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IMPLEMENTING AN ELECTRONIC RECORDS MANAGEMENT PROGRAM

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IMPLEMENTING AN ELECTRONIC RECORDS MANAGEMENT PROGRAM Philip C. Bantin Indiana University Archivist bantin_at_indiana.edu IU Electronic Records Program Website: http ... – PowerPoint PPT presentation

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Title: IMPLEMENTING AN ELECTRONIC RECORDS MANAGEMENT PROGRAM


1
IMPLEMENTING AN ELECTRONIC RECORDS MANAGEMENT
PROGRAM
  • Philip C. Bantin
  • Indiana University Archivist
  • bantin_at_indiana.edu
  • IU Electronic Records Program Website
    http//www.indiana.edu/libarch/ER/NHPRC-2/index.h
    tml

2
OUTLINE OF PRESENTATION
  • 1) Requirements for an Electronic Records
    Management System (ERMS)
  • 2) Why On-Line Transaction Processing (OLTP)
    Systems, Data Warehouses, and Electronic Document
    Management Systems (EDMS) Do NOT Meet These
    Requirements

3
OUTLINE OF PRESENTATION
  • 3) Capturing Records Strategies
  • Business Process Engine Example European
    Registry System
  • Workflow or Routing Engine Example IU
    Workflow Engine
  • Records Management Applications (RMA)
    Example TRIM
  • 4) Capturing Records Metadata Specifications

4
Information Systems
  • Systems Development Lifecycle
  • System concept purpose, goals, scope
  • Analysis user/functional requirements
  • Design
  • data design what information?
  • software design processed how?
  • interface design user interaction?
  • Coding and testing execute evaluate
  • Key issue Systems do (only) what theyre
    designed to purpose, goals, scope, requirements.

5
Data and Information Systems
  • Transaction Processing
  • Data-oriented
  • Automate basic business processes
  • Decision Support
  • MIS/EIS
  • Data warehouse
  • Electronic Document Management Systems (EDMS)

6
Transaction Processing Systems (TPS) Employing
DBMS Software
  • The most basic business system and the heart of
    most organizations
  • TPS is a computerized system that performs and
    records the daily routine transactions necessary
    to the conduct of business
  • Primary goal is to automate computing intensive
    business transactions, such as those undertaken
    in the financial and human resource functional
    areas

7
TRANSACTION PROCESSING SYSTEMS
  • Inputstransaction data like financial
    information, human resource data
  • Processingsorting, listing, updating, merging
  • Outputsbills, paychecks, orders, detailed lists
    and reports

8
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

9
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.)

10
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.

11
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

12
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

13
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.

14
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.

15
Transaction Processing Systems and Record Systems
  • Howeverin 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?

16
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

17
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.

18
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.

19
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

20
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

21
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

22
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

23
EDMS AS RECORDKEEPING SYSTEMS
  • WHAT IS A DOCUMENT?
  • A grouping of formatted information objects
    regardless of medium or form that can be accessed
    and used by a person.
  • A document is a container which brings together
    information from a variety of sources, in a
    number of formats, around a specific topic, to
    meet the needs of a particular individual.
  • A document is discrete and identifiable -
    Structural unit of text like a report or letter
    or minutes of meetings

24
EDMS AS RECORDKEEPING SYSTEM
  • WHAT IS A RECORD?
  • A specific type of information produced by a
    business event
  • Evidence of business transactions
  • Evidence is metadata documenting the context of
    creation, and the content and structure of the
    record
  • Forms the basis for Recordkeeping Systems

25
EDMS As A Recordkeeping System
  • EDMS allows documents to be modified and exist in
    several versions
  • ERMS prevents records from being modified

26
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

27
EDMS As A Recordkeeping System
  • EDMS may include some retention controls
  • ERMS must include rigorous retention controls

28
EDMS As A Recordkeeping System
  • EDMS may include a document classification scheme
  • ERMS must include a robust record classification
    scheme

29
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

30
  • Strategies for Capturing Record Content and
    Record Metadata

31
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.

32
STRATEGIES FOR CAPTURING RECORDS
  • 1) Applications that include BUSINESS PROCESS
    ENGINES
  • 2) Applications that include WORKFLOW ENGINES
  • 3) RECORDS MANAGEMENT APPLICATIONS (RMA)

33
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

34
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

35
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

36
Registry System - Operational Procedures
  • Registration is based upon a business process
  • e.g, filling an archivists 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

37
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

38
Example of Recordkeeping in Registry System -
Filling an archivists 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
39
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

40
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-Sh
ing Chen The Paradox of Digital
Preservation Computer (IEEE Computer
Society), March 2001
41
WORKFLOW MODELS
  • Advantages
  • 1) Commonly used
  • 2) Coming back into fashion with an emphasis on
    life cycle management
  • 3) Often Automated

42
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

43
UIS EDEN Workflow Engine
  • Overview of workflow engine for IUs OneStart
    portal.

44
OneStart EDEN Component-Based Development
OneStart
User Interface
Customized
Personalized
Adaptable
Desktop
Application Delivered
Channels
Applications
Other Content
Services
Record Keeping
Application Services
Infrastructure
EDEN
45
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 IUs portal.

46
Technical Architecture
  • Component Based EJBs
  • 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.

47
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
48
Route Document
Application using EWE
  • EWE submits XML to route modules

Workflow engine
RouteDoc( XML contents of doc )
49
Discover Action Requests
Routing Modules
Workflow engine
1) XML for document
2) Action Requests
Route modules scan XML for specific route
controls and match document information to action
request rules.
3) Add action requests to document route
Route modules return list of action requests
50
Activate Next Action Request
  • Documents action requests are activated by
  • Route type priority as determined by document
    type route template
  • Request priority as determined by the route rule
  • Order in which request was associated with the
    document.
  • The activated requests are put on the appropriate
    action lists of the persons or processes.

51
Review Action List
  • Person reviews action list in the portal.
  • Person is able to see the routing log and other
    header information.

52
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.

53
Approve Document
  • User acts upon the action request.
  • Application business rules are applied to control
    actions taken on the document.

54
Route Document again
Application using EWE
Workflow engine
RouteDoc( updated XML contents of doc and action
taken by user )
55
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.

56
ADDITIONAL FEATURES
  • Add Recordkeeping Routing Rules
  • Add Recordkeeping Environment

57
Conceptual Design Workflow and Electronic
Recordkeeping
Applications
EDEN (Infrastructure)
FIS
Portal (User Interface)
Inbox
HRMS
Workflow Engine
OneStart
Purchasing
Preference Engine
Recordkeeping
58
  • RECORDS MANAGEMENT APPLICATIONS (RMA)

59
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

60
TRIM
  • TRIM manages and integrates both electronic and
    physical records
  • TRIM supports the capture and import of e-mail
    messages and their associated attachments

61
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

62
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

63
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

64
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.

65
TRIM
  • Migration and Conversion
  • TRIM provides the tools to migrate records to
    another relational database system

66
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

67
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

68
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

69
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.

70
R2M (Relativity Records Manager) Version 2.0by
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.

71
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.

72
  • Integrated RMA Products

73
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.

74
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.

75
IBM e-Records Solution (IeRS) version 1.0by IBM
Corporation
  • IBMs IeRS is a combination of IBMs Content
    Manager v7.1 and Tarian Softwares 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.

76
Work Manager/ForeMostby Eastman Software and
TrueArc, Inc.
  • Integrated Product
  • Work Manager/ForeMost is an integrated product
    that combines the document management, imaging
    and workflow capabilities of the Work Manager
    Suite with the records management capabilities of
    ForeMost Enterprise. The result is a system that
    stores and manages both official records and
    their predecessor draft documents to provide
    appropriate control over the full lifecycle of
    the items, from origination to disposition.

77
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.

78
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.
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