Introduction to Content & Records Management

1. Introduction toContent & Records Management Reference: Textbook Chapter 1 COMP7780 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 COMP7780

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 COMP7780

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, …) COMP7780

5. 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) COMP7780

6. 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 COMP7780

7. Categories of Records / Contents • Active, semi-active, inactive • Public, restricted, confidential, … • …. COMP7780

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 … COMP7780

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 COMP7780

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 COMP7780

11. Contents / Records Challenges * New World of Work – Microsoft whitepaper ** Microsoft case study 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

12. Discussion • Your understanding of records vs. general information • specific concern on records COMP7780

13. Records / Contents Lifecycle COMP7780

14. Records / Content Status • 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. COMP7780

15. Creation/Receipt Active & Semi-active Inactive Final disposal 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 COMP7780

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 COMP7780

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 COMP7780

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 COMP7780

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 COMP7780

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. COMP7780

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. COMP7780

22. 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? COMP7780

23. Benefits of Electronic Contents • Electronic records / contents under proper technologies can enforce • Authenticity • Reliability • Integrity • Usability • Security • Privacy COMP7780

24. 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. COMP7780

25. Records / Contents Management Process / Program + Web + Database + Multimedia … COMP7780

26. Management Process Concerns • Major Concern • Records Classification • Retention Scheduling • Disposition Management Which is more specific to records / content management instead of general information management? COMP7780

27. 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 COMP7780

28. 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 COMP7780

29. Common Problems in RM / ECM • 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 COMP7780

30. 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 COMP7780

31. Key RM / ECM Activities • Records/Files Storage • Retrieving Service • Retention Planning • Media Conversion • Records Protection • Physical qualities • Access control • Knowledge Management COMP7780

32. 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/ COMP7780

33. Example • Content Resources Executive, a position opening at SCMP http://www.hkla.org/content/blogcategory/22/48/lang,english/ Apr 2010 COMP7780

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 COMP7780

35. COMP7780

36. 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 COMP7780

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 COMP7780

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_content_management COMP7780

39. 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. COMP7780

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. (=> SOA) Therefore, standards for interfaces connecting different services will play an important role in the implementation of ECM. COMP7780

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. COMP7780