1. No category

What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
What is so difficult about
electronic records management anyway?
Marc Fresko
Inforesight Limited
Arhivele electronice si administratia publica
Bucureşti, 04 octombrie 2010
1
Copyright © Inforesight Ltd 20090
Agenda
◢
◢
◢
◢
◢
◢
◢
Context
Kinds of records
The right technology
It’s not just technology
Change is not immediate
Records last longer than systems
Conclusions
2
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 1
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Context: 1
◢
Specialist management consultant
◤
◢
Information Management, Electronic Records Management
25 years experience
Office
Automation Imaging
1985
ERM
EDM
1990
1995
ECM
2000
MoReq
◢
MoReq, MoReq2 principal author
2005
2010
MoReq2
3
Copyright © Inforesight Ltd 20090
Context: 2
◢
◢
◢
◢
◢
We work in a time of electronic records
Electronic records are becoming more and more
important
Electronic records are increasing in volume
enormously
Almost all our records are “born electronic”
There is an overwhelming need for electronic
records management (ERM)
4
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 2
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Context: 3
In the United Kingdom, we have seen hundreds of
ERM system projects
◢ Many have succeeded
◢ Many have failed
ERM projects can succeed, but they are difficult
◢
5
Copyright © Inforesight Ltd 20090
Agenda
◢
◢
◢
◢
◢
◢
◢
Context
Kinds of records
The right technology
It’s not just technology
Change is not immediate
Records last longer than systems
Conclusions
6
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 3
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Kinds of records
◢
There are many kinds of records
◤
◤
◤
◤
◤
◢
Structured, unstructured
Case file, non-case file
Created by staff, created by systems, received from outside
Electronic, physical
Many different electronic formats
Records management has to manage all of these
7
Copyright © Inforesight Ltd 20090
Structured, unstructured
◢
Structured records are:
◤
◤
◤
◢
Are stored as data in databases
Have a predictable internal structure for content
Are used mainly by computer applications, e.g. payroll
Unstructured records are:
◤
◤
◤
Stored anywhere
Have no predictable structure for content
Are used mainly by human beings. Examples: images, text
8
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 4
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Case file, non-case file
◢
◢
Case files and non-case files contain records
Case files:
◤
◤
◤
◢
Have consistent internal structure
Result from predictable high-volume business processes
E.g.: licence applications; complaints; insurance claims
Non-case files:
◤
◤
◤
Have no consistent internal structure
Result from unpredictable business processes
E.g.: policy development files, meeting minutes, client
correspondence
9
Copyright © Inforesight Ltd 20090
Electronic, physical
◢
Physical:
◤
◢
Paper, microfilm, removable digital media, physical samples
Electronic:
◤
◤
Stored and managed as digital objects using computers
See next slide…
10
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 5
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Many different electronic formats
11
Copyright © Inforesight Ltd 20090
Records managed by ERM systems
Records managed in
business applications
All this is in scope of
ERM as a discipline
Case Records
Non- Case Records
Records typically managed
by ERM systems
Structured Records
Unstructured Records
12
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 6
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Records managed by ERM systems
Case Records
Non- Case Records
Records typically managed
by ERM systems
Unstructured Records
13
Copyright © Inforesight Ltd 20090
ERM Systems
◢
Application software designed specifically to manage
electronic records:
◤
◤
◤
Especially unstructured
Mainly non-case
Also some physical
14
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 7
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Agenda
◢
◢
◢
◢
◢
◢
◢
Context
Kinds of records
The right technology
It’s not just technology
Change is not immediate
Records last longer than systems
Conclusions
15
Copyright © Inforesight Ltd 20090
It’s not just technology
People
Processes
Technology
16
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 8
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
It’s not just technology
People
Processes
Technology
(SOFTWARE)
17
Copyright © Inforesight Ltd 20090
The right technology
Operating system?
SharePoint?
Specialised ERM software?
18
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 9
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
The right technology
◢
◢
This presentation applies to all three – operating
system, SharePoint and ERM software
The “technology” section applies only to ERM software
19
Copyright © Inforesight Ltd 20090
The right technology
◢
Question:
◤
◢
What should a good electronic records management
system be able to do?
Answer:
◤
See a good standard specification
ASOCIAŢIA DE
STANDARDIZARE DIN ROMÂNIA
20
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 10
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
ERM system standards
Nederlandse norm
NEN 2082
(nl)
Eisen voor functionaliteit van informatie- en
archiefmanagement in programmatuur
Requirements for records management
functionality in software
21
Copyright © Inforesight Ltd 20090
ERM system standards: international and up to date
ICA Specification
MoReq2
22
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 11
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
ICA Specification and MoReq2
◢
ICA Specification
◤
◤
◢
International Council on Archives
Global
MoReq2
◤
◤
◤
DLM Forum
European – but used worldwide
Follows MoReq
23
Copyright © Inforesight Ltd 20090
ICA Specification and MoReq2
◢
ICA Specification
◤
◤
◢
Imprecise
High level
◤
Not testable
MoReq2
◤
◤
◤
Precise
Detailed
Long
◤
◤
◤
Very popular with users
Testable
Very unpopular with vendors
24
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 12
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
MoReq2
◢
◢
A “model” – or standard – specification of functionality
for ERM systems
MoReq2 contains
◤
◤
◤
◤
◤
Capturing records
Organising records
Providing context
Searching for records
Administering the system
Metadata model
◤ xml schema
◤ Test data framework
… and more
◤
25
Copyright © Inforesight Ltd 20090
MoReq2
◢
Widely translated
◤
◤
◤
◤
◤
◤
◢
French
Czech
Hungarian
Russian
Slovenian
Romanian
Many other translation projects started
26
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 13
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
The right technology…
◢
Use MoReq2, ICA Requirements or some similar
specification as a basis to define your requirements
27
Copyright © Inforesight Ltd 20090
There is more technology
ERM
System
28
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 14
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
There is more technology
Others
Office
Systems
Business
Applications
Network
ERM
System
MS Desktop
suite
External
materials
Scanned docs
Nat.
Arch.
Intranet
External email
Internet
With thanks to Liz McLachlan, 2001
29
Copyright © Inforesight Ltd 20090
Agenda
◢
◢
◢
◢
◢
◢
◢
Context
Kinds of records
The right technology
It’s not just technology
Change is not immediate
Records last longer than systems
Conclusions
30
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 15
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
It’s not just technology
People
Processes
Technology
31
Copyright © Inforesight Ltd 20090
It’s not just technology
People
Processes
Technology
32
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 16
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
An ERM project
◢
Implementing electronic records management is NOT
a technology project –
it’s a culture change project with a little technology
33
Copyright © Inforesight Ltd 20090
What changes are needed from users?
Use electronic records more than paper records
◢ Store them in an organisational “classification scheme”
◢ Share records automatically
◢ Apply metadata
◢ Recognise the organisation “owns” the records
◢ Don’t file paper copies
… and more
◢
34
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 17
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
What do users say?
I like paper!
Use electronic records more than paper records
◢ Store them in an organisational “classification scheme”
◢ Share records automatically
I want my own!
◢ Apply metadata
I have better things to do!
No!
◢ Recognise the organisation “owns” the records
◢ Don’t file paper copies
I need to decide what
… and more
But we have
happens to them!
◢
to keep
paper copies!
35
Copyright © Inforesight Ltd 20090
What do users say?
Use electronic records more than paper records
◢ Store them in an organisational “classification scheme”
◢ Share records automatically
◢ Apply metadata
◢ Recognise the organisation “owns” the records
◢ Don’t file paper copies
… and more
◢
36
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 18
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
It’s not just technology
People
Processes
Technology
37
Copyright © Inforesight Ltd 20090
Business process changes
◢
◢
◢
◢
◢
◢
Policies for use of the system
Changes to records filing procedures
Supporting users
Maintaining key “instruments” (e.g. filing plan)
Maintaining security model
… and more
38
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 19
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Business process changes
◢
◢
◢
◢
◢
◢
Who will
develop?
Policies for use of the system
Which
processes?
Changes to records filing procedures
Supporting users
Who will be boss?
Maintaining key “instruments” (e.g. filing plan)
Maintaining security model
Who will
… and more
control?
39
Copyright © Inforesight Ltd 20090
Business process changes
◢
◢
◢
◢
◢
◢
Policies for use of the system
Changes to records filing procedures
Supporting users
Maintaining key “instruments” (e.g. filing plan)
Maintaining security model
… and more
40
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 20
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Business process changes
◢
Governance regime
◤
◤
For records
For instruments
41
Copyright © Inforesight Ltd 20090
An ERM project
◢
Implementing electronic records management is NOT
a technology project –
it’s a culture change project with a little technology
42
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 21
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
There is technology
Others
Office
Systems
Business
Applications
Network
ERM
System
MS Desktop
suite
External
materials
Nat.
Arch.
Scanned docs
Intranet
External email
Internet
With thanks to Liz McLachlan, 2001
43
Copyright © Inforesight Ltd 20090
There is more Change than technology
With thanks to Liz McLachlan, 2001
44
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 22
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Agenda
◢
◢
◢
◢
◢
◢
◢
Context
Kinds of records
The right technology
It’s not just technology
Change is not immediate
Records last longer than systems
Conclusions
45
Copyright © Inforesight Ltd 20090
Change is not immediate
Case study 1: Government ministry
◢ About 3,000 users
◢ Early adopter
◢ Expensive system
◢ Low system usage
◢ After two years, major review and amendments
◢ System usage increased greatly
46
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 23
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Change is not immediate
Case study 2: Government agency
◢ About 150 users
◢ Early adopter
◢ Major review after a few years
◢ Huge increase in usage
Review
47
Copyright © Inforesight Ltd 20090
Lessons
1.
2.
3.
4.
Define your expected benefits
Measure your actual benefits
Expect corrective actions will be needed
Allow enough resources
◤
◤
◤
At first
For corrective actions
For ongoing monitoring and support
48
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 24
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Agenda
◢
◢
◢
◢
◢
◢
◢
Context
Kinds of records
The right technology
It’s not just technology
Change is not immediate
Records last longer than systems
Conclusions
49
Copyright © Inforesight Ltd 20090
Records have long lifetimes
◢
So, you will need to transfer them –
◤
◤
To archives
To upgraded systems
50
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 25
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Transfer difficulties include
◢
◢
◢
◢
◢
◢
Digital signatures
Audit trails
Context
Metadata models
Security and access
DRM (Digital Rights Management)
51
Copyright © Inforesight Ltd 20090
Records have long lifetimes
Case study 3: Government ministry
◢ Large, successful system
◢ System operated by “outsourcing” company
◢ Needed to major software upgrade
◢ Outsourcing company first quoted over 20 million €
52
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 26
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Records transfer standard needed
53
Copyright © Inforesight Ltd 20090
Records transfer standards
MoReq2 xml schema
MoReq2010 should have a new
schema
DLM Forum may develop a standard
54
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 27
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Records have long lifetimes…
… so how will you read them in the future?
55
Copyright © Inforesight Ltd 20090
Many different electronic formats
56
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 28
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Agenda
◢
◢
◢
◢
◢
◢
◢
Context
Kinds of records
The right technology
It’s not just technology
Change is not immediate
Records last longer than systems
Conclusions
57
Copyright © Inforesight Ltd 20090
Conclusions – 1 of 2
◢
◢
Electronic records management (ERM) is unavoidable
ERM projects are difficult
◤
◤
Some fail
Some succeed
58
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 29
What is so difficult about electronic records management anyway?
Bucureşti, 04 octombrie 2010
Conclusions – 2 of 2
◢
There are real challenges to implement ERM systems
◤
◤
◢
The ERM challenges have been overcome
◤
◢
Technology, people, processes
Long lifetimes of records
There are many case studies of successes
Learn from these case studies
◤
Repeat their successes, not the mistakes of others
59
Copyright © Inforesight Ltd 20090
Questions?
Marc Fresko
Inforesight Limited
http://inforesight.co.uk
60
Copyright © Inforesight Ltd 20090
Copyright © Inforesight Limited 2010
Page 30