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6023 results in Facet Publishing

Page 272 of 302

  • Introduction

  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp ix-x

  • Summary

    First of all I would like to emphasize that this book focuses very much on the practical aspects of the planning and implementation of electronic records management systems. It does not dwell on academic theory; while it puts the theory of the subject into context where necessary, explaining for example the role of authenticity, reliability and integrity of electronic records, its aim is to provide you with practical guidance that enables you to get on and do electronic records management.

    The book is aimed at information managers in all organizations, in both public and private sectors. You may be records managers, archivists or even knowledge managers. Whatever area is your focus, the content of the following pages has been designed to meet that situation where your management board or executive team have just declared that ‘we had better look at how we can manage our information more effectively and more efficiently’ or ‘let's go ahead and acquire an electronic records management system’ - and you and your colleagues have been told to get on and do it. The layout follows a logical pattern and tries where possible to provide examples and pointers to further information, such as sample requirements and references to detailed toolkits. A glossary of frequently used terms appears in Chapter 2 (page 19).

    The opening chapter describes the underlying principles of records management but for the most part the following pages presume that you have some grounding in the subject and that your organization has at least given the go-ahead to examine the feasibility of introducing electronic records management. It may even have made a firm commitment in that direction.

    Software solutions to implement electronic records management are now so numerous and diverse that it would be impossible to provide guidance in the form of a detailed toolkit. To a large extent you will want the software to fit your business needs, not the other way round. You need to tell suppliers what you need, not let them tell you what you think you need. In this respect the requirements at the end of the chapters in Part 2 on design are necessarily a sample and set at a high level. Detailed requirements necessary for effective planning and implementation need to be developed according to individual organizational requirements. Implementing electronic records management is much more than implementing a piece of software.

  • 4 - Main issues for design

  • from Part 2 - Design
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 57-70

  • Summary

    This chapter examines the three main issues that will affect the design of your electronic records management system: requirements, metadata and policy.

    Before embarking on a general discussion of development of the requirements, it may be useful to describe the different systems that are available and which, for the purposes of this book, are described as ‘electronic records management systems’.

    For several years we have had electronic document management (EDM) systems. These help organizations to provide better access to information and in particular to support workflow arrangements typically undertaken by team working. They also enable organizations to exploit their information resources more effectively – it is difficult to imagine how we could have provided the same level of information with paper systems as we do now with such electronic systems. EDM generally supports immediate business needs and does not embrace all records management functions (e.g. disposal). It will usually only handle information at the document level. It typically provides for:

  • • storage of records

  • • version control

  • • indexing

  • • search and retrieval

  • • access control

  • • ability to archive offline

  • • audit

  • • interface with other systems such as workflow and document image processing.

    • Electronic records management (ERM) systems add standard records management practices to EDM. These include a corporate filing structure and disposal scheduling.

    The requirements would typically include the following, in addition to those provided by an EDM system:

  • • management of information as corporate information (including the ability to declare records corporate as and when required)

  • • storage, indexing, search and retrieval of all types of records and documents

  • • management of information in a way that maintains links between records

  • • record level metadata describing contextual information

  • • management of hybrid records

  • • authentication of information

  • • support for legal and regulatory requirements

  • • appraisal and disposal of records

  • • export of records for permanent preservation.

    • Electronic document and records management (EDRM) systems are largely exactly what they say. EDM systems have been extending their functionality to include specialist packages that are common in ERM systems. The result is an integrated system.

  • 7 - Appraisal methodology

  • from Part 2 - Design
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 109-128

  • Summary

    This chapter examines how appraisal methodologies need to adapt to the evaluation of electronic records. It includes an examination of the role of disposal scheduling, the impact of legislation and destruction of electronic records. At the end of the chapter is a sample table of requirements for retention and disposal.

    Before considering appraisal in an electronic environment, we need to be clear about some of the key terms used. Different words and phrases are used by different people in the profession but, for the purposes of this book, the following have been adopted:

  • • Appraisal – the process of evaluating an organization's activities to determine what records should be kept, and for how long, to meet the needs of the organization, the requirements of government or other accountability, and the expectations of researchers and other users of the records.

  • • Disposal – the implementation of appraisal and review decisions. These comprise the destruction of records and the transfer of custody of records (including the transfer of selected records to an archival institution). They may also include the movement of records from one system to another (for example, paper to electronic).

  • • Disposal schedule – a list of collection/series of records for which predetermined periods of retention have been agreed between the business manager and the records manager.

  • • Retention – the continued storage and maintenance of records for as long as they are required by the creating or holding organization until their disposal.

  • • Review – the examination of records to determine whether they should be destroyed, retained for a further period, transferred to an archival institution or presented to a third party.

    • The process of appraisal is important to ensure that the records that should be kept are kept for as long as they are needed – either for finite, identified periods or as archives – and that disposal decisions are properly justified and documented. Appraisal also includes determining what the records are; who creates them and why; how they relate to the creating organization's functions and to other records; and how, when and by whom they were used. All this information is required in order to be able to make a valid judgement on the length of time for which records should be kept. Analysis of the context of a record is a vital part of the overall process of appraisal.

  • 3 - Making a business case for ERM

  • from Part 1 - Preparation
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 35-54

  • Summary

    This chapter examines the procedures required to make a business case for electronic records management. It makes a couple of assumptions – that the underlying principles described in Chapter 1 are more or less in place in the organization and that the context or functional analysis described in Chapter 2 has been completed (the report of which will form an annex to or part of the business case itself).

    Introduction

    Top managers and financial directors in all organizations need to be convinced that it is worth committing resources or spending large sums of money on projects such as electronic records management before they will give them their blessings. The business case, therefore, is a crucial document. Before committing anything to paper (or screen!), you need to be clear about the purpose and objective of the business case. The purpose is to set out all the implications for the organization in going ahead with such a project, while the objective is to gain organizational commitment to this. It should not be limited to gaining permission to take a longer look at the suggestion to introduce electronic records management; it needs to be stronger than that.

    All business cases should cover the following points:

  • • what is the current situation on records and information management?

  • • why should the organization go ahead with the project?

  • • what will happen if the organization does not go ahead with the project?

  • • what are the alternatives (if any)?

  • • what is happening in records and information management in similar organizations in the same sector?

  • • what are the benefits accruing from the project?

  • • what is the cost of the project?

  • • what demands on other organizational resources will there be?

    • While business cases are very individual documents and will vary greatly according to the organizational context, much can be learnt from the experiences of other organizations that have gone through the process of planning and implementing electronic records management systems. It is worthwhile investigating to see if any case studies are available and whether any work undertaken by others might be reused or modified for your own purposes.

    Who will undertake the compilation of the business case? Consider whether it might be undertaken by one person or a project team (the size of the organization will usually be a determining factor). Whoever it is, particular skills and knowledge will be required.

  • 6 - File plan

  • from Part 2 - Design
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 87-108

  • Summary

    This chapter describes the most crucial aspect of the design of the electronic records management system – the file plan. It examines the key elements that make up the process – functional design, naming conventions and the management of e-mail within the plan. At the end of the chapter is a sample list of requirements for file plans and an example of a file plan. It is worth quoting the oft-repeated extract from guidance issued by The National Archives:

    The departmental business classification scheme (file plan) should be recognized as the principal intellectual instrument in records management activities and should be devised and implemented to support the management of the creation and disposal of records and, where possible, the management of security of and access to the records.

    (Business Classification Scheme Design (The National Archives, 2003))

    Introduction

    Already we have run up against one confusing aspect of this part of electronic records management – that of terminology. The term ‘business classification scheme (BCS)’ has been used widely to mean the file plan. In reality, BCS is a product of business analysis. It is used in management techniques and processes that involve organizational and business change. Such schemes (and there have been several types) are extremely useful and closely related to file plan structure but they are not the same thing. The file plan is something more than a classification scheme. It is a structure that is a reflection of records management principles – in particular taking into consideration appraisal, disposal, access and the management of specific types of record (such as case files). The overall purpose of creating, using and managing records is to support the business of an organization. For these reasons this book will use the term ‘file plan’.

    New considerations on file plans have arisen over the last few years largely as a result of the increasing use of electronic records management systems. This is not to say that the new approaches are not equally applicable to paper systems. Indeed, it has often been said, with some justification, that paper record-keeping systems and electronic records management systems should mirror each other. The purpose of the file plan, however, is to achieve intellectual control over both by ensuring that all the records and information of your organization are maintained consistently. It is clearly not conducive to good business practice to have two different systems operating together.

  • 8 - Preservation

  • from Part 2 - Design
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 129-144

  • Summary

    This chapter covers the storage and preservation of electronic records, examining the procedures that need to be considered in both the medium term (sustainability) and long term (preservation). It also provides pointers to the technical help that may be required when undertaking this phase of the design process. It also looks at business continuity planning for electronic records.

    Sustainability/preservation

    ‘Sustainability’ is often used in electronic records management to cover those records and their metadata that require continued retention by the creating or owning organization until such time as they can be destroyed or transferred to an archive for permanent preservation. ‘Preservation’, on the other hand, is generally used to cover those records which have passed out of the custody of the creating or owning organization because they no longer have any active use for them and which have been passed to another organization where they will either be preserved permanently or destroyed. The descriptions might therefore be applied to electronic records in the medium term and long term respectively, but for the purposes of this book and for simplification, preservation will be used to cover both.

    Why do we need a preservation strategy?

    There is a growing realization that future access to electronic information is threatened. It is perhaps surprising that this has not come about before now. Part of this can be put down to commonly adopted policies and procedures to maintain information in paper form even though much of it has been created electronically. There is still a certain amount of distrust of electronically preserved information. People feel more at home with paper and, in the absence of overall strategies on the management and preservation of electronic records, they have continued in this comfort zone. Another factor has been the concentration on earlier phases of the life cycle of records – developing systems for the creation and management of current records – and on delivering services to the public electronically. However, over the past few years, as the technology has become more robust, reliable and (most important) secure, many sectors have developed strategies for maintaining and preserving their information resources solely in electronic form.

  • 5 - Information survey

  • from Part 2 - Design
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 71-86

  • Summary

    This chapter examines a prerequisite for implementing new records and information management systems – the information survey.

    One of the key undertakings in the planning and implementation of new records management systems is the information survey. You may know it also by the name of ‘records audit’ or ‘information audit’. It is one of the most important processes that a records manager will undertake.

    In general, an information survey provides an objective assessment of an organization's record- and information-keeping practices and procedures. It is the first and most important step in gaining control of records and information, providing a basis for both physical and intellectual management decisions. It is also a useful tool in assessing the level of knowledge of records management in an organization. Where information asset registers have been compiled, organizations may find these a useful source document for populating the information survey and they may even lead to significant savings in the survey process.

    The objective of a survey is to produce a comprehensive list of all the records that your organization holds – paper, electronic, microform, etc. In the context of electronic records management the survey should not result merely in a list of application systems. It needs to gather information about each collection of records; in some cases, for example, the collection may be equivalent to an individual computer system, such as a database. In this context the term record collection is taken to mean a grouping of records with similar characteristics that can be managed together as a whole group; this would include making decisions for the group as a whole on filing, indexing, appraisal, migration and preservation. There are likely to be great variations between organizations but the important thing is to apply the term consistently within your own organization.

    For less structured records the same office applications will produce records grouped in many different business areas. This may include electronic records in an unorganized or unmanaged environment, such as documents in general purpose folders on a network drive that have no discernible method of arrangement or, more likely, documents on a local hard drive of an individual or workgroup where the arrangement is not meaningful to others and does not relate to the corporate-wide scheme.

  • 13 - Change management

  • from Part 3 - Implementation
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 187-194

  • Summary

    This chapter considers the changes that will need to be managed when implementing the electronic records management system. It revisits the subject of benefits and examines how they can be realized. Change management is itself a separate discipline and has a far wider application than we are considering here. Nevertheless, there are some important aspects of it that we should be aware of.

    What do we need to change?

    Electronic records management projects inevitably involve various changes in organizational responsibilities, policies and procedures. The capacity to manage these changes will determine the success of the implementation process. There are two main ways of promoting the acceptance of change – communication and training. First, however, in the context of electronic records management, there are still deepseated traditions in the way we handle and provide information. There are three areas where these need to change.

    Secrecy to openness

    Over the past few years new openness initiatives in many areas have presented a major change in attitudes. For example, in the UK there were codes of practice on openness in the public sector from the 1990s. The White Paper Open Government – published in July 1993 – set out proposals for new legislation and for a code of practice on Access to Government Information. In subsequent years similar codes of practice were introduced for the Welsh Assembly, Scottish Executive and the National Health Service. These codes of practice all had the same basic premise – that people have access to available information about services provided, the cost of those services, quality standards and performance against targets; that they are provided with explanations about proposed changes and have an opportunity to influence decisions on such changes; and that they know what information is available and where they can get it. The Freedom of Information Act 2000 has now superseded all these codes. A culture of openness continues to seep through society, albeit slowly. People still keep information to themselves, however (perhaps they feel more powerful if they do so). They often query why anyone should need to know what they know. The change – and the challenge – is to recognize that we need to move away from the Need to Know towards the Right to Know.

  • 15 - The future of information management

  • from Part 4 - The future
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 203-204

  • Summary

    Records and information management is going through a period of huge change, not least because of the challenges posed by electronic records. In a wider context we are living in a rapidly changing world where there are now over one billion users of the internet and over 60% of electronic access to information is from mobile devices. The paradox is that electronic information is essentially ephemeral and, if we are going to adapt to this changing environment, we need to think seriously about the sustainability of this information.

    The creators of information are no longer records management professionals. There is a perceived lack of expertise in the field. The interest and developmental efforts are towards the technology rather than its product. We should not be surprised at that, but we must engage with the technical experts to ensure that the needs of both information management and information technology practitioners are met.

    The traditional view of records and information managers is just that – traditional. Let's acknowledge that we are beginning to adapt, but more needs to be done. There are what many people like to call paradigm shifts in most aspects of the management of records and information. For example, the creation of information involves a greater understanding of metadata. This was unheard of in the paper environment when such data (we usually called it ‘documentation’) was taken for granted as part of the structure of registry and filing systems. There were file lists and (if you were lucky) disposal schedules which generally provided the metadata that you needed. Any extra was written on the file covers of records. Metadata in the electronic environment, however, requires considerably more thought and attention. There are different electronic systems so there will be different metadata schemes. This means different metadata standards and a constantly evolving field of information management. Another huge change is in the area of the retention of information. Appraisal methodologies have needed to be developed to cope with the electronic environment. For example, we no longer have the luxury of being able to undertake a (relatively) relaxed examination of records that are twenty years or so old, at which stage we feel more comfortable and confident in making a decision on historical value. Nor can we detach a judgement on historical value from one of business value. Both need to be made before the electronic record is obsolete.

  • 9 - Access

  • from Part 2 - Design
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 145-158

  • Summary

    This chapter briefly examines the subject of access in the context of electronic records – in particular accessibility, usability and security. While the basic principles are the same as those for paper records, there are some aspects that need particular attention when designing electronic records management systems. One of these is the redaction of electronic records and this subject is discussed in some detail.

    General context

    Public access to the records of public authorities is a fundamental right in a democratic society, but in the private sector access is usually restricted to people working for the particular business and, in some cases, to its shareholders. In general, access principles should focus on ensuring that the users of records and archives are clear about their rights and responsibilities. These may be enshrined in legislation – primary or secondary – or in policy statements. Ironically, in most of these cases access is actually about restrictions on access. For example, the UK Freedom of Information Act 2000 has one section providing a statutory right of access to information from public authorities and 23 sections of exemptions to that right; Companies Acts restrict access to certain types of information; and privacy legislation will allow you to see your own personal records but not those of anyone else.

    There is, of course, a strong relationship between preservation and access. A major objective of preserving electronic records and information is to make them accessible for future generations. In the electronic environment it is usually beneficial to make preservation and access decisions at the same time. For example, there may be good technical and pragmatic reasons to separate an access copy of an electronic record from a preservation copy when it passes from active use. As we saw when discussing preservation issues, new manifestations of electronic objects will need to be made as systems change or are upgraded. The deposited object may need to be kept for audit or legal reasons.

    Accessibility

    Records and information are made available for three main reasons:

  • • to meet statutory, regulatory or litigation requirements (broadly defined as accountability)

  • • for business reasons (operational)

  • • to meet the research needs of other parties, usually the public (social).

  • 12 - Procurement

  • from Part 3 - Implementation
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 179-186

  • Summary

    It is very likely that you will have a specialist procurement function in your organization and that you will be required to follow set procedures. The following pages are an attempt to describe some context to the activity, what to bear in mind when undertaking the procurement of such a major item as an electronic records management system and to point to the experience of other organizations that can be utilized. They also set out the kinds of questions you might ask suppliers of systems and examine the role that testing might play in the procurement process.

    Procurement procedures

    The acquisition of an electronic records management system would be described as indirect procurement in that it concerns the purchase of operating resources to enable an organization to undertake its functions. ‘Direct procurement’ is the term more often used for the purchase of items that are part of finished products (raw materials, parts, etc.) and is more common in manufacturing settings.

    For such a large acquisition as an electronic records management system, procurement will certainly involve a bidding process. This will involve a number of specific steps:

    1 business case (see Chapter 3)

    2 requirements – see Part 2; see also reference to the requirements catalogue on page 174

    3 specification – often defined as ‘a statement of needs to be satisfied by the procurement of external resources’ and sometimes known as the ‘statement of requirement’ or ‘operational requirement’. The purpose of the specification is to present prospective suppliers with a clear and accurate description of the organization's needs so that they can put forward their solution/proposal. The specification is likely to be drafted by the project team and signed off by the senior responsible officer (see roles and responsibilities in Chapter 11). It ought to be reviewed by a member or members of the project board to ensure that it is complete and accurate. Key points to consider in this review are:

    —the document is compatible with the business case

    —requirements are complete, accurate and unambiguous

    —the requirement is deliverable

    —issues and risks have been properly addressed

    —stakeholders’ views have been taken into account

    —future developments, including any business changes, have been taken into account.

  • 11 - Project management

  • from Part 3 - Implementation
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 169-178

  • Summary

    This chapter suggests a broad project management methodology for implementing electronic records management and gives references to the wealth of advice that is available on the subject.

    In Chapter 3 we saw how project management needs to feature in the business case for electronic records management. This chapter examines the subject in a little more detail and in the context of implementing a new system.

    Introduction

    More and more work is undertaken by specific projects as opposed to being part of mainstream operations and activities in an organization. The main driver for this has been economic, but the increased concentration has also been seen to deliver better products in a timely fashion. Since the 1950s project management has emerged as a specific discipline for organizing and managing resources in such a way that they deliver all the work required to complete a project within defined scope, quality, time and cost constraints.

    Most of project management is common sense. What the various methodologies do is to offer a structured approach that will enable you to get the job done more effectively and efficiently.

    One basic decision to make when embarking on a large project is whether you are going to use in-house expertise or employ specialist consultants. In implementing electronic records management it is very likely that you will want to use outside technical experts. Management of the project, however, should always be controlled internally. If you decide to use a substantial amount of your own organization's resources, it may be necessary to organize some training for staff. This will almost certainly be time and money well invested. Such is the ubiquity of project management that there will be a long-term benefit for the organization and its staff.

    Sample project for implementing electronic records Management

    This suggestion is based largely on a methodology commonly used in the public sector in the UK and widely recognized in the UK private sector – PRINCE 2 (PRojects IN Controlled Environments), which was first established in 1989. The key features of the methodology are:

  • • Its focus on business justification

  • • A defined organization structure for the project management team

  • • Its product-based planning approach

  • • Its emphasis on dividing the project into manageable and controllable stages

  • • Its flexibility to be applied at a level appropriate to the project.

  • 2 - Context

  • from Part 1 - Preparation
  • Kelvin Smith
  • Book:
    Planning and Implementing Electronic Records Management
    Published by:
    Facet
    Published online:
    08 June 2018
    Print publication:
    20 October 2007, pp 19-34

  • Summary

    This chapter examines how useful and relevant it is to describe the context in which records management functions are undertaken in the organization, the legal framework in which it operates and factors (internal and external) affecting records management – all as a precursor to developing the business case for electronic records management and planning the system itself.

    Definitions

    We first of all need to define what we mean by various terms so that there is a clear description of the context of electronic records management and an analysis of the functional arrangements in an organization that can be easily understood. The simplest way to do that is to set out a glossary of terms. The glossary that follows tries to be comprehensive and to indicate preferred terms but it is recognized that you may well come across some terms not covered here. Working cultures in organizations – sometimes but not always split on sectoral lines – adopt different terms for a variety of undertakings. The aim here is not to deliver an analysis of such cultural differences but to steer you towards acceptable handles that will allow you to get on and do the job.

    Glossary of terms

    Accession

    Completion of a set of intellectual and physical processes required to effect the transfer of custody and/or ownership of records from the creating or other responsible agency to the archive repository or agency for permanent retention and perpetual access.

    Aggregation

    Assembly of records or documents at various levels of the file plan. In the paper environment the most familiar assembly is the file; in local area networks it is typically a folder or sub-folder; in e-mail systems it is likely to be an inbox.

    Appraisal

    The process of distinguishing records of continuing value from those of no further value so that the latter may be eliminated.

    Archival repository

    A building or part of a building in which archives are preserved and made available for consultation.

    Archives

    Records of enduring value selected for permanent preservation.

    Authenticity

    An authentic record is one that can prove to be what it purports to be, to have been created or sent by the person purported to have created or sent it, and to have been created or sent at the time purported.

Page 272 of 302