E021
Managing Electronic Records More Effectively
Issues Paper
August 2012
NRS
Managing Electronic Records More Effectively
Issues Paper
E021
1.
Executive Summary
1.1
NRS’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 not typical, and therefore it
should seek to make significant improvements.
1.2
In 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.
1.3
There 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.
1.4
It 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
2.1
Electronic 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.
2.2
Current electronic recordkeeping practice within NRS is largely typical of that within public
sector organisations. NRS suffers from the following typical issues:
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A continued growth of largely unmanaged, often unstructured, electronic document and
record storage (shared drives etc). Associated problems can include:
o potential breaches of statutory and regulatory requirements, including Freedom of
Information and Data Protection (sometimes undetectable);
o lack of visibility of information, whether of particular informational value (to support
decision making), or potential archival quality (to support appraisal);
o barriers to flexible and mobile working patterns;
o barriers to the sharing of information with external stakeholders and partner
organisations;
o an inability to demonstrate the key attributes of a record – authenticity, reliability and
integrity.
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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).
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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.
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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.
2.3
Whilst 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
3.1
A 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.
3.2
Prior 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:
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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
3.3
A 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
4.1
It 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.
4.2
Time 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
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corporate buy in. Too often, EDRM/ECM technology is procured and or implemented without an
understanding of its requirements and objectives.
4.3
It 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:
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4.4
Records Management
ICT
Information Security
Digital Archiving
If 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:
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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.
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