management and provides a single interface to manage organizational records, including electronic and non-electronic records.”

• http://jitc.fhu.disa.mil/recmgt/#standard

http://jitc.fhu.disa.mil/recmgt/#standard

OTHER STAND ALONE RMA PRODUCTS

• ForeMost Enterprise, Version 2 by TrueArc, Inc.

• Tarian eRecords Engine v1.0 - formerly e-Records v1.0 by Tarian Software, Inc.

• iRIMS 2001 by Open Text Corp. • OBJECTIVE 2000 by Objective Corp.• Hummingbird RM Family 4.0 by

Hummingbird, LTD • FileSurf 7.0 by MDY Advanced Technologies,

Inc.

R2M (Relativity Records Manager) Version 2.0

by Relativity, Inc. • EDMS product that adds Records Management

Functionality• R2M incorporates records management seamlessly into

a document management environment. The environment is open structured and can be presented as defined by the document and records managers.

• All documents, including records, must be brought into the document management environment prior to any other activity being taken upon them. As implemented, a record in R2M is simply a specially managed document. R2M extends the concept of the document lifecycle to include record dispositions.

eManage 2000 by ByteQuest Technologies, Inc.

• Knowledge Management product that adds Records Management Functionality

• eManage incorporates records management seamlessly into its knowledge management environment. The environment is presented as a file structure or file tree. The records manager and systems administrator work together to develop and implement a file plan as a branch or branches of the organization's knowledge file tree.

• Integrated RMA Products

STAR/RIMS-E by Cuadra Associates, Inc.

• Integrated product using two products from the same company

• STAR is a network database management system environment in which Cuadra has developed many other information and archives management applications.

• STAR/RIMS-E is a customizable application developed by Cuadra Associates, Inc. in their STAR environment. The system is very flexible and can address large, complex Records Management problems. The system supports the management of large stores of paper and non-electronic documents, as well as e-mail and other electronic documents -- all within the same environment.

Integration of FileNET IDM Content Services 5.1.1 and ForeMost

Enterprise 2.0

• FileNET/ForeMost is an integrated product that combines the document management capabilities of FileNET IDM Content Services with the records management capabilities of ForeMost Enterprise. ForeMost provides the records management functionality for the pairing and uses the FileNET repository for storing records filed from FileNET.

IBM e-Records Solution (IeRS) version 1.0

by IBM Corporation • IBM’s IeRS is a combination of IBM’s Content

Manager v7.1 and Tarian Software’s Tarian e-Records (TeR) v1.0.

• IBM's Content Manager provides document management and workflow capabilities. It also provides the declare, search, retrieve functions, and records repository for this solution.

• TeR v1.0 is a web-based RMA and provides the records management and access portions of the solution.

Work Manager/ForeMostby Eastman Software and TrueArc,

Inc.• Integrated Product• Work Manager/ForeMost is an integrated

product that combines the document management, imaging and workflow capabilities of the Work Manager Suite with the records management capabilities of ForeMost Enterprise. The result is a system that stores and manages both official records and their predecessor “draft” documents to provide appropriate control over the full lifecycle of the items, from origination to disposition.

OmniTREEV v2.3 by TREEV, Inc. with ForeMost Enterprise Version 1.0 by TrueArc

• OmniTREEV/ForeMost is an integrated product that combines the document management, imaging, and workflow capabilities of the OmniTREEV environment with the records management capabilities of ForeMost Enterprise.

iRIMS v7.1.7 by Open Text Corporation

with DocuPACT 2000 by InterTech • In the integrated product, iRIMS

provides the specialized records management functionality, while DocuPACT provides the NT File System-based electronic document/record repository, storage of document/record metadata in a relational database, and document/record search capabilities.

Metadata for Digital Objects

With an emphasis on preservation…

Pat Galloway, SoD, 9/10/09

Remarks on digitization

• Cost-benefit• Sliver of a sliver? Or corpus?• Digitization as preservation• Obligation to preserve• Resulting requirements for metadata

What is metadata?

• Data about data– Database usage– Web usage (metatags)

• Functions?• Kinds?• Several perspectives from which to consider

metadata: orders, functions, life-cycle

First-order metadata: representation schemes

• Encoding (ASCII, proprietary formatting schemes)

• Compression schemes• Encryption or other intentional distortion

schemes• These lie at the base of digital objects and

exist before the creation of the object

Second-order metadata

• Written natural language (for example)• Layout conventions

– Separation of words– Arrangement of groups of words

• Punctuation, capitalization, etc.• Note that this is usually considered to belong

to an external standard (“English”)

Third-order metadata

• “Connections to the world”• Meaning

– Semantics– Pragmatics

Fourth-order metadata

• Functions– What can you do with the digital object?– What is its purpose?– How does it work?– Functionality significant for preservation

• Explicit digital object types

Fifth-order metadata

• Groups of digital objects– Archival series– Project files– “Complex documents”

• Context of the group

More orders?

• Additional intermediate orders could be thought of

• Depends on granularity• May depend on object type

Classic objects of preservation in archives

Content Context Structure

Functional types of metadata Administrative Descriptive (especially resource discovery) Preservation Technical Use

Life cycle view of metadata

Appraisal/Inventory/Scheduling Creation and versioning Transfer/Authenticity Descriptive Use Rights management Preservation and disposition

Attributes of metadata items Source of metadata (internal or external) Method of metadata creation (auto or manual) Nature of metadata (lay or expert) Status (static or dynamic) Structure (structured or unstructured) Semantics (controlled or uncontrolled) Level (item or collection) Note: these attributes are relevant for all

metadata)

Major Archival Metadata Schemes

University of Pittsburgh metadata reference model in six

layers Handle Terms & Conditions Structural Contextual Content Use History

Example: Structural Layer specifies technical details

• File identification metadata• File encoding metadata• File rendering metadata• Record rendering metadata• Content structure metadata• Source metadata

InterPARES Project Authenticity template

• Documentary form• Extrinsic elements• Intrinsic elements

• Annotations• Medium• Context

Dublin Core Metadata Initiative

• Supported by OCLC• Primarily a surrogate/discovery metadata

scheme• Does not aim to document everything• Useful for management of active digital

objects

Basic Dublin Core elements

Title Creator Subject Description Publisher Contributor Date Type

Format Identifier Source Language Relation Coverage Rights

Dublin Core development

• Initial development of simple elements• Subelements and user communities• Warwick Framework• Qualified Dublin Core• RDF and XML

Metadata Encoding and Transmission Standard (METS)

Developed out of LoC’s MOA project Designed to support maintenance of libraries of

digital objects METS document is a “wrapper” containing

pointer to the object plus its metadata Three overall types of metadata (three segments

of METS document)– Descriptive– Administrative– Structural

METS Descriptive metadata

External (e.g., finding aid that can be pointed to via a URL)

Internal (included in the document) Can include several different metadata sets

as relevant

METS Administrative metadata

Technical metadata Intellectual property rights metadata Source metadata (for analog source) Digital provenance metadata

– Relations between files– Migration/transformation data

METS Structural metadata

File groups list Structural map (defines relations between

files and METS element structure) Behavior segment (associates executable

methods with specific files, e.g. for display)

METS and XML

• The METS XML schema• http://www.loc.gov/standards/mets/mets_xs

d/mets.html• Why is it all so complicated?• How can anyone ever keep track of all this

metadata?

http://www.loc.gov/standards/mets/mets_xsd/mets.html

http://www.loc.gov/standards/mets/mets_xsd/mets.html

XML in 10 Points1. XML is for structuring2. XML looks like HTML3. XML is text for computers4. XML is purposely verbose5. XML is a family6. XML is only partly new7. XHTML->XML8. XML is modular9. XML is base for RDF, Semantic Web10. XML is free, universal, supported

Creation Metadata

Metadata added at creation

• By the creator• By the creating application program (note:

some of this is meant for system use)• Example of hybrid process: creation of Word

file

Example: Word processing

Digitization as creation

• Preprocessing• Conversion• Quality control• Object manipulation• Surrogate outputs• (see handouts)

Appraisal / Inventory / Retention Schedule Metadata

Digital Appraisal Decisions

• Keep (costs of carrying into the future)• Allow to Die (keep but do nothing)• Repurpose (separating content and form)• Destroy (microwave the disk?)

Digital Appraisal: What to Appraise

• Content (as with paper?)• Technical support

– System– Creating application– Display requirements– Functionality

What is a Retention Schedule?• Classic record statuses: active, semiactive, inactive• Keep

– Alter function of custodian– Alter custodianship

• Allow to Die– Leave with creator?– Why not always do this?

• Destroy– Determine when to destroy– Almost always a method for reprieve exists…

Record-level vs Group-level Metadata

• Record-level: Metadata orders 1-4– 1 encoded (content)– 2 written (content)– 3 meaning (ontology)– 4 function/purpose=type (form)

• Group-level: Metadata order 5– 5 Object grouping schemes (categories)

• Record groups, record series (intellectual management)• Format, security concerns (physical management)

Transfer / Authenticity Metadata

The central problem: Security guaranteeing Authenticity

• Guarding the object (authenticity, integrity)• Tracking the object through its lifetime• Proving the identities of the people

responsible for transferring the object (authentication, non-repudiation)

• Transferring the object in a secure way

What is transfer about?

• What is a digital copy? What qualifies?– Data compression issues– Data segmentation issues– Creating application vs file-management application

• How can a digital copy be guaranteed?– Digital object as string of bits– Message digest of object as math on the bits– Ship the message digest with the object– Recalculate and compare at the other end

Guaranteeing the authenticity of the object (Integrity)

• Object as open or secret– Must we disguise the object?– Can we move it around in clear?

• Message digest– Creates single number: “one-way hash”– Number will change with the slightest change in the object

on which it was calculated• Encryption (Confidentiality)

– Asymmetric– Symmetric

Accession Metadata

What is the nature of the accession task?

• The object received has been uprooted from its former context

• Object is equipped with enough metadata to reconstruct that context

• Contextual metadata now is no longer functional but descriptive of the old context

• Object must be integrated into a new context (which may mirror the old)

• New functions must be provided for (meta-activities)

Validation of the object

• Validation test suite• Validation tools• Formal validation process• Validation outcomes

– Rejection– Re-transfer– Acceptance

Preparation of the object for storage

• Metadata as data and as processing instructions

• Digital object and use copy• Storage issues

Descriptive Metadata

Descriptive metadata for what?

• Individual objects (Dublin Core, RDF) • Books and other chunks (MARC, MODS)• Multimedia objects (METS, MPEG 21)• Finding aids (EAD): collection-level

What about the single object?

• Is Dublin Core enough?• What for?• Who will describe at the object level?

– Zillions of archivists?– Automatic analysis?– Ad hoc analysis?– Taggers on the Internet?

Preservation Metadata

What is Preservation Metadata?

• Object stability (OAIS “content data object”)– What elements of the object’s content should be

preserved? What is it? What is it for?– What functions of the object should be preserved?– (i.e., how can it remain itself into the future, and what

do we mean by “itself”?)

• Environmental support (OAIS “environment”)– What kind of environmental characteristics does the

object need to stay alive (software, hardware)?– (i.e., how do we specify its life support system?)

Object Stability I: Content

• Authenticity revisited: stability for what?– Access to genuine article– Historical truth– Guarantee of prior art– Intellectual property guarantee

• Range of attributes needed for each– What does “content” mean?

Object Stability II: Functionality

• Static objects (e.g. text)– Look and feel

• Dynamic objects (e.g. computer game)– Look and feel– Connectivity– Interactivity

Environmental Support I: Emulation

• Making it possible to see the object as it was originally seen

• Making it possible for the object to function as it originally did

• Providing software support for that to happen– Running the original program (in an environment that

emulates the original environment)– Running something that looks like (emulates) the

original program

Environmental Support II: Migration

• Deciding what to migrate (deciding what to lose)

• Transformations to the object– If reversible, no need to keep original object– If not, retention of original object necessary

Documentation requirements for preservation

• What the object was• What the object is• What happened in between

OAIS metadata model I

OAIS metadata model II

• SIP (send), AIP (archive), DIP (disseminate)• Parts of an object

– Content– Preservation description

• Reference (unique identifier)• Provenance (history in and out of repository)• Context (archival bond)• Fixity (message digest)

– Packaging– Descriptive

OAIS metadata model III

• What is “representation information”?– How much must be kept?– Monitoring changes

• What is the “knowledge base”?– Designated user community– DUC as “the public”

PREservation Metadata Implementation Strategies

• Preservation metadata set, 2003-present• Assumes OAIS model• Maintaining viability, renderability, understandability,

authenticity, identity• Emphasis on provenance and relationships• Entity concept

– [Intellectual entity: descriptive metadata]– Object– Event– Agent (MARC, MADS)– Rights– Technical/hardware metadata out of scope

PREMIS Example: Object• objectIdentifier• objectCategory• preservationLevel• significantProperties• objectCharacteristics• originalName• storage• environment• signatureInformation• relationship• linkingEventIdentifier• linkingIntellectualEntityIdentifier• linkingRightsStatementIdentifier

Usage Metadata

What is Usage Metadata?

• Internal users (with respect to the creator)• External users (with respect to the creator)• Internal users (with respect to the

repository)• External users (with respect to the

repository)

Creator Usage

• The creator’s actual use of the object– Version control

• The creator’s colleagues’ use of the object– Object function– Object used for reference, model

• The creator’s customers’ use of the object– Object function: mediates relationship

Repository Usage

• Management usage– Object maintenance and preservation– Object analysis

• Designated user community– Object viewing– Object acquisition

Rights Management Metadata

What is Rights Management?

• Protection of copyright• Protection of patent• Protection of the integrity of the digital

object (and thereby reputation of the author/creator herself)

What is being protected?

• Object itself (integrity)• Uses of the object (access controls)

– Limiting use (protecting rights of the owner)– Enabling use (protecting rights of the user)

Protection against theft

• Threats of the law• Fully document with metadata and protect

the metadata• Authentication of users and user requests• Watermarking/steganography

What about integrity of the digital object?

• Relevant even in public domain• E.g. “copyleft” agreement:

http://www.gnu.org/copyleft/gpl.txt• See but not change, or change only with

notification

http://www.gnu.org/copyleft/gpl.txt

Fe Angela M. Verzosa 331

Files Management


Files management -

ensures control at the file level•Files management ensures that records relating to a specific activity or subject are securely maintained together in one file.

•This enables effective decision making and also ensures that the sequence of actions can be reconstructed, that is what happened, when, who did it, why.


Files management

Filing involves

*Arranging records according to a simple, logical system* Placing records in a storage container in correct sequence*Retrieving the records so that they can be used


good filing systems…• contain complete and comprehensive files

thereby enabling effective decision making • provide integrity and continuity regardless of

changes in personnel • facilitate protection and preservation of records • provide low cost and efficient maintenance of

records• reduce the possibility of misfiling and reduce

duplication • mean less time spent searching for files and

documents


Files managementFiling systems

Filing Rules

Files Equipment

Computer Applications


Filing systems• provide only the mechanical structure for arranging records.

• inadequacies of filing stem from human failing, not system failure.

• most suitable system should be applied to a particular type of record, uniformly.


• Simplicity

• Flexibility / Expansibility

•Adaptability

CRITERIA of a good filing system…


Filing methods

• numerical

• alphabetic•functional •geographic

•form

•chronologic


Numerical System

• File units are placed in numerical sequence

• Originated from the registry system, used particularly in accessioning correspondences.

• Unsuited to handling name files.• Ideally useful for case files (file units

containing all documents pertaining to a particular transaction, usually developed in legal or business records.


Alphabetic System

• File units are placed in alphabetical sequence. • First used to arrange records relating to persons, then

gradually to records relating to subjects. • The system may be modified to group records related by a

common subject by: *standardizing subject headings

*subdividing the main subject headings

• Other alphabetical filing systems are: *Alpha-numeric - uses letters to designate main subject headings and numerals for subordinate headings *Mnemonic - uses alphabetical symbols to denote subordinate headings.


Functional Filing System• Records are the result of functions and are used

in relation to them• Records should then be grouped and maintained

according to the functions to which they relate.• The functional categories will reflect the

organization’s purpose, mission, programs, projects and activities.

• Every office or department within an organization has a function and these functions are generally carried out through a series of major programs.

• These major programs are often divided into subprograms until one gets to the individual project level.


Other Filing Systems• Geographic Filing: files records by

location or place first, followed by the name or subject.

• Forms : groups records according to their format or type (e.g. minutes, reports, invoices, receipts)

• Subject Filing: places records under subject classification.

• Chronologic Filing: files records by year, month, and date


University/college Filing classification

system

*Institutional records*administrative records*academic dept records*faculty records*student/alumni records*school publications*theses and dissertations*memorabilia


Codification numeric alpha duplex alpha- subject decimal

numeric numeric numeric

personnel 100 A 3 A PER 1.

employment 110 Aa 3-1 A/1 PER-1 1.1

•recruitment 111 AaA 3-1-1 A/11 PER-1-1 1.1.1•appointment 112 AaB 3-1-2 A/12 PER-1-2 1.1.2•promotion 113 AaC 3-1-3 A/13 PER-1-3 1.1.3•demotion 114 AaD 3-1-4 A/14 PER-1-4 1.1.4•separation 115 AaE 3-1-5 A/15 PER-1-5 1.1.5


Procedures in Filing

• indexing by card or register

• coding by writing symbols or captions, or highlighting indexed name or subject

• sorting by tray, pigeon-hole, or multi-sorter

• filing


Common filing problems

• too many filing places• everybody a file clerk• files disorderly; show no particular plan or

arrangement• system does not fit the way material is called for• some records seem to belong under more than

one category• filing decisions erratic or inconsistent• bulging folders• accumulation of unnecessary or personal

records


Common filing problems

• related records are filed under different categories

• the retrieval rate is poor (inability to locate the required document quickly)

• missing and misplaced documents mean too much time spent looking for files

• a high level of duplication exists • users are setting up personal records systems • incomplete files and backlogs of unfiled

records exist • filing cabinets are jammed with files bulging

with documents


Improve your filing…

• Begin each calendar year with a new set of files

• Files should not exceed ½ thickness• Dedicate time each week for filing to prevent

backlog• Avoid filing extraneous unnecessary duplicate

copies• Avoid tightly jammed files• Safeguard access and confidentiality of

records


When to create new files…

• a new function, subject, activity or project is commenced or

• an existing subject, activity or project is further developed and needs to be split across several files

• an existing file becomes too large and a new part is required

• no existing file is appropriate for the document(s)


Files Equipment

•made of steel•compact and space-efficient•allowance for easy extraction & replacement of files•mobile•proximity to authorized personnel


Training Personnel• receiving and opening mails• placing mail/other papers in correct files• extracting and replacing files• opening/creating new files• indexing & cross-referencing• keeping a record of file movements• retrieving lost/missing files• destroying/disposing files• retiring non-current files

10-352

Filing the Filing the Office RecordsOffice RecordsPowerPoint® presentation to accompany:

Medical AssistingThird Edition

Booth, Whicker, Wyman, Pugh, Thompson

10-353

Importance of Records Management• records are the most valuable information in the

office.

• A records management system refers to the way the records are– Created– Filed– Maintained

A well-organized, easy-to-use system saves time

and protects vital medical data.

10-354

Apply Your Knowledge

What is a records management system?

ANSWER: A records management system is the way patient records are created, filed, and maintained.

Super!

10-355

Filing Equipment • Place where the medical

records are housed

• Choice of type is based on space consideration and personal preference

• Filing shelves– Files are stacked upright on shelves in boxes or heavy-duty

envelopes– Allow more than one person at a time to retrieve files

10-356

Filing Equipment (cont.)

• Filing cabinets– Sturdy pieces of office furniture

of metal or wood– Both vertical and horizontal

(lateral) file cabinets are available

• Compactable files– Kept on rolling shelves that slide along permanent tracks

on the floor– Seen often in offices with limited space for files

10-357

• Rotary circular files– Files are stored in a circular

fashion resembling a revolving door– Also common when space is

limited

• Plastic or cardboard tubs or boxes– Organized like filing cabinet drawers– Inefficient for a large number of files

• Files can easily be misplaced with this system– Heavy to carry around


10-358

Filing Equipment (cont.) • Labeling filing equipment

– Label outside of drawer represents its contents

– Easily retrievable records

• Security measures– Protect confidentiality of medical records– Cabinets should lock or be in a lockable

room– Limit who has keys

A-D

10-359

• Equipment safety– Post safety guidelines – Ensure that everyone

follows rules to prevent injury

• Purchasing filing equipment– First determine space availability– Then determine number of files to store


10-360


A busy office is considering changing the current filing equipment. Which equipment would you recommend to this non-computerized office that will allow more people to retrieve files at the same time?ANSWER: Filing shelves would be a great system if adequate space is available.

Good Answer!

10-361

Filing Supplies

Referred to as manila folders

Available in 8 ½ by 11 inches and 8 ½ by 14 inches

Tabs are tapered rectangular or rounded extensions at the top of the folder

Tabs on the file folder identify the contents

Smith,A. Adams, G.

File folders Tab

10-362

Filing Supplies (cont.)

• Labels– Identify contents– Print clearly or use computer-

generated labels– Cover with tape to prevent

smearing

• File jackets– Resemble file folders but have plastic or metal hooks on both

sides to for hanging them inside filing drawers– Files are placed inside these jackets

10-363


• File guides– Heavy cardboard or plastic

inserts that identify groups of files

• Out guides– Markers made of stiff material;

used as placeholders for removed files

• File sorters– Large envelope-style folders with

tabs that store files temporarily

10-364


• Binders– Some offices use three-ring binders to

keep patient records – Tabs are used to separate individual

charts– Require more storage– Effective for management of active patient records

• Purchasing filing supplies is a common responsibility for medical assistants

10-365


Which of the following would you use to mark the place when removing a patient record from the file?

a. File jacket

b. File guide

c. Out guide

d. File sorter

ANSWER:

AGREAT!

10-366

Filing Systems

• All use a sequential order

• Follow system exactly– To avoid losing or misplacing

records

• Avoid changing system

10-367

Filing Systems: Alphabetic

• Most common system

• Files are arranged in alphabetical order

• Files are labeled with the patient’s last name first, first name, then middle initial

• Each individual must have a separate file

10-368

Filing Systems: Alphabetic (cont.)

• Indexing rules– Guidelines for sequencing files

• Each part of name is a unit – Last name– First name

– Middle name • Titles (Jr., Sr. etc.) are the fourth indexing unit

(to distinguish identical names from each other)

– Use for all alphabetizing done by a medical practice

10-369

Filing Systems: Numeric• Organizes files by numbers instead of names

• Patients are assigned sequential numbers

• This system is often used with highly confidential information

• A master list of patient names and numbers must be kept

10-370

Filing Systems: Numeric (cont.)

• Terminal digit filing– Treat the last 2, 3, or 4 digits in a number as a single unit

• For example, the numbers 024 represent the last three digits of a longer number

• The numbers 024 are then considered ending or terminal digits, so all folders ending in 024 are grouped together

– Filing is done based on last group of numbers

• Middle digit filing– Uses the middle group as primary index for filing

10-371

Filing Systems

• Used to distinguish files within a filing system

• Can be used with either alphabetic or numeric filing systems

• Using classification with color coding– Identify how files are to be classified– Select a separate color for each classification

• Post codes so all are aware of them

10-372

Filing Systems

• With alphabetic filing systems– Each letter is assigned a

color– The first two letters of

the last name are color-coded with colored tabs

– Can easily tell if files are filed correctly

• With numeric filing systems– Numbers 1 to 9 assigned

a distinct color– Helps identify numeric

files that are out of place

51 61

01

43

10-373

Filing Systems (cont.)

• Tickler files– Reminder files

– Check on a regular basis

– Organized by month, week of month or day of week

– Computers systems offer tickler files in the form of a calendar

• Reminders set to alert prior to event

10-374

Filing Systems (cont.)

• Supplemental files– Separate files containing

additional information

– Prevents cluttering of primary files

– Stored in a different location than primary file

– Contents should be distinguished from the primary file contents

10-375

Today is December 17th. Which of the information listed below could be added to a “tickler” file?

a. Names of patients that missed appointments two days ago

b. June medical conference dates just received in the mail

c. Names of patients seen today for their annual check-up


RIGHT!

ANSWER:

10-376

The Filing Process• Medical assistant responsibilities

– Pulling and filing patient records– Filing documents

• Follow practice policies for returning records to the files– Immediately vs. at the end of day

• Place records to be filed in a secure file return area

10-377

The Filing Process (cont.)

Generally the medical assistant files three types of items:

New patientrecordfolders

Individualdocuments

forexistingfolders

Previouslyfiled

patientrecordfolders

10-378


Place files in order to save time when storing

Add an identifying mark to ensure that the file is put in the correct place

Coding

Storing

Name the file using the office classification system

Make sure document is ready to be filed

Indexing

Sorting

Place the files in the appropriate location for easy retrieval when needed

Inspecting

10-379


• Limiting access to files– Limit the number of people in the medical office who have

access to patient records

– Original patient records should not leave the medical office (Exceptions noted in Chapter 9)

– Identifying information is often recorded when files are retrieved

10-380

The Filing Process: Guidelines

• Take a close look at the contents of patient records each time you pull or file them

• Keep files neat– Do not overstuff file folders– Papers should not extend beyond edge of

folder

• Remove file from drawer when adding documents– Prevents damage to documents

10-381

The Filing Process: Guidelines (cont.)

• Do not crowd the file drawer– Allow space for retrieving and replacing

files easily– If possible, use both uppercase and

lowercase letters to label the folders

• Use file guides with a different tab position to aid in finding files

• It is better to provide too many cross-references than too few

10-382

• File regularly

• Do not store anything other than files in the file storage area

• Train all staff who will be retrieving files on the system in place

• Periodically evaluate your office system

The Filing Process – Guidelines (cont.)

10-383

• Determine where the file was when last seen or used

• Look for the file while retracing steps from that location

• Check filing cabinet where it belongs– Check neighboring files

The Filing Process: Locating Misplaced Files

10-384

• Check underneath files in drawer or on shelf

• Check items to be filed• Check with other staff

members• Check other file locations

– Similar indexes– Under patient’s first name– Misfiled chart color

The Filing Process: Locating Misplaced Files (cont.)

10-385

• Ask if someone inadvertently picked up the file with other materials

• Have another person complete the steps to double-check your search

• Straighten the office, carefully checking all piles of information


10-386

• File may be considered lost if not found within 24 to 48 hours

• Lost files can have potentially devastating consequences

• Recreate a new file – Physicians and staff record recollections of information in

the file

– Duplicate documents from labs, insurance companies, etc.


10-387

• Active files are files that you use frequently

• Inactive files are files that you use infrequently

• Closed files– Files of patients that no longer consult the office– The physician determines when a file is deemed

inactive or closed

The Filing Process: Active vs. Inactive Files

10-388


The medical assistant is training a new employee who will primarily be responsible for the medical records. The new employee asks “Can I first sort the charts, then inspect them?” List the 5 steps to filing in the correct order and provide an explanation to answer her.ANSWER: The 5 steps to filing

are:

1. Inspecting 2. Indexing

3. Coding 4. Sorting

5. Storing

The charts should be inspected first to be sure all necessary documents are in the charts an that they are ready for sorting and storing.

10-389

Inactive and Closed File Storage

BasicStorageOptions

Computer Storage

Microfilm Paper Storage

Files remain in their original format Labeled boxes with lids to allow even stacking If the paper becomes brittle, transfer documents to another storage medium.

Patient records can be scanned and saved on computer tapes, recordable CDs or DVDs, flash drives, or external hard drives.

Microfilm, microfiche and film cartridges offer a paperless way of storing records.

10-390

File Storage Facilities

• Some offices have extra storage space on-site

• Smaller offices require the use of off-site storage– Use a facility that takes precautions against fires

and floods– Maintain a list of all files stored at off-site

locations

10-391

File Storage Safety• Inactive and closed files must remain safe and secure

• Evaluate storage sites carefully

• Preferably place files in fireproof and waterproof containers

• The storage site should be safe from– Fire and floods– Vandalism and theft– Extremes of temperature

10-392

• Retention schedule – Specifies how long patient records are to be kept

once they become inactive or closed– Details when files should be moved to storage and

when they can be destroyed

• Generally determined by the physician

File Storage: Retaining Files in the Office

10-393

• Certain records have legal criteria for the length they must be maintained in the office, such as– Immunizations– Employee health records– Medical office financial records

• Criteria from– IRS – financial records– AMA, American Hospital Association– HIPAA law– Federal and state laws

File Storage: Retaining Files in the Office (cont.)

10-394

• Destruction of records

– Maintain Confidentiality

– Shred

– Retain list of documents destroyed

File Storage: Retaining Files in the Office (cont.)

10-395

An employee who quit two years ago telephones and requests that copies of her annual physical examination forms, which she submitted while employed, be mailed to her home address. How would you handle this?


ANSWER: You should get this request in writing and then proceed to locate the records. The Labor Standards Act specifies that employee health records must be kept for three years, so they should be on hand at the office.

ExcellentExcellent!!

10-396

In Summary• Organization of filing system depends on how files

need to be retrieved– Two systems: alphabetic and numeric

• Color-coding further identifies files– Filing process has five steps: inspecting, indexing, coding,

sorting, and storing

• Storage of inactive and closed files is often off-site– Variety of formats for storage

• Retention of stored files depends on legal, state, and federal guidelines

Records ManagementRecords Management The DoD 5015.2-STD A The DoD 5015.2-STD A

Foundation For Information Foundation For Information SuperioritySuperiority

Office of Assistant Secretary of Defense (C3I)I&ID. Burton Newlin, Jr.

Record• Record. A record consists of information, regardless of

medium, detailing the transaction of business. Records include all books, papers, maps, photographs, machine-readable materials, and other documentary materials, regardless of physical form or characteristics, made or received by an Agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that Agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the value of data in the record. (44 U.S.C. 3301)

DoD Records Management ProgramDoD Records Management Program

• DoD Directive 5015.2, “DoD Records Management Program” April 1997

• DoD 5015.2-STD, “Design Criteria Standard for Electronic Records Management Software Applications”

November 1997

DoD 5015.2-STD

• This Standard is effective immediately and is mandatory for use by all DoD Components.

• Electronic record management information systems already in use must comply with this Standard within two years of the effective date of this document (Nov 99’).

DOD 5015.2-STD

DESIGN CRITERIA STANDARD

FOR

ELECTRONIC RECORDS MANAGEMENTSOFTWARE APPLICATIONS

November 1997

ASSISTANT SECRETARY OF DEFENSEFOR

COMMAND, CONTROL, COMMUNICATIONS,AND INTELLIGENCE

DoD 5015.2-STD

Foreword

Table of Contents

References

Abbreviations and /or Acronyms

1. General Information

2. Mandatory Requirements

3. Non-Mandatory Requirements

Appendix

Definitions

DoD 5015.2-STD References

(a) Section 2902 of title 44, United States Code, "Objectives of Records

Management"(b) Section 3103 of title 44, United States Code,

"Transfer of Records to Records Centers"(C) Title 41, Code of Federal Regulations, Part 201-9, "Creation, Maintenance, and Use of Records," current edition(d) Title 36, Code of Federal Regulations Part, 1222.10, "Creation and Maintenance of Federal Records," current edition(e) Federal Information Processing Standard Publication 4-1, "Representation for Calendar Date and

Ordinal Date for Information Interchange,"

March 25, 1996

Relationships Between Laws and COTS Relationships Between Laws and COTS ProductsProducts

Legislation, Laws, Regulations, 44 USC. Policy Directive, DoDD 5015.2

Standard, DoD 5015.2-STD Standards Test Suites

Certified Product Register Commercial Off-the-Shelf

(COTS) Products

1. Tested and Certified Products

DoD Records Management DoD Records Management ProductsProducts

ForeMost from Provenance, Inc TRIM from Tower Software Corp. CS-CIMS from DynSolutions, Inc with ForeMost

2. Products Scheduled for Testing: 15 June - Saros Document Manager from FileNet, Inc with ForeMost 6 July - Record Manager from Educom Business Solutions with DOCS Open from PC DOCS 3 Aug - DOCS Open from PC DOCS, Inc with e.POWER from USI and ForeMost 24 Aug - Cuadra Star from Cuadra Associates, Inc 19 Oct - RIMS Studio from PSSoftware Solutions

Memo of UnderstandingMemo of UnderstandingBetween DoD and NARABetween DoD and NARA

The collaboration will start with a review by NARA of the government-wide usefulness of a standard, DOD 5015.2-STD, that was recently established for electronic records-management software. NARA will review the DOD standard and the testing program for their applicability throughout the Federal Government. Once this review is completed, NARA and DOD will work together to extend the standard to cover additional aspects of records management.

WHAT REMAINS TO BE DONE

DoD Records Management DoD Records Management ProgramProgram

1. Continue developing RMA to meet Classification Marking , Privacy and FOIA Requirements.

2. Extend the RMA Certification Program to include the Defense Messaging System.

3. Work with NARA and other agencies to improve management of information contained in records throughout the Government.

DoD 5015.2-STDFY 98 and 99 Revision Schedule

Develop Classification & Marking Functional StatementsIncorporate NARA CommentsAddress Other Comments Received on the StandardPrepare Functional Statements

Prepare Test Suite for RevisedStandard

Develop Privacy & FOIA Functional Statements

Develop DMS Functional Statements

Coordinate RevisedDraft Standard withGovernment &Industry

IncorporateComments

Coordinate &Approve RevisedStandard

September1998

March1999

June1999

September1999

DoD Records Management ProgramDoD Records Management Program

Records Management Home Page

http://jitc.fhu.disa.mil/recmgt/index.htm http://web7.whs.osd.mil/dodiss/publications/pub2.htm http://www.dtic.mil/c3i/recmgmt.html#d5015

Burt [email protected]

Voice: (703) 614-6642 Fax: (703) 614-7687

DoD Records Management ProgramDoD Records Management ProgramGRS-20 (Electronic Records)

General Records Schedule (GRS) 20Save all e-mail & Word processing DocumentsJudge Friedman directed Archivist to develop permanent plan dealing with electronic records by Sept. 30, 1998DoD 5015.2-STD Part of Solution

C2.2.4. Storing Records

C2.2.5. Scheduling Records

C2.2.6. Screening Records

C2.2.7. Retrieving Records

C2.2.8. Transferring Records

C2.2.9. Destroying Records

C2.2.10. Access Control

C2.2.11. System Audits

C2.2.12. System Management Requirements

C2.2.13. Additional Baseline

DoD 5015.2-STD Chapter 2 Mandatory Requirements

C2.1. GENERAL REQUIREMENTS

C2.1.1. Managing Records.

C2.1.2. Accommodating Year 2000 and Twenty-First Century Dates.

C2.1.3. Implementing Standard Data.

C2.2. DETAIL REQUIREMENTS

C2.2.1. Implementing File Plans

C2.2.2. Identifying and Filing Records

C2.2.3. Filing Electronic Mail Messages (E-Mail)

Example of Technical RequirementExample of Technical Requirement• 4.3 Accommodating Twenty-First Century Dates.

RMAs shall correctly accommodate and process information containing the year 2000 and beyond as well as dates in the current and previous centuries. The capability shall include, but not be limited to, date data century recognition, calculations and logic that accommodate same century and multi-century formulas and date values, and date data interface values that reflect the century. In addition, leap year calculations shall be accommodated (i.e. 1900 is not a leap year, 2000 is a leap year).

Working together for FOI: 11 December 2003

CASE STUDY ON

RECORDS MANAGEMENT & FOI

Pam O’Hanlon Enterprise Information Manager

Cornwall County Council


OUTLINE

What Cornwall CC has been doingRelationship between Documents, Records and web contentSoftware implicationsHow FOI fits.


CONTEXT

Became Information Manager in 1998Structured Information under controlProblems with unstructured information Tendered for a Doc Mang. system in 1999


Information overload?


DOCUMENT MANAGEMENT

Projects to support the case benefits:Space savingTime saving Ease of accessAvailable to more people


DOCUMENT MANAGEMENT continued

Issues:Not many corporate systems available Technically/organisationally challengingInternal funding issuesManagement Board did not appoint


RECORDS MANAGEMENT (1)

Change of structure in the CouncilTime to influence Councillors & Chief Officers- ICT Panel- IT BoardFOI became my responsibilityMore attention on managing records


WHY NOT JUST DOCUMENT MANAGEMENT?

Need to:Have audit trails – evidence in courtMake sure they cannot be alteredSet retention schedules Control the transfer of data to the County Records Office for preservation


WHY NOT JUST DOCUMENT MANAGEMENT CONT.?

Need to:Have a proper structure for recordsManage e-mailsMeet requirements of FOIMeet codes of practice on RM



IT Board agreed to develop a Business Case 2002 Analysis of 6 areas Business case approved in Nov 2002



Work still not sufficiently tied to RM

Records Management Policy Approved Agreement for a Corporate Programme of work Detailed analysis of 12 processes/records Input the findings to the Specification


ERDMS SPECIFICATION

Based on National Archives 2002 specIncluded appropriate EU specificationIncluded info from audit of 12 areasIncluded spec for WCMIn partnership with the Districts


ERDMS CONTRACT

Tendered in September 2003Pre EvaluationEvaluationAwarded contract in March 2004Did not purchase WCMEnterprise licence purchased


ERDMS NEXT STEPS

Corporate funding for project teamProject ManagerRecords ManagerTrainer AnalystsProgrammersInfrastructure & Security specialists


ERDMS NEXT STEPS continued

6 processes for year 1

Reporting- Project Board- Information Management Group- IT Board


INDIVIDUAL REQUESTS UNDER FOI

Our first process!Workflow agreedStandard letters agreedFOI co-ordination reps appointedReady to start


FOI SCHEME

Have database for scheme3 layer system meets ISO15489- Function- Activity- TransactionLinks to all info available on our websiteElectronic approval process for changes


FOI SCHEME & ERDMS

Generate the Scheme from ERDMSBusiness Classification System in ERMDS mirrored in FOI SchemeMetadata set as the Fileplan is generated.Scheme approval process moved to ERDMS


WEB CONTENT MANAGEMENT

Web is a communication mediumUsed for displaying and collecting infoWe currently use FrontPageData is stored in web directories, duplicating original data in departmentsIt is labour intensive


WEB CONTENT MANAGEMENT continued

Difficult to find out when key documents are producedHard to get the latest versions of documentsRely on staff wanting to publish on the web


ERDMS & WEB CONTENT MANAGEMENT

All records will have version control – always know the latest

All major policies, strategies etc. are records and will be in the ERDMS


ERDMS & WEB CONTENT MANAGEMENT continued

Proactive display Search via the webEliminate duplicationTransition will take 4+ years


ERDMS & WEB – NEXT STEPS

Get experience with ERDMS Develop new spec for WCMInterfacing very importantTender through our ERDMS supplier Start the transition

SELECTING RECORDS MANAGEMENT SOFTWARE FOR THE

NSW DEPARTMENT OF HEALTH

Records Managers Forum19 November 2002David PallotManager Corporate Records ServicesNSW Department of Health

Presentation Outline• Where did we start

• What the consultant did

• What We Did Then

• What we could have done better

• Summary

Where Did We Start• In 1996 the Department engaged a Consultant

to conduct a review of its records management program and records management software

• Terms of Reference fro the Consultant were developed by the Manager, Corporate Records Services and these were:

Examine current document and records management technology available within the department;

Develop user requirements for document and records management systems within the department. Both hardcopy and electronic media are to be included.

Assess current document and records management procedures within the department;

Examine the feasibility of integrating document and records management systems;

Investigate the suitability of commercial products recommended by the Government Selected Application Systems (GSAS) Program versus upgrading the existing systems to cater for defined needs, developing a recommendation concerning the best strategy and product;

Assess the impact and security implications of extending access to other geographic locations with varying levels of access rights;

Define the required capital infrastructure to run the recommended system and any investment required;

Determine on-going resources required to administer and maintain the system

Prepare estimates of initial and on-going costs associated with recommended systems;

Provide an implementation strategy

• The consultant was also directed to consider the following requirements:

NSW Legislation NSW Government Policy State Records NSW Policies and Guidelines NSW Department of Health Policies Key Stakeholder Requirements Corporate Records Services Requirements The Australian Standard AS4390

What the Consultant Did• Identified and talked to key stakeholders about:

The types of business that they conduct Their business processes The type of records they create What tools they were using to manage their

documents/records Their requirements in relation to records

management programs/software

• The review of the records management program made 46 recommendations.

• There were 11 recommendations in relation to records management software requirements:

Selective registration of incoming mail Electronic capture and distribution of faxes Use of single database to register selected incoming mail, and provision of wide access subject to security restrictions Restrict scanning of incoming documents initially to

selected, highly critical documents such as important ministerial

Save important e-mail messages as records in the records/document management software Collect and distribute operating policies and instructions electronically

Capture any unregistered filing systems into the corporate index, or an equivalent system providing automated access to file titles

Conduct a file audit in every unit, not less that once every 6-8 weeks

Provide all staff with access to the records/document management software to record file and document movements

Transfer disposal lists from Excel to the records/document management software. Assign all disposal action through the system so that disposal decisions are accessible to all staff

Build user interfaces which incorporate the design elements of the document management system into office automation tools

• One of the outcomes of the consultations with key stakeholders and evaluation of the departments records management software requirements was the development of a software evaluation matrix

• The matrix evaluation used was a maximum of one point per criteria

• Each criteria could be marked as– 0 for non compliance– 0.5 for part compliance– 1 for total compliance

• Each section was added to give a sub total for each vendor

• The sub totals were added to give the over all total for each vendor

• From that software evaluation matrix the consultant wrote the document “Systems Requirements for a Computer Based Records and Document Management System”

• Records management software vendors under the GSAS Program were provided with a copy of this document and asked to respond to the listed criteria within a specified timeframe

What We Did Then

• An Evaluation Committee was established and the membership comprised of the:– Consultant– Manager, Corporate Records Services– Team Leader, Records Services– Key Stakeholders x 2– Project Sponsor

• The role of the Committee was to: Evaluate the vendors response against the Product

Evaluation Matrix

Where possible attend a presentation by the vendor to assess the software product against the Product Evaluation Matrix

Attend a nominated reference site to evaluate the software in a live working environment

• Once the evaluation process was completed the consultant made a recommendation to the department based on the Evaluation Committee’s assessment of the software products

• This did not complete the assessment process.

• Further assessment and clarification of some aspects of the recommended software were conducted with the successful vendor prior to purchase

• The consultant then developed the records management program and software implementation plan that specified the project implementation timeframe

• The Project Plan (including cash flow) had 16 Phases: Endorsement Project Management Implementation Plan Software Purchase Testing and Installation

Thesaurus Development and Implementation Documentation Develop Training Package Training – Key Users Training Development - Other Users Disposal Schedule Development and Implementation Training – Other Staff Conversion Equipment File Covers and Components Post Implementation Review

• Each Phase had a specified time frame and outcome measures

• The cash flow aspect was important for annual budget formulation

What Could We Have Done Better• Be clear with stakeholders about their wish list versus

what was possible in relation to the records management program/software

• Built a stronger relationship with IT that also had a clear written agreement on their role and responsibilities in the selection and implementation of the software

• Resourced the project more appropriately

Summary• Get your CEO endorsement for the project and don’t be

afraid to use it• Get IT Management on board and involved early• Be clear about what your records management software

requirements are• Be realistic of your capabilities in all facets of the project,

take one step at a time• Just because the consultant recommends something, it

does not necessarily mean you have to do it

eCollaboration and Enterprise Content Management

Tero PäivärintaUniversity of Agder

Agenda• Possibility to log-in 8.30 for those needing practice in

Live Meeting as such• Groups & Group work topics?

• Some ideas lifted up for everyone

• A closer look at & closer comparison of the three main concepts – Discussion-oriented ”go-through”– ECM– eCollaboration– Social Computing / Web 2.0

• Sharing the cases

Groups / Group work topics

• The newcomers in the course – brief introduction round?

• Situation

Basic Concepts

• Enterprise Content Management (ECM)– ”integrated enterprise-wide management of the life cycles

of all forms of recorded information content and their metadata, organized according to corporate taxonomies and supported by appropriate technological and administrative infrastructures” Munkvold et al. 2006

– ”strategies, tools, processes, and skills an organization needs to manage its information assets over their life cycle – including assets such as documents, data, reports and web pages” (Smith and McKeen, 2003)

History – Content management• Archival/library science -> document management -> content

management– Library of Alexandria (200 BC), medieval monasteries -> libraries

• information retrieval– Records management (paper, microfiche etc.-> electronic records)

• metadata, longevity, retention– Electronic document (file) management (1960-70s)– Relational databases (1960-70s)

• technical separation from ”file management”– Structured documents (1980s)

• e.g. SGML -> XML, granularity of content blurred from ”file”– (Web) content management (mid-1990s)– (Content) portals (2000)

• unified access to all recorded information -> finally logically under the same ”umbrella”

Example: CM ”systems” in Statoil 2003• Effective search and navigation

depends on you knowing where the information is stored, such as

– The internet browser and Eureka– Start-meny and Active Desktop– Lotus Notes workspaces– Lotus Notes database catalogue– Citrix Program Neighborhood– Docmap and Virtual Library– Common and private disks– Internal Net Sites– 165 different formats in

digital libraries and archives ..

How many ”content managementsystems” exists in this course / UiA?

Is content managed to a satisfactory extent?

(If not, what would be the most ”interesting” areas?)

Does it make sense to phraseECM this widely? Why, why not?

Major issues mentioned in connection to 48 ECM cases (Päivärinta &

Munkvold 05)

Content Model

Infrastructure Administration

Change Management

Objectives Impacts

Enterprise Model

Main objectives and desired impacts (of ECM)

• improved internal & external collaboration• value-added / new customer services and products• reliability & quality of information content• modern/professional image of organization• efficiency, effectiveness, flexibility of work• meaningfulness of work• organizational memory• direct cost savings (info operations & facilities)• compliance to external regulations & standards• platforms & capabilities to develop targeted applications

quickly

Basic concepts (2)

• eCollaboration– ”global access to and the management of a

common pool of digital assets used to collaborate, support work processes and share information between the company and their customers, employees and business partners” (Statoil eCollaboration strategy, 2002)

History – collaboration technologies

• 1960s Stanford (Englebart) – first ideas of hypertext, word processing, data conferencing

• ”Office automation” – early 1980s• Computer-supported cooperative work (CSCW) –

1984– merger of telecommunication & computers

• Since, a large number of technologies under varying labels– knowledge management, digital collaboration,

eCollaboration, c-Commerce…– document-based systems / workflows early included also

in the concept of eCollaboration

”Time-space” matrix of ”traditional” collaboration technology

(Some electronic meetings

which facilitate group-decision-

making)

Electronic ”whiteboards”…

E-mail

Document mgmt

Calendar, scheduling

Workflow mgmt

Electronic bulletin boards

Audioconference

Videoconference

Data conferencing

Instant messaging

Desktop conferencing / application sharing

E-mail

Document mgmt

Web-based team rooms

Calendar, scheduling

Workflow mgmt

Electronic bulletin boards

Diff

eren

t pl

ace

Sam

e pl

ace

Same time Different time

Adapted from DeSanctis & Gallupe -87

Categories of eCollaboration Technologies

• Communication– E-mail, IM, audio/videoconf.

• Shared information space– Document mgmt, team/project rooms, data conferencing, application

sharing, electronic bulletin boards• Meeting support

– Electronic meeting systems• Coordination

– Workflow mgmt, calendar & scheduling• Integrated products

– Collaboration product suites, integrated team support packages, e-learning systems

Basic Concepts (3)

• Social computing (a.k.a. Web 2.0, online communities)-”A large number of new [Web] applications and services

that facilitate collective action and social interaction online with rich exchange of multimedia information and evolution of aggregate knowledge… Examples include blogs, wikis, social bookmarking, peer-to-peer networks, open source communities, photo and video sharing communities, and online business networks.” (Parameswaran & Whinston 07)

History of ”social computing”• Early on-line multi-player games 1970s, Zork (MIT, 1977)

MUD (Multi-user dungeon, Essex UK, 1978)• WWW – CERN 1980s, early 1990s

– ”Web 1.0 was all about connecting people. It was an interactive space, and I think Web 2.0 is of course a piece of jargon, nobody even knows what it means. If Web 2.0 for you is blogs and wikis, then that is people to people. But that was what the Web was supposed to be all along.” (Tim Berners-Lee)

• Napster (1999-2001) – peer-to-peer MP3 sharing• The rest… applications on the WWW

– ”collaboration”, social interaction, blurring fun & serious networking, outside the corporate boundaries

• Enterprises started to interest in possibilities to utilize these technologies/ideas since the early 2000s

Basic Concepts

Enterprise Content Management

eCollaborationSocial Computing

Blog

Records management, archiving

IM

2nd life

YouTube

Corporate Wiki

Wikipedia

TeamSite

Telephoneconferencing

Document-basedworkflow

E-mail

Calendar

Facebook

Difficult to categorize? Examples.

Data/Documentstorage

Corporate

portal

CorporateWWW-siteExtra

net

Del.ici

.ous

WWW-gamesLinkedIn

MSN

FolksonomyCorporate taxonomy,metadata

Enterprise search

Flickr

Framework for further discussion

Content Model


Change Management

Objectives Impacts

Enterprise ModelPeople / Culture

Communication /

Argument:In addition to ECM, alsoe-Collaboration and socialcomputing applications in enterprisesrequire a holistic understanding of these issues (the elements of people, culture &communication model added to the picture, if compared to Päivärinta & Munkvold 05)

Why these altogether?• line of argumentation:

– ECM – basis for any serious information processing in the enterprise– …but ECM is providing limited value alone, unless adopted to support

information utilization by groups (or even crowds)• organizational uses needs to be discussed together with eCollaboration in

general– …while social computing innovations provide new opportunities for

enterprises to utilize collaboration• …where information content often still needs to be managed, both

content used as a basis & content resulting from this social computing.– I.e. The trend is that organizations need to utilize integrated

information systems with elements of all of these.• numerous challenges

An important remark

• This course is interested in the enterprise view on these ideas and technologies.– e.g. all of the ideas related to particular concepts

or technologies need to have some significance or use for an enterprise

– (e.g. Facebook’s importance for maintaining personal social connections is not per se in our interests, whereas it will be, if we can utilize it for a business purpose)

ECM

eCollaboration

Social computing

Summary (2)

t

Framework

Content Model


Change Management

Objectives Impacts


Communication /

ECM: Objectives & impacts• Thinking exercise & discussion: go through each objective for

1-2 minutes (alone or groups):– What would the following things be concretely in university courses (1

example per each)?– …and how to measure them?

• ECM objectives / desired impacts (Päivärinta & Munkvold 05):– Improving internal / external collaboration– Value-added / new customer services and products– Reliability and quality of content, less errors in products and practices– Modern & professional image

• (to be continued on the next slide)

ECM: Objectives & impacts (cont.)

– Efficiency, effectiveness, flexibility of knowledge work / business processes

– Meaningful knowledge work / less tedious routines– Organizational memory– Direct cost savings (e.g. of information processing, etc.)– Satisfying external regulations / standards– Platforms / capabilities to develop / maintain targeted

(and emerging) content management applications• Do you find any other categories? (let us know…)

A Wider View: ECM vs. eCollaboration vs. Social computing: Objectives

• eCollaboration objectives– Collaboration effectiveness of teams

& groups highlighted• Often also informal teams -> less

organization-unit-focused thinking than in ECM

• Knowledge ”mobilization” here and now

• Customer contact– Quality of decisions (i.e. group-

decisions are better?)– (direct (travel) cost savings + cutting

non-meaningful travels)– Image?– ”Platforms”– Highlights the team/group view and

often task-oriented focus on ”now”• To exaggerate: (ECM mostly

”organization / enterprise –oriented” ?)

• Social comp. Objectives– ”Individually-originated objectives

turn to loose community-feelings”– Keeping oneself upgraded on ”what’s

fancy”– Expressing oneself– Connecting people who like to be

connected• Knowledge exchange as a happy

”side product”?– Building voluntary competence

networks– Image?– Meaningfulness of the social milieu –

the work should also be socially and intellectually rewarding (even fun)

– Person-oriented focus on satisfaction at work (and social-human relations)

• Assumption: knowledge sharing and other benefits follow this…

Framework

ContentInfrastructure Administration

Change Management

Objectives Impacts


Communication /

ECM: Content model(s)• Discussion: What would the following elements be in UiA’s

course content ”model(s)”? Examples?– Content presentations, structures, views?– Content life-cycle– Metadata– (Corporate) taxonomies (vs.? ”folksonomies”)

• Discussion 2: What needs to be ”modelled”?• Discussion 3: Who ”meets” the content model(s) in practice

and how?– i.e. who needs to be knowledgeable of ”content modelling”,

concerning the particular areas of it?• Discussion 4: Is / Can / Should there be ”enterprise-wide”

content modelling?

ECM vs. eCollaboration vs. Social computing: Content/Communication model

• eCollaboration– Ad hoc group communication an

important part• Meetings, e-mails, instant

messages etc. ”abstract” categories of communication

• Combined to more formal ”genres”

– Need to manage content in relation to most usual group communications tasks

• Social computing– Communications about oneself

(profiles, interests, humour, expertise)

– Structures to network under common interests

– Rich communication means, free sharing

• Video, pictures, comparisons…– Quick and flexible linking of

information– ”Folksonomies” (vs.

”taxonomies” to organize content of interest

– Platform for ”citizen” movements… opinion-expressing

Framework

Content Model


Change Management

Objectives ImpactsEnterprise

People / Culture

Communication /

ECM: Enterprise model(s)• ”… a shared idea about what needs to be done in the enterprise, who does

what, who is in charge of what.”?• A number of different ”conceptualizations” and their mixtures

– Business / support processes, tasks– Resources, roles, teams, organization units (budgeting entities)– Projects– Geographical sites– even persons… etc.

• How to organize content ownership / responsibilities? • Discussion: What ”enterprise models” are in active use in UiA / courses?

– Who decides? – or… is there many competing ones?– Do the ”enterprise-models-in-use” match to the models indicated by

information systems applications?• Discussion: How do particular kinds of objectives relate to particular kinds

of ideas of the enterprise? (i.e. what is the unit for analysis for expected benefit from developing ECM according to a particular goal?)

ECM vs. eCollaboration vs. Social computing: Enterprise model

• eCollaboration– Generic ideas about the group /

team collaboration scenarios• Tasks and task sequences,

generic / technical types of user roles

– Meeting host, participants

– Specialized applications may build more focused and formalized role structures

– Often crosses e.g. budget unit boundaries

– ”Formalizes” cross-unit task groups?

• Social computing– Networks of people with

common interests• Relationships build around

common interests or previous social relations

– Makes ”the informal organization” visible?

• Could that be used for enterprise purposes?

– ”Visible individuals” and ”responders”

• E.g. blogging typically not practiced by many, but commenting can then be

Framework

Content Model

Infrastructure

Change Management

Objectives Impacts


Communication /

Administration

ECM: IT infrastructure• All the hardware & software & IT services needed to make ECM work

– Analysis alternatives – which relate to which content / part of enterprise / type of people…?

• Infrastructure challenges in ECM:– Integrating applications & tools throughout content life-cycle– Seamless user experience of content retrieval and production– Update management of hardware, software, and even operating systems

(still)– Technology updates to make content sharing among applications & devices

possible (towards ”application-independent” content formats ?)– Information security issues– Lately: competing infrastructures between different parts of enterprises

• Mergers, or otherwise.

ECM vs. eCollaboration vs. Social computing:IT infrastructure

• eCollaboration– In addition to ECM– Mostly a (more or less

standardized) set of available person-to-person and team communication tools, sponsored by the enterprise

– Technical challenge: accessibility and stability of use

• Social computing– So far: web-based

applications (more or less) ”allowed” to be used by companies

– Technical challenge: information security?

– To become: ever more integrated as a part of content mgmt & e-collaboration ”offices”

• Problem – does it then work only inside a firm?

Framework

Content Model


Change Management

Objectives Impacts


Communication /

ECM: Administration issues• Regulations, standards, policies, routines,

administrative procedures• Awareness• Organizational support for new roles?

– From local archivists to support persons for global production / retrieval of content

– Cf. J. D. Edwards – five new organizational roles to support new content mgmt applications

• Technical support• Discussion: Which administration issues are the most

challenging ones?

ECM vs. eCollaboration vs. Social computing: Administration

• eCollaboration– Awareness– Motivation to adopt– Support for learning

• Ability to adopt

– Cultivating the practices• E.g. ”good e-meeting

practice” beside mastering the tools as such

• Social computing– ”What counts as real

work”?• Policy, shared culture• (less individual adoption

problems among younger employees?)

– Information security practice

• E.g. anonymity not allowed

Framework

Content Model


Change Management

Objectives Impacts


Communication /

Change management• Justification of ECM initiatives

– How to make a business case to get corporate sponsoring?– From justification to ”benefits management”

• Maintaining mgmt support & development resources– ECM is seldomly a ”project”, but a process

• Competence acquisition & upkeep– AIIM Feb 2008 – Lack of ECM competence does not cease in the

foreseeable future• Organizational / user resistance for change / standardization

– Again: ”Benefits management” -> Benefits realization– How to involve users?

• Often ”benefit disparity”• Discussion: How well is change management taken into account

in previous content mgmt / collaboration initiatives at UiA?

ECM vs. eCollaboration vs. Social computing: Change mgmt

• eCollaboration– Key issue: how to introduce

new tools so that they reach a ”critical mass” of users within a relatively short time-frame

– Illustrative business cases to motivate /justify

• Individual users• Organizational sponsors• ”What is the value of our e-

mail application?”– (We’ll come back to

implementation issues in organizations later)

• Social computing– Key issue: how to make potential

value of social computing clear for management?

• Obstructive: how to ”fight” against employee use of soc. comp.?

• Supportive: how to foster a sensible ”corporate attitude” and to make it clear to all employees?

• ”Why should our employees mingle during the office hours?”

– Who should pay for implementing these in the corporation?

Summary• ECM, eCollaboration & Social computing highlight

slightly different issues– Objectives / impacts, enterprise, communication/content

models, infrastructure issues, administration & change management challenges

• In addition to ECM, eCollaboration & social computing perhaps highlight more– People-oriented issues– ”Cultivation” of corporate culture– ”ECM” is more driven and cultivated by content

management professionals, should be almost ”invisible” background service for users

• Vs. eCollaboration & social computing!

Framework

Content Model


Change Management

Objectives Impacts


Communication /

Culture

• Foci – Cultural ”main differences”– ECM – robust management of ”enterprise

information”– eCollaboration – effective groups / teams on more

or less pre-known tasks– Social computing – individual motivations to self-

expression, social networking, fun -> ”happy accidents” of knowledge mobilization?

”People”

• Discussion– What kind of people-related issues can / need to

be managed / recognized?• ECM• eCollaboration• social computing

End of the course

electronic records and system development -course notes- assoc. prof. dr. Özgür kÜlcÜ

Documents

electronic records

public records

beginning records

inactive records

records committee

pubic records

records center slide

records management functions