EDMS

(Course Notes)
 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

Records are authentic and reliable sources of

information

Records managment systems should be designed to

appropriate for the institutional needs

Significant issue is transferring of services into the

electronic environment

Many studies to focus on improving electronic

information services
 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

Many fields of the service sector have been

transferred into the electronic environment

Great number of organization in Turkey

experience the problem for developing an e-
records management program

Other hand traditional systems creat

problems such as bureaucratic slowdown and
access to the records.
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
 LIFE CYCLE OF RECORDS

Creation (or receipt) Maintenance & Use

(organization, distribution,
retention scheduling, retrieval)

Disposition

Destruction Preservation
(recycling or (archival)
shredding)
 Records Retention Scheduling
Tool 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 Archival records

records transferred transferred to
for shredding UARC

Recycling non-confidential records

 DISPOSITION METHODS FROM THE
RECORDS CENTER
Records transferred for
storage

Archives & Records Center

Records Disposition
Notice to Office Archival records
to remain in
Central Archive
for preservation
Recycling Shredding
 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

Slide 27
 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)

Slide 28
 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

Slide 29
 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

Slide 30
 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

Slide 31
EDRMS

Records Management Document Management

•Circulation
•Security •Collaboration
•Retention •Version Control •MeetingZone
& Disposition
•Repository •Workflow
•Paper
& Electronic •Imaging •Discussions

•Classification •Search & Retrieval •Notifications

•Holds •Audit

Slide 32
Electronic Records Management
 Records and Information Management

IT
Administration

Records and
Security
Information Management
Risk Compliance

Legal

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 system
See #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

REDUCE RISK
INCREASE COMPLIANCE 1. Litigation
1. Laws and 2. Reputation
Regulations
2. Policies and REDUCE OPERATING
Procedures COST
1. Records Storage
INCREASE EFFICIENCIES
1. Data Discovery 2. Records Maintenance
2. Information Lifecycle 3. Enterprise contracts
and centralized
3. Forms and Reports management
Management
 Where to Begin

Build a Solid Foundation

 Foundation
With 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 Marketing
ADM=Administration\Facilities
Classifying 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/Classification
To: Dana Simpson
From: Cindy Trinidad
Subject: SAM
Attachment: SWRGiftCards.pdf

Dana,
Here is the latest product idea for the southwest region.
With your approval we will begin offering on Sep 23, 2018.
 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 Tagging
See #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 • Provides a rich

ediscovery description of information
• RIM needs for disposition (Who What When Where
• IT needs for archiving Why)
• Proves authenticity and • Automate as much as
ownership possible
• Provides guidance to • Publish a controlled
consultants and system vocabulary or thesauri
designers
 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 Records
Management Management

• Storage • Creation
• Versioning • Maintenance
• Metadata • Use
• Security • Identifying
• Indexing • Categorizing
• Retrieval • Archiving
• Workflow • Preserving
• Collaboration • Disposition
 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 15489
ISO/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 • Email
– SQL • Shared Drive
– Oracle
• XML format
(spreadsheet)
 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 Principles
• 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?
• 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 captured
• 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.”
 Foundation
With 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  Spreadsheets

sets
 Text messages
• E-mail
 CDs
• Digital images
 Jump drives
• Web sites
 Hardware
• Audio recordings
 Software
• Work station files
 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)
 Government Records Access
and Management Act

• 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 Access
and Management Act

• 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.
 Government Records Access
and Management Act

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?

Compact discs
have a life
Paper or microfilm expectancy of
will last 500 to 1,000 5 to 10 years.
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 of
E-Business and Electronic
Records
 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 Needs Explosion
& of the
Expectations Internet

Business Needs
&
Expectations

Globalization
Technology
Revolution
What is the enabling technology vision?
Citizen/
Partner/
Info Transactions
Access Options Client
National
Business
PKI Governments
Map
Academic
Organizations

Internet International
Organizations

Non-Profit
Relevant, Timely Agencies

Accessible Services
Responding to
Individual, Partner, and Private Sector
Organizations
Community 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?
 Business View
Organization

Function/activity

Business process
task task task 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
 Information View
O w n e r s h i p/ A c c o u n t a b i l i t y
Law/policy Systems

create use Business

preserve Process

Standards/
People
practices
 Information Management -
Issues
use

Clients/
Partners/
Employees 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?
• Who can I turn to for help?
 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?
• Who can I turn to for help?
The information may be
required beyond the life
of the system

and...

Information in electronic
form is a fragile resource
 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 Technology Environment

The Factory Floor

The Technology Environment

The Wild Frontier

The Technology Environment
 Structured
Business Processes
Structured Business Processes
(the factory floor)
 Mandate
Business Process
Lands registration

task task task

(review) (approval) (notification) Functions
Land Management
• Rural Land Development
• Urban Land Development
• Lands Registration
transactions transactions transactions • applications
• review
records records records • Land Use Analysis
• Regulation
content
• Internal Resource Management
context
structure capture capture capture

accountability Organization
instrument
Ministry of Lands
• National Land Management Directorate
preserve • urban development division
use • rural development division
• Office of the Registrar of Lands
• Research and Mapping Directorate
• Policy and Monitoring Directorate
information • Corporate Services Directorate
source Record Keeping System
 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
 Mandate
Business Process
Lands registration

task task task

(review) (approval) (notification) Functions
Land Management
• Rural Land Development
• Urban Land Development
• Lands Registration
transactions transactions transactions • applications
• review
records records records • Land Use Analysis
• Regulation
content • Internal Resource Management
context
structure
capture capture capture

accountability Organization
instrument
Ministry of Lands
• National Land Management Directorate
preserve • urban development division
use • rural development division
• Office of the Registrar of Lands
• Research and Mapping Directorate
• Policy and Monitoring Directorate
information • Corporate Services Directorate
source Record Keeping System
 Mandate

Functions
Land Management
• Rural Land Development
• Urban Land Development
• Lands Registration
actions actions actions • applications
• review
records records records • Land Use Analysis
• Regulation
content • Internal Resource Management
Context?
Structure?
Shared drive

Organization
Ministry of Lands
• 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
 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)
 Mandate

Functions
Land Management
• Rural Land Development
• Urban Land Development
• Lands Registration
actions actions actions • applications
• review
records records records • Land Use Analysis
• Regulation
content • Internal Resource Management
context
structure
capture capture capture

accountability Organization
instrument
Ministry of Lands
• National Land Management Directorate
preserve • urban development division
use • rural development division
• Office of the Registrar of Lands
• Research and Mapping Directorate
• Policy and Monitoring Directorate
information • Corporate Services Directorate
source Record Keeping System
 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 Enabled
Record 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
 Mandate
Work Flow
Policy development

task task task

(research) (approval) (dissemination) Functions
Land Management
• Rural Land Development
• Urban Land Development
• Lands Registration
transactions transactions transactions • applications
• review
records records records • Land Use Analysis
• Regulation
content • Internal Resource Management
context
structure
capture capture capture

accountability Organization
instrument
Ministry of Lands
• National Land Management Directorate
preserve • urban development division
use • rural development division
• Office of the Registrar of Lands
• Research and Mapping Directorate
• Policy and Monitoring Directorate
information • Corporate Services Directorate
source Record Keeping System
 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 4. KM/intellectual
assets linked
to strategic 9. KM
Data and information direction integration
accessibility is a critical Knowledge with jobs &
5. KM workplace
issue but its not the only culture Management
issue 6. Identify
7. Capture tacit
knowledge &
subject matter insight
experts
Information 3. Improved 8. Collaborative
Management information environment
access & culture
1. Policies, 2. Policies &
guidelines, discipline
authoritative for physical
10. Extend KM
sources data stores to partners &
customers

Copyright: Gartner Group, 2000

 E-Commerce and Evidence:
Standards for Recordkeeping in the
Electronic Environment
Quick Start Program
World Bank
May 22, 2001
Michael L. Miller, Director
Modern 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
1 2
and system
• An audit program to ensure compliance 5

4 3
 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
 Executive Summary Points (2 of 2)
• 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
 Content, Context & Structure of E-
signed Records
• 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
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 records
Web design records
Copyrighted materials
Program management
Software to operate the site
Logs 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_rec
ords
 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.
 Transaction Processing

• 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
 Transaction Processing
• 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.
 Transaction Processing Systems and
Record Systems
• 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.
 Transaction Processing Systems and
Record Systems
• 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 As A Recordkeeping System
• EDMS allows documents to be
modified and exist in several
versions
• ERMS prevents records from being
modified
EDMS As A Recordkeeping System
• EDMS may allow documents to be
deleted by owner of data
• ERMS prevents records from being
deleted except in certain strictly
controlled circumstances
EDMS As A Recordkeeping System
• EDMS may include some retention
controls
• ERMS must include rigorous
retention controls
EDMS As A Recordkeeping System
• EDMS may include a document
classification scheme
• ERMS must include a robust record
classification scheme
EDMS As A Recordkeeping System
• 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 R

to a local newspaper
2001-05-10 an application sent by Ms. X Office A R
2001-05-10 an application sent by Ms. Y Office A R
2001-05-12 an application sent by Mr. W Office A R
2001-05-24 applications sent for review to the archives Office A
2001-06-24 statement of the applicants sent to Office B Archives R
after interviews
2001-06-30 a request for additional information from Office B R
the archives
2001-07-10 a revision to a previous statement to Office B Archives R
2001-07-25 a decision to appoint Ms. Y as an archivist Office B R
2001-07-26 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.
 OneStart & EDEN Component-Based Development

User Interface OneStart

Customized

Personalized

Adaptable

Desktop
Application
Delivered

Channels

Applications
HRMS

SIS

FIS

IUIE

Other
Other Content

Services

Infrastructure EDEN
Workflow

Security

Users
Record Application
Keeping Services
 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
Application using EWE

Applications send XML version of

electronic document to EWE.
(Document must be of a
registered type.)

Workflow engine

Request route ID for doc

 Route Document
Application using EWE

EWE submits XML to

route modules

Workflow engine

RouteDoc( XML contents

of doc )
 Discover Action Requests
Routing Modules

Workflow engine
1) XML for document

2) Action Requests

3) Add action Route modules scan XML for

requests to specific route controls and match
document route
Route modules return list document information to action
of action requests request rules.
 Activate Next Action Request
• Document’s action requests are activated by:
1. Route type priority as determined by document type
route template
2. Request priority as determined by the route rule
3. 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
Application using EWE

Workflow engine

RouteDoc( updated
XML contents of doc
and action taken by
user )
 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
Conceptual Design – Workflow and Electronic
Recordkeeping
Applications
EDEN
Portal (Infrastructure) FIS
(User Interface)
Inbox
HRMS
OneStart

Workflow
Engine
Purchasing
Preference
Engine

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
 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/ForeMost
by 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…
 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  Format
 Creator  Identifier
 Subject  Source
 Description  Language
 Publisher  Relation
 Contributor  Coverage
 Date  Rights
 Type
 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?
 XML in 10 Points
1. XML is for structuring
2. XML looks like HTML
3. XML is text for computers
4. XML is purposely verbose
5. XML is a family
6. XML is only partly new
7. XHTML->XML
8. XML is modular
9. XML is base for RDF, Semantic Web
10. 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
Files Management

Fe Angela M. Verzosa 331

 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.

Fe Angela M. Verzosa 332

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

Fe Angela M. Verzosa 333

 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
Fe Angela M. Verzosa 334
Files management
Filing systems

Filing Rules
Files Equipment
Computer
Applications

Fe Angela M. Verzosa 335

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.

Fe Angela M. Verzosa 336

CRITERIA of a good filing
system…

• Simplicity
• Flexibility /
Expansibility
•Adaptability

Fe Angela M. Verzosa 337

Filing methods
• numerical
•alphabetic
•functional
•geographic
•form
•chronologic
Fe Angela M. Verzosa 338
 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.
Fe Angela M. Verzosa 339
 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.

Fe Angela M. Verzosa 340

 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.

Fe Angela M. Verzosa 341

 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
Fe Angela M. Verzosa 342
 University/college
Filing classification system

*Institutional records
*administrative records
*academic dept records
*faculty records
*student/alumni records
*school publications
*theses and dissertations
*memorabilia
Fe Angela M. Verzosa 343
 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

Fe Angela M. Verzosa 344

 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

Fe Angela M. Verzosa 345

 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
Fe Angela M. Verzosa 346
 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
Fe Angela M. Verzosa 347
 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

Fe Angela M. Verzosa 348

 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)
Fe Angela M. Verzosa 349
Files Equipment

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

Fe Angela M. Verzosa 350

 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

Fe Angela M. Verzosa 351

 10-352

Filing the Office Records

 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
10-353 and protects vital medical data.
 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!
10-354
 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
Filing Equipment (cont.) 
• 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
10-357
 Filing Equipment (cont.) 
• Labeling filing equipment
– Label outside of drawer
represents its contents A-D
– Easily retrievable records

• Security measures
– Protect confidentiality of medical records
– Cabinets should lock or be in a lockable
room
– Limit who has keys

10-358
Filing Equipment (cont.) 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
 Apply Your Knowledge

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
10-360
Answer!
 Filing Supplies

File folders



Referred to as manila folders
Tab

 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


Smith,A. Adams, G.

 Tabs on the file folder

10-361
identify the contents
 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
 Filing Supplies (cont.)
• 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
10-363
 10-364

Filing Supplies (cont.)

• 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

Apply Your Knowledge

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 ANSWER:
c. Out guide
d. File sorter
A GREAT!
 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

 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
10-368
 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

10-369
 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

10-370
 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

10-371
 Filing Systems

• With alphabetic filing • With numeric filing

systems systems
– Each letter is assigned a – Numbers 1 to 9 assigned
color a distinct color
– The first two letters of – Helps identify numeric
the last name are color- files that are out of place
coded with colored tabs
– Can easily tell if files are
filed correctly 51 43 6 0
1 1
10-372
 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
10-373
 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
 Apply Your Knowledge

Today is Sep. 25th. Which of the information listed

below could be added to a “tickler” file?
ANSWER:

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!
10-375
 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
 The Filing Process (cont.)
Generally the medical assistant files three
types of items:

Individual Previously
New
documents filed
patient
for patient
record
existing record
folders
folders folders

10-377
 The Filing Process (cont.)
Place the files in the appropriate location for easy retrieval when Storin
needed
g
Place files in order to save time when storing Sortin
Add an identifying mark to ensure that the g
Codin
file is put in the correct place
g
Name the file using the office
classification system
Indexing

Make sure
document is
Inspectin
ready to g
be filed

10-378
 The Filing Process (cont.)
• 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

10-379
 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
 The Filing Process – Guidelines (cont.)
• 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

10-382
The Filing Process:
Locating Misplaced Files
• 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

10-383
 10-384

The Filing Process:

Locating Misplaced Files (cont.)
• 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.)
• 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

10-385
The Filing Process:
Locating Misplaced Files (cont.)
• 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.

10-386
The Filing Process:
Active vs. Inactive Files
• 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

10-387
 Apply Your Knowledge
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 The charts should be
are: inspected first to be
sure all necessary
1. Inspecting 2. Indexing
documents are in the
3. Coding 4. Sorting charts an that they are
ready for sorting and
5. Storing
storing.
10-388
 Inactive and Closed File Storage
Paper Microfilm Computer
Storage Storage

Basic
Storage
Options
Microfilm,

Patient microfiche
records
Files remain beand
can original
in their film
scanned cartridges
formatand saved offer
on
a
 paperless
computer way
tapes,
Labeled boxes of storing
recordable
with lids records.
to allow CDs
evenorstacking
DVDs,

flash drives,
If the or external
paper becomes hard
brittle, drives.
transfer documents to
another storage medium.
10-389
 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

10-390
 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

10-391
File Storage:
Retaining Files in the Office
• 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

10-392
File Storage:
Retaining Files in the Office (cont.)
• 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
10-393
 10-394

File Storage:
Retaining Files in the Office (cont.)
• Destruction of records
– Maintain Confidentiality
– Shred
– Retain list of documents
destroyed
 Apply Your Knowledge
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
ANSWER: this?
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.

Excellent!
10-395
 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

10-396
 Records Management
The DoD 5015.2-STD A
Foundation For Information
Superiority

Office of Assistant Secretary of Defense (C3I)I&I

D. 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 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
DoD 5015.2-STD

Foreword
DESIGN CRITERIA STANDARD
FOR
Table of Contents
ELECTRONIC RECORDS MANAGEMENT References
SOFTWARE APPLICATIONS
Abbreviations and /or
November 1997
Acronyms
1. General Information
2. Mandatory Requirements
ASSISTANT SECRETARY OF DEFENSE
FOR 3. Non-Mandatory
COMMAND, CONTROL, COMMUNICATIONS,
AND INTELLIGENCE
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
Products

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
DoD Records Management
Products
1. Tested and Certified Products
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 Understanding
Between 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.
DoD Records Management
WHAT REMAINS TO BE DONE
Program
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-STD
FY 98 and 99 Revision Schedule

Develop Classification Coordinate Revised Coordinate &

Incorporate
& Marking Functional Draft Standard with Approve Revised
Comments
Statements Government & Standard
Incorporate NARA Industry
Comments
Address Other Comments
Received on the Standard
Prepare Functional
Statements

Develop Privacy & FOIA Functional Statements

Develop DMS Functional Statements

Prepare Test Suite for Revised

Standard

September March June September

1998 1999 1999 1999
DoD 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 Newlin
burt.newlin@osd.pentagon.mil

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

DoD Records Management Program
GRS-20 (Electronic Records)

uGeneral Records Schedule (GRS) 20

uSave all e-mail & Word processing
Documents
uJudge Friedman directed Archivist to develop
permanent plan dealing with electronic records by
Sept. 30, 1998
uDoD 5015.2-STD Part of Solution
DoD 5015.2-STD Chapter 2 C2.2.4. Storing Records
Mandatory Requirements
C2.2.5. Scheduling Records
C2.1. GENERAL
REQUIREMENTS C2.2.6. Screening Records

C2.1.1. Managing Records. C2.2.7. Retrieving Records

C2.1.2. Accommodating Year C2.2.8. Transferring Records

2000 and Twenty-First Century
Dates. C2.2.9. Destroying Records
C2.1.3. Implementing Standard C2.2.10. Access Control
Data.
C2.2.11. System Audits
C2.2. DETAIL REQUIREMENTS
C2.2.12. System Management
C2.2.1. Implementing File Plans
Requirements
C2.2.2. Identifying and Filing
Records C2.2.13. Additional Baseline
 Example 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).
 CASE STUDY
ON
RECORDS MANAGEMENT & FOI

Working together for FOI: 11

December 2003
 OUTLINE

What Cornwall CC has been doing

Relationship between Documents, Records
and web content
Software implications
How FOI fits.

Working together for FOI: 11

December 2003
 CONTEXT

Became Information Manager in 1998

Structured Information under control
Problems with unstructured information
Tendered for a Doc Mang. system in 1999

Working together for FOI: 11

December 2003
Information overload?

Working together for FOI: 11

December 2003
 DOCUMENT MANAGEMENT

Projects to support the case benefits:

Space saving
Time saving
Ease of access
Available to more people

Working together for FOI: 11

December 2003
 DOCUMENT MANAGEMENT
continued
Issues:
Not many corporate systems available
Technically/organisationally challenging
Internal funding issues
Management Board did not appoint

Working together for FOI: 11

December 2003
 RECORDS MANAGEMENT (1)

Change of structure in the Council

Time to influence Councillors & Chief Officers
- ICT Panel
- IT Board
FOI became my responsibility
More attention on managing records

Working together for FOI: 11

December 2003
 WHY NOT JUST DOCUMENT
MANAGEMENT?

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

Working together for FOI: 11

December 2003
 WHY NOT JUST DOCUMENT
MANAGEMENT CONT.?

Need to:
Have a proper structure for records
Manage e-mails
Meet requirements of FOI
Meet codes of practice on RM

Working together for FOI: 11

December 2003
 RECORDS MANAGEMENT (2)

IT Board agreed to develop a Business Case

2002
Analysis of 6 areas
Business case approved in Nov 2002

Working together for FOI: 11

December 2003
 RECORDS MANAGEMENT (3)

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

Working together for FOI: 11

December 2003
 ERDMS SPECIFICATION

Based on National Archives 2002 spec

Included appropriate EU specification
Included info from audit of 12 areas
Included spec for WCM
In partnership with the Districts

Working together for FOI: 11

December 2003
 ERDMS CONTRACT
Tendered in September 2003
Pre Evaluation
Evaluation
Awarded contract in March 2004
Did not purchase WCM
Enterprise licence purchased

Working together for FOI: 11

December 2003
 ERDMS NEXT STEPS
Corporate funding for project team
Project Manager
Records Manager
Trainer
Analysts
Programmers
Infrastructure & Security specialists

Working together for FOI: 11

December 2003
 ERDMS NEXT STEPS continued
6 processes for year 1

Reporting
- Project Board
- Information Management Group
- IT Board

Working together for FOI: 11

December 2003
 INDIVIDUAL REQUESTS UNDER FOI

Our first process!

Workflow agreed
Standard letters agreed
FOI co-ordination reps appointed
Ready to start

Working together for FOI: 11

December 2003
 FOI SCHEME
Have database for scheme
3 layer system meets ISO15489
- Function
- Activity
- Transaction
Links to all info available on our website
Electronic approval process for changes

Working together for FOI: 11

December 2003
 FOI SCHEME & ERDMS

Generate the Scheme from ERDMS

Business Classification System in ERMDS
mirrored in FOI Scheme
Metadata set as the Fileplan is generated.
Scheme approval process moved to ERDMS

Working together for FOI: 11

December 2003
 WEB CONTENT MANAGEMENT

Web is a communication medium

Used for displaying and collecting info
We currently use FrontPage
Data is stored in web directories, duplicating
original data in departments
It is labour intensive

Working together for FOI: 11

December 2003
 WEB CONTENT MANAGEMENT continued

Difficult to find out when key documents are

produced
Hard to get the latest versions of documents
Rely on staff wanting to publish on the web

Working together for FOI: 11

December 2003
 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

Working together for FOI: 11

December 2003
 ERDMS & WEB CONTENT
MANAGEMENT continued

Proactive display
Search via the web
Eliminate duplication
Transition will take 4+ years

Working together for FOI: 11

December 2003
 ERDMS & WEB – NEXT STEPS

Get experience with ERDMS

Develop new spec for WCM
Interfacing very important
Tender through our ERDMS supplier
Start the transition

Working together for FOI: 11

December 2003
 SELECTING RECORDS MANAGEMENT
SOFTWARE FOR THE
NSW DEPARTMENT OF HEALTH

Records Managers Forum

19 November 2002
David Pallot
Manager Corporate Records Services
NSW 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
 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
 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
• Effective search and navigation
2003
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 management
systems” 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 phrase

ECM this widely? Why, why not?
Major issues mentioned in connection
to 48 ECM cases (Päivärinta &
Munkvold 05)
Enterprise Model
Objectives Impacts

Content Model

Infrastructure Administration

Change Management
 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
Same time Different time

(Some electronic meetings E-mail

which facilitate group-decision- Document mgmt
Same place

making) Calendar, scheduling

Electronic ”whiteboards”… Workflow mgmt
Electronic bulletin boards

Audioconference E-mail
Different place

Videoconference Document mgmt

Data conferencing Web-based team rooms
Instant messaging Calendar, scheduling
Desktop conferencing / Workflow mgmt
application sharing Electronic bulletin boards
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
Difficult to categorize? Examples.

Social Computing
eCollaboration 2nd life
Facebook
Telephone Wikipedia
WWW-games
conferencing LinkedIn
IM MSN
Corporate
E-mail WWW-site
Corporate Wiki
Calendar TeamSite
Document-based Folksonomy Flickr
workflow Corporate taxonomy,
Data/Document metadata
storage Enterprise search
Records management, archiving
Enterprise Content Management
 Framework for further discussion
People / Culture
Enterprise Model
Objectives Impacts

Communication /
Content Model

Infrastructure Administration
Argument:
In addition to ECM, also
e-Collaboration and social
Change Management
computing applications in enterprises
require 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)
 Summary (2)
Social computing

eCollaboration

ECM
 Framework
People / Culture
Enterprise Model
Objectives Impacts
Communication /
Content Model

Infrastructure Administration

Change Management
 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 • Social comp. Objectives
– Collaboration effectiveness of teams – ”Individually-originated objectives
& groups highlighted turn to loose community-feelings”
• Often also informal teams -> less – Keeping oneself upgraded on ”what’s
organization-unit-focused thinking fancy”
than in ECM
• Knowledge ”mobilization” here and
– Expressing oneself
now – Connecting people who like to be
• Customer contact connected
– Quality of decisions (i.e. group- • Knowledge exchange as a happy
decisions are better?) ”side product”?
– (direct (travel) cost savings + cutting – Building voluntary competence
non-meaningful travels) networks
– Image? – Image?
– ”Platforms” – Meaningfulness of the social milieu –
the work should also be socially and
– Highlights the team/group view and intellectually rewarding (even fun)
often task-oriented focus on ”now” – Person-oriented focus on satisfaction
• To exaggerate: (ECM mostly at work (and social-human relations)
”organization / enterprise –oriented”
?) • Assumption: knowledge sharing and
other benefits follow this…
 Framework
People / Culture
Enterprise Model
Objectives Impacts
Communication /
Content
Infrastructure Administration

Change Management
 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 • Social computing
– Ad hoc group communication an – Communications about oneself
important part (profiles, interests, humour,
• Meetings, e-mails, instant expertise)
messages etc. ”abstract” – Structures to network under
categories of communication common interests
• Combined to more formal
”genres” – Rich communication means, free
sharing
– Need to manage content in • Video, pictures, comparisons…
relation to most usual group
communications tasks – Quick and flexible linking of
information
– ”Folksonomies” (vs.
”taxonomies” to organize
content of interest
– Platform for ”citizen”
movements… opinion-expressing
 Framework
People / Culture
Enterprise
Objectives Impacts

Communication /
Content Model

Infrastructure Administration

Change Management
 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 • Social computing
– Generic ideas about the group / – Networks of people with
team collaboration scenarios common interests
• Tasks and task sequences, • Relationships build around
generic / technical types of user common interests or previous
roles social relations
– Meeting host, participants – Makes ”the informal
– Specialized applications may organization” visible?
build more focused and • Could that be used for
formalized role structures enterprise purposes?
– Often crosses e.g. budget unit – ”Visible individuals” and
boundaries ”responders”
– ”Formalizes” cross-unit task • E.g. blogging typically not
groups? practiced by many, but
commenting can then be
 Framework
People / Culture
Enterprise Model
Objectives Impacts

Communication /
Content Model
Administration
Infrastructure
Change Management
 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 • Social computing
– In addition to ECM – So far: web-based
– Mostly a (more or less applications (more or less)
standardized) set of available ”allowed” to be used by
person-to-person and team companies
communication tools, – Technical challenge:
sponsored by the enterprise information security?
– Technical challenge: – To become: ever more
accessibility and stability of integrated as a part of
use content mgmt & e-
collaboration ”offices”
• Problem – does it then work
only inside a firm?
 Framework
People / Culture
Enterprise Model
Objectives Impacts

Communication /
Content Model

Infrastructure Administration
Change Management
 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 • Social computing
– Awareness – ”What counts as real
– Motivation to adopt work”?
• Policy, shared culture
– Support for learning
• (less individual adoption
• Ability to adopt
problems among younger
– Cultivating the practices employees?)
• E.g. ”good e-meeting – Information security
practice” beside
practice
mastering the tools as
such • E.g. anonymity not
allowed
 Framework
People / Culture
Enterprise Model
Objectives Impacts

Communication /
Content Model

Infrastructure Administration

Change Management
 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 • Social computing
– Key issue: how to introduce – Key issue: how to make potential
new tools so that they reach a value of social computing clear
for management?
”critical mass” of users within
• Obstructive: how to ”fight”
a relatively short time-frame against employee use of soc.
– Illustrative business cases to comp.?
motivate /justify • Supportive: how to foster a
sensible ”corporate attitude”
• Individual users and to make it clear to all
• Organizational sponsors employees?
• ”What is the value of our e- • ”Why should our employees
mail application?” mingle during the office hours?”
– (We’ll come back to – Who should pay for
implementation issues in implementing these in the
corporation?
organizations later)
 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
People / Culture
Enterprise Model
Objectives Impacts

Communication /
Content Model

Infrastructure Administration

Change Management
 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