Introduction to Content

1
Introduction toContent Records Management

• Reference Textbook Chapter 1

Update 2010
2
Outline

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

3
What are Records?

• 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

4
Various Forms of Records

• 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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From Records to Contents

• 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)

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History of Records / Contents

• 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

7
Categories of Records / Contents
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,
• .

8
Burden (?) of Records / Contents

• 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

9
Value of Records Contents

• 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

10
Why Records / Contents Management

• 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

11
Contents / Records Challenges

• 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/Enterprice20
  Content20Management.ppt

• New World of Work Microsoft whitepaper
• Microsoft case study

12
Discussion

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

13
Records / Contents Lifecycle
14
Records / Content Status

• Active
• currently in use by a business process
• e.g., a bill in the payment process
• usually contain the current years 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.

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Lifecycle Management

• To ensure that only those needed records
• will be created and managed

• To ensure that records are properly and
• promptly classified, retrieved and used

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

• To ensure that those records of value
• can be properly preserved and the
• remainder will be destroyed

16
Records Management

• 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

17
Importance of Records / Contents Management

• 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

18
Trend of Records Management

• 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

19
Records Management with ECM

• 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

20
Records Management with E-BusinessEDI

• 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.

21
Records Management in E-Business EFT

• 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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Related Terms

• 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?

23
Benefits of Electronic Contents

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

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Discussion

• 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.

25
Records / Contents Management Process / Program
Web Database Multimedia
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Management Process Concerns

• Major Concern
• Records Classification
• Retention Scheduling
• Disposition Management
• Which is more specific to records / content
  management instead of general information
  management?

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Main Management Activities

• 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

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Current Situation of RM / ECM

• 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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Common Problems in RM / ECM

• Management problems
• Lack of concern
• Poor overall planning / standards
• Excessive records costsinefficiency due to
  various problems leading to high costs
• Human problems
• Staff training
• Operation Problems
• Inefficient filing proceduresoverloaded drawers,
  poor labeling, misfiles
• Poor use of systems, equipment, and space

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Responsibilities of RM / ECM

• 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

31
Key RM / ECM Activities

• Records/Files Storage
• Retrieving Service
• Retention Planning
• Media Conversion
• Records Protection
• Physical qualities
• Access control
• Knowledge Management

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Careers

• 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/

33
Example

• Content Resources Executive, a position opening
  at SCMP
• http//www.hkla.org/content/blogcategory/22/48/lan
  g,english/
• Apr 2010

34
ARMA International

• 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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(No Transcript)
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PRISM International

• Professional Records Information Services
  Management
• http//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

37
Association for Information and Image Management
(AIIM)

• 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

38
Extended Objectives of ECM

• integrative middleware
• components of independent services
• uniform repository for all types of information
• See http//en.wikipedia.org/wiki/Enterprise_conte
  nt_management

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ECM as Integrative Middleware

• 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.

40
ECM as Independent Services

• 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. (gt
  SOA)
• Therefore, standards for interfaces connecting
  different services will play an important role in
  the implementation of ECM.

41
ECM as Content Warehouse

• 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.