E021
ManagingElectronic RecordsMoreEffectivelyIssues Paper
August 2012
1.Executive Summary
1.1NRS’s electronic records management is typical of organisations within the public sector – challenges grow in complexity and scale each year whilst opportunities go unexploited. However, NRS’s position as the leading recordkeeping body in Scotland is nottypical, and therefore it should seek to make significant improvements.
1.2In preparation for the production of a clear business case for an Electronic Document and Records Management (EDRM) or Electronic Content Management (ECM) system, the organisation should seek to take advantage of its current situation and assess its recordkeeping requirements alongside its wider technological requirements.
1.3There are numerous options available to the organisation, in relation to the more efficient management of its electronic records and content more widely. The specific aims and outcomes that the new technology will serve, should be defined, with emphasis on the functionality required, before a detailed business case or system requirements specification can be produced.
1.4It is recommended that a Steering Group is established to discuss the requirements of an EDRM/ECM system within NRS. If a requirement is identified, a Project Board will be identified to initiate the project before the end of November 2012.
2. Background
2.1Electronic information continues to grow within organisations and the need to manage it becomes ever more acute. Public expectations demand good information management to support transparency, accountability and decision-making. NRS’s position in this regard is unique amongst organisations in the public sector, in the sense that it is the leading professional body within the recordkeeping and information management communities in Scotland.
2.2Current electronic recordkeeping practice within NRS is largely typical of that within public sector organisations. NRS suffers from the following typical issues:
- A continued growth of largely unmanaged, often unstructured, electronic document and record storage (shared drives etc). Associated problems can include:
- potential breaches of statutory and regulatory requirements, including Freedom of Information and Data Protection (sometimes undetectable);
- lack of visibility of information, whether of particular informational value (to support decision making), or potential archival quality (to support appraisal);
- barriers to flexible and mobile working patterns;
- barriers to the sharing of information with external stakeholders and partner organisations;
- an inability to demonstrate the key attributes of a record – authenticity, reliability and integrity.
- The technical infrastructure currently in use, comprising storage, network and applications, does not provide the necessary functionality to allow for the effective management of the organisation’s electronic records (e.g. retention and disposal, access and security, audit trail data).
- These issues have led some parts of NRS to the current practice of print-to-file for all official information. Whilst understandable, this carries specific costs to the organisation and is generally accepted to introduce specific risks into the lifecycle of the record.
- As the organisation has not kept pace with technological developments in the wider world, it is excluding itself from the opportunities which the better use of technology presents.
2.3Whilst this background does not represent a specific business case for EDRM/ECM implementation, it is generally accepted across NRS that better technical provision for electronic recordkeeping is long overdue. This need is particularly obvious in light of the Public Records (Scotland) Act 2011 and NRS’s position in regard to it.
3.EDRM / ECM - First Steps
3.1A full understanding of both the opportunities for business efficiencies and the reduction of strategic risk, resulting from EDRM/ECM implementation will form part of any future business case. It is important that NRS recognises the criticality of clearly identifying and articulating the specific aims and objectives, benefits and return on investment, which the implementation of any such technology aims to deliver.
3.2Prior to initiating the production of a design specification, it is important to define the primary functions which the technology will fulfil for the organisation. These may be limited solely to records management outcomes, or may extend across a spectrum of activity for the management of electronic content. It is therefore worth considering the following activities:
- Electronic Records Management and its associated standards
- Digital Archiving
- Hybrid Records Management
- Management of Web Content
- Role of intranet and internet
- Role of shared drives and other network storage areas
- Role of scanning and image processing technology
- Role of workflow
- Role of collaboration tools
- Use of Cloud computing
- Integration with line of business applications
- Federation of existing content management solutions
- Email management solutions
- Standards of interoperability and content management
3.3A consideration of each of these elements will provide some direction as to the needs of the organisation, whether it is Electronic Records Management, Electronic Content Management, Web Content Management and so on.
4. Recommendations
4.1It is recommended that the organisation takes the opportunity to assess its requirements in respect of EDRM/ECM within the wider technical and strategic context. With clearer objectives for the technology identified it will be possible to produce an initial business case for a solution and thereafter a detailed system requirement specification. Furthermore, this process will identify the additional, non-technical elements required to make implementation successful.
4.2Time and again, EDRM/ECM implementation projects fail to deliver to the organisations which initiate them. Most common of all mistakes in this regard is the failure to clearly identify the outcomes the technology seeks to deliver and engage fully with all stakeholders to obtain corporate buy in. Too often, EDRM/ECM technology is procured and or implemented without an understanding of its requirements and objectives.
4.3It is recommended that a Steering Group is established in the first instance to discuss the issues and considerations highlighted in this paper. The Steering Group should consist of one representative from each of the Divisions: Census, Corporate Services, Demography, Public Services, Records Services and Registration. Furthermore, a representative from the following areas of expertise should also be present:
- Records Management
- ICT
- Information Security
- Digital Archiving
4.4If the Steering Group identify a clear requirement for an EDRM/ECM system to be developed in NRS, a Project Board should then be established to oversee the project and the work of the Steering Group. It is recommended that the core Project Board consists of the following roles:
- Project Sponsor/Executive - responsible for initiation and senior leadership of the Project;
- Project Manager – responsible for day-to-day administration and management of the Project;
- Project Supplier - responsible for advising on and delivering the technical aspects of the Project;
- Senior Customer/Stakeholder - responsible for representing the views of the Steering Group and NRS as a whole.
Additional roles may be identified as the project progresses and the Steering Group will continue to develop the specification and requirements of the business, which will be represented at Project Board meetings, by the Senior Customer/Stakeholder.
Location: / 1 of 4 / Last saved date: 2012-08Version 1.0