Reference: Textbook Chapter 1

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What is record? What is records management? Why do we need to manage records? Trends and problems in records

management Careers in records management

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Information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business (defined by ISO 15489)

Stored information (defined by ARMA) In any media or with any characteristics Made or received by an organization Provides evidence of its operations Has value requiring its retention for a specific period

of time

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Form◦ Correspondence, report, form, contract, order,

invoice, statement, manual, working paper, photograph …

Source◦ Mail, email, fax, special courier, Internet, Intranet,

… Media

◦ Paper, magnetic, optical or digital storage media(e.g. film, audio/videotape, disk, microfilm, CD, DVD,

…)

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General correspondence Transactional records Vital statistics Working papers, including drafts, routine reports,

etc Electronic messages (including e-mail, instant

messaging, and voice mail) Web sites (including Web pages, images,

documents, and audio/video files) Electronic backup media (including tapes, disks,

and other storage devices)

From Records to ContentsFrom Records to Contents

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Early records◦ Based on business transactions◦ Created by hand◦ Almost entirely paper documents

Modern records / contents◦ Content - focus on the digital forms◦ Include many types of information in many forms◦ Electronic / digital multimedia records◦ Technology plays a big role in creation and

management◦ Provides basics for business intelligence

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By Use By Place of Use By Value Transaction Reference Operational Personnel …

External Internal Web …

Vital records Important

records Useful records Nonessential

records

•Active, semi-active, inactive•Public, restricted, confidential, …•….

It is estimated that as much as 80 percent of data currently occupying space on expensive enterprise storage infrastructure has little chance of ever being referenced again.

There may be good reasons to retain some of this data …

Burden (?) of Records / Burden (?) of Records / ContentsContents

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Administrative value◦ help employees perform office operations ◦ knowledge management◦ decision support

Fiscal value◦ keeps transactions, funds, and other financial processes◦ business intelligence / analysis / decision support

Legal value◦ evidence of business transactions ◦ law compliance

Historical value◦ to achieve records of an organization◦ intellectual property

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Meet operational requirements Improve operational efficiency Support effective decision making Protect legal, financial and other interests in

the regulatory environment Preserve corporate memory / intellectual

asset

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Contents / Records Contents / Records ChallengesChallenges Industry analysts estimate that information

workers spend 30% of their time finding information*

A major financial institution lost a $1.5B lawsuit for failing to produce required documents

A Turkish bank was spending 16 days to manually process credit card applications**

See: http://download.microsoft.com/download/b/3/2/b32b5f8a-cb7f-4cd0-96e6-53d9ab9d0f6d/Enterprice%20Content%20Management.ppt

* New World of Work – Microsoft whitepaper * New World of Work – Microsoft whitepaper

** Microsoft case study** Microsoft case study

Your understanding of records vs. general information◦ specific concern on records

DiscussionDiscussion

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Active◦ currently in use by a business process ◦ e.g., a bill in the payment process◦ usually contain the current year’s records plus those of the

immediate past year. Semi-active

◦ completed ones that are referred to ◦ generally kept nearby on-site in filing systems

Inactive records◦ those maintained for longer periods of time for legal, regulatory

or sound business practice◦ kept in boxes or shelves off-site in a records storage facility

(archive) Technology advancement / decreasing storage costs blurs

the differences in their physical treatment.

Records / Content StatusRecords / Content Status

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Creation/Receipt

Active &Semi-active

Final disposal

Inactive

To ensure that only those needed recordswill be created and managed

To ensure that records are properly andpromptly classified, retrieved and used

To ensure that inactive records are properly managed (for example, transfer to records centre)

To ensure that those records of valuecan be properly preserved and the remainder will be destroyed

The systematic control of all records from their creation or receipt, through their processing, distribution, organization, storage, and retrieval to their ultimate disposition

It means planning, organizing, directing, controlling and other activities needed for effective life cycle management of records

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A routine practice in various organizations◦ business offices, government agencies, non-profit

groups, educational institutions, and medical facilities

A systemic approach aims to ◦ streamline records / contents management

processes◦ Link records / contents with business operations

and decisions to improve organizational performance

Importance of Records / Importance of Records / Contents ManagementContents Management

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Electronic records management E.g., how to manage emails, multimedia, …

Enterprise Content Management (ECM)◦ capture, store, preserve and deliver content and

documents (in electronic form) ◦ across all departments within an organization◦ dynamic, unstructured, distributed, inter-related

Electronic records in E-business◦ Electronic data interchange (EDI)◦ Electronic fund transfer (EFT)◦ across organizations

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Reduction of paper storage Reduction of paper handling and error-prone manual

processes (e.g. reduction of lost documents)

Faster access to information online Security over document access and modification (?)

Improved control over documents and document-oriented processes

Streamlining time-consuming business processes Improved tracking and monitoring, with the ability to identify

mistakes, bottlenecks and modify the system to improve efficiency

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EDI - Electronic Data Interchange ◦ A set of standards for structuring information that is

to be electronically exchanged between and within businesses, organizations, government entities and other groups. The standards describe structures that emulate

documents, for example purchase orders to automate purchasing.

More than transfer of electronic file◦ Also refers to the implementation and operation of

systems and processes for creating, transmitting, and receiving EDI documents.

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EFT - Electronic Fund Transfer ◦ Refers to the computer-based systems used to

perform financial transactions electronically◦ A system of transferring money from one bank

account directly to another without any paper money changing hands.

◦ EFT may be initiated by a cardholder when a payment card such as a credit card or debit card is used. This may take place at an automated teller machine (ATM) or point of sale (POS), or when the card is not present, which covers cards used for mail order, telephone order and internet purchases.

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Records Management (RM) Electronic Records Management (ERM) Records and Information Management (RIM) Content Management Enterprise Content Management (ECM) Archive Management Document Management Electronic Document Management (EDM)*also related to Knowledge Management,

why?

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Electronic records / contents under proper technologies can enforce◦ Authenticity◦ Reliability◦ Integrity◦ Usability◦ Security◦ Privacy

Benefits of Electronic Benefits of Electronic ContentsContents

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Use an example which you are familiar with to discuss your understanding of records management (what and why)

An example in library environment◦ In a library, in addition to various bibliographic records

used for public service, librarians also need to manage the internal records, e.g. library purchase requests, purchase orders, and payment. These records are managed throughout a number of steps including creation, receipt, distribution, process, maintenance, etc. The management of such internal records is important for efficient procurement transactions of the library. Some of the records should also be retained based on financial regulations.

DiscussionDiscussion

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+ Web+ Database+ Multimedia …

Major Concern◦Records Classification◦Retention Scheduling◦Disposition Management

Which is more specific to records / content management instead of general information management?

Management Process Management Process ConcernsConcerns

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Storage/Filing◦ A systematic way of storage according to a plan◦ Further processing may be required (e.g. scanning,

imaging, and data conversion) Retrieving

◦ Locating a record / file / content from storage Retention

◦ Decision about how long to retain them Disposition

◦ Destroy or migrate them to another archival media such as microform or archival electronic storage

Main Management Main Management ActivitiesActivities

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Large organizations lose a document every 12 seconds

67% of data loss is directly related to user blunders

business workers typically misfiles 2-7% of all records

While the majority believes RM is a key determinant in the outcome of future legal actions, 62% doubt they could defend their own records-- From a statistical report by PRISM International

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Management problems◦ Lack of concern◦ Poor overall planning / standards◦ Excessive records costs—inefficiency due to various

problems leading to high costs Human problems

◦ Staff training Operation Problems

◦ Inefficient filing procedures—overloaded drawers, poor labeling, misfiles

◦ Poor use of systems, equipment, and space

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must know what records / content you have◦ Maintain authentic, reliable and usable ones◦ Protect their integrity

must have them well organized or grouped◦ Knowing where it is◦ How to find it when you need it and then

must identify their retention requirements must have a mechanism to pull and destroy

them properly

Responsibilities ofResponsibilities of RM / RM / ECMECM

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Records/Files Storage Retrieving Service Retention Planning Media Conversion Records Protection

◦ Physical qualities◦ Access control

Knowledge Management

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Opportunities to work with records exist in every type and size of office and organization

More positions from large organizations Certified Records Managers™ (ICRM)

◦ http://www.icrm.org/

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Content Resources Executive, a position opening at SCMPhttp://www.hkla.org/content/blogcategory/22/48/lang,english/Apr 2010

ExampleExample

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Association of Records Managers and Administrators, Inc.http://www.arma.org/

Important professional group interested in improving Educational programs in schools and industry On-the-job knowledge about records

management

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Content & Records Management

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Professional Records & Information Services Managementhttp://www.prismintl.org/◦ A not-for-profit trade association for the

commercial information management industry◦ This industry is made up of outsourcing partners

that provide their clients with physical and digital information protection, access, retention, storage and disposal

PRISM InternationalPRISM International

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Enterprise Content Management (ECM) is the strategies, methods and tools used to capture, manage, store, preserve, and deliver content and documents related to organizational processes.

ECM tools and strategies allow the management of an organization's unstructured information, wherever that information exists.

Content - focus on the digital forms

Association for Information Association for Information and Image Management and Image Management (AIIM)(AIIM)

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integrative middleware components of independent services uniform repository for all types of

information

See: http://en.wikipedia.org/wiki/Enterprise_content_management

Extended Objectives of Extended Objectives of ECMECM

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overcome the restrictions of former heterogeneous vertical applications and island architectures.

offers the requisite infrastructure for the new world of web-based IT

establishing itself as a kind of third platform alongside conventional host and client/server systems.

EAI (enterprise application integration) and SOA (service-oriented architecture) will play an important role in the implementation and use of ECM.

ECM as Integrative ECM as Integrative MiddlewareMiddleware

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used to manage information without regard to the source or the required use.

provided as a service that can be used from all kinds of applications.

The advantage of a service concept is that for any given functionality only one general service is available, thus avoiding redundant, expensive and difficult to maintain parallel functions. (=> SOA)

Therefore, standards for interfaces connecting different services will play an important role in the implementation of ECM.

ECM as Independent ECM as Independent ServicesServices

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used as a content warehouse - both data warehouse and document warehouse

combines company information in a repository with a uniform structure

Expensive redundancies and associated problems with information consistency are eliminated.

All applications deliver their content to a single repository, which in turn provides needed information to all applications.

Therefore, content integration and ILM (Information Lifecycle Management) will play an important role in the implementation and use of ECM.

ECM as Content ECM as Content WarehouseWarehouse

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