IMPLEMENTING AN ELECTRONIC
RECORDS MANAGEMENT
PROGRAM




Philip C. Bantin
Indiana University Archivist
bantin@indiana.edu
IU Electronic Records Program
Website:
http://www.indiana.edu/~libarch
/ER/NHPRC-2/index.html
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
OUTLINE OF
PRESENTATION


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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
Information Systems

Systems Development Lifecycle


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System concept: purpose, goals, scope
Analysis: user/functional requirements
Design

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data design: what information?
software design: processed how?
interface design: user interaction?
Coding and testing: execute & evaluate
Key issue: Systems do (only) what
they’re designed to – purpose, goals,
scope, requirements.
Data and Information
Systems

Transaction Processing
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Decision Support

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Data-oriented
Automate basic business processes
MIS/EIS
Data warehouse
Electronic Document Management
Systems (EDMS)
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
TRANSACTION
PROCESSING SYSTEMS


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Inputs=transaction data like
financial information, human
resource data
Processing=sorting, listing,
updating, merging
Outputs=bills, paychecks, orders,
detailed lists and reports
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
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.)
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.
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
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




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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
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.
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.
Transaction Processing Systems and
Record Systems

However…in 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?
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
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.
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.
DATA WAREHOUSES - PRIMARY
CHARACTERISTICS

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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
Data Warehouses as
Recordkeeping Systems

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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
EDMS as Recordkeeping
Systems

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
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
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
EDMS AS RECORDKEEPING
SYSTEMS

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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
EDMS AS RECORDKEEPING
SYSTEM
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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
EDMS As A Recordkeeping
System
EDMS allows documents to
be modified and exist in
several versions
 ERMS prevents records
from being modified

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

EDMS As A Recordkeeping
System
EDMS may include some
retention controls
 ERMS must include rigorous
retention controls

EDMS As A Recordkeeping
System
EDMS may include a
document classification
scheme
 ERMS must include a robust
record classification scheme

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

Strategies for Capturing
Record Content and
Record Metadata
Overall Goals of Record
and Metadata Capture


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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.
STRATEGIES FOR
CAPTURING RECORDS
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1) Applications that include
BUSINESS PROCESS ENGINES
2) Applications that include
WORKFLOW ENGINES
3) RECORDS MANAGEMENT
APPLICATIONS (RMA)
Business Process Models

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
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
Business Process Models

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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
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
Registry System - Operational
Procedures

Registration is based upon a business
process


e.g, filling an archivist’s 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
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
Example of Recordkeeping in Registry System - Filling an
archivist’s position in the University Archives
Date
Transaction
Agent
2001-04-24
an announcement of the vacant position sent
to a local newspaper
an application sent by Ms. X
an application sent by Ms. Y
an application sent by Mr. W
applications sent for review to the archives
statement of the applicants sent to Office B
after interviews
a request for additional information from
the archives
a revision to a previous statement to Office B
a decision to appoint Ms. Y as an archivist
a letter to Ms. Y informing her that she has
been appointed
Office A
R
Office A
Office A
Office A
Office A
Archives
R
R
R
Office B
R
Archives
Office B
Archives
R
R
R
2001-05-10
2001-05-10
2001-05-12
2001-05-24
2001-06-24
2001-06-30
2001-07-10
2001-07-25
2001-07-26
R
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
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-Shing Chen “The Paradox of Digital Preservation”
Computer (IEEE Computer Society), March 2001
WORKFLOW MODELS
Advantages:
 1) Commonly used
 2) Coming back into fashion
with an emphasis on life
cycle management
 3) Often Automated

WORKFLOW MODELS
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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
UIS EDEN Workflow Engine
Overview of workflow engine for
IU’s OneStart portal.
OneStart & EDEN Component-Based Development
OneStart
Desktop
Adaptable
Personalized
Customized
User Interface
Application
Delivered
Channels
Other
IUIE
FIS
SIS
HRMS
Applications
Other Content
Services
Users
Record
Keeping
Security
Workflow
Infrastructure
EDEN
Application
Services
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 IU’s portal.
Technical Architecture

Component Based – EJB’s

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Documents processed in XML format

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Application interface
Application post-processors
Route Modules
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.
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
Route Document
Application using EWE
EWE submits XML to
route modules

Workflow engine
RouteDoc( XML contents
of doc )
Discover Action Requests
Routing Modules
Workflow engine
1) XML for document
2) Action Requests
3) Add action
requests to
document route
Route modules return
list of action requests
Route modules scan XML for
specific route controls and
match document information to
action request rules.
Activate Next Action Request
Document’s action requests are activated
by:

1.
2.
3.

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.
Review Action List


Person reviews
action list in the
portal.
Person is able
to see the
routing log and
other header
information.
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.
Approve Document


User acts upon the
action request.
Application
business rules are
applied to control
actions taken on
the document.
Route Document again
Application using EWE
Workflow engine
RouteDoc( updated
XML contents of doc
and action taken by
user )
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.
ADDITIONAL FEATURES
Add Recordkeeping Routing
Rules
 Add Recordkeeping
Environment

Conceptual Design – Workflow and Electronic
Recordkeeping
Applications
EDEN
Portal
(Infrastructure)
FIS
(User Interface)
Inbox
HRMS
OneStart
Workflow
Engine
Purchasing
Preference
Engine
Recordkeeping

RECORDS MANAGEMENT
APPLICATIONS (RMA)
TRIM

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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
TRIM
TRIM manages and
integrates both electronic
and physical records
 TRIM supports the capture
and import of e-mail
messages and their
associated attachments

TRIM

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
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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
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
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
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.
TRIM
Migration and Conversion
 TRIM provides the tools
to migrate records to
another relational
database system

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
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
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 nonelectronic records.”
http://jitc.fhu.disa.mil/recmgt/#standard
OTHER STAND ALONE
RMA PRODUCTS

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ForeMost Enterprise, Version 2 by
TrueArc, Inc.
Tarian eRecords Engine v1.0 - formerly eRecords 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.
R2M (Relativity Records Manager)
Version 2.0
by 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.
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.

Integrated RMA Products
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.
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.
IBM e-Records Solution (IeRS)
version 1.0
by IBM Corporation



IBM’s IeRS is a combination of IBM’s
Content Manager v7.1 and Tarian Software’s
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.
Work Manager/ForeMost
by 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.
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.
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.