1. IMPLEMENTING AN ELECTRONIC RECORDS MANAGEMENT PROGRAM
Philip C. Bantin
Indiana University Archivist
IU Electronic Records Program Website:

2. 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

3. OUTLINE OF PRESENTATION
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

4. Information Systems Systems Development Lifecycle
System concept: purpose, goals, scope
Analysis: user/functional requirements
Design
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.

5. Data and Information Systems
Transaction Processing
Data-oriented
Automate basic business processes
Decision Support
MIS/EIS
Data warehouse
Electronic Document Management Systems (EDMS)

6. 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

7. TRANSACTION PROCESSING SYSTEMS
Inputs=transaction data like financial information, human resource data
Processing=sorting, listing, updating, merging
Outputs=bills, paychecks, orders, detailed lists and reports

8. 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

9. 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.)

10. 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.

11. 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

12. 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
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

13. 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.

14. 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.

15. 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?

16. 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

17. 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.

18. 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.

19. DATA WAREHOUSES - PRIMARY CHARACTERISTICS
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

20. Data Warehouses as Recordkeeping Systems
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

21. EDMS as Recordkeeping Systems
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

22. 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

23. EDMS AS RECORDKEEPING SYSTEMS
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

24. EDMS AS RECORDKEEPING SYSTEM
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

25. EDMS As A Recordkeeping System
EDMS allows documents to be modified and exist in several versions
ERMS prevents records from being modified

26. 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

27. EDMS As A Recordkeeping System
EDMS may include some retention controls
ERMS must include rigorous retention controls

28. EDMS As A Recordkeeping System
EDMS may include a document classification scheme
ERMS must include a robust record classification scheme

29. 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

30. Strategies for Capturing Record Content and Record Metadata

31. Overall Goals of Record and Metadata Capture
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.

32. STRATEGIES FOR CAPTURING RECORDS
1) Applications that include BUSINESS PROCESS ENGINES
2) Applications that include WORKFLOW ENGINES
3) RECORDS MANAGEMENT APPLICATIONS (RMA)

33. Business Process Models
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

34. Business Process Models
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

35. 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

36. 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

37. 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

38. Example of Recordkeeping in Registry System - Filling an archivist’s position in the University Archives
Date Transaction Agent
an announcement of the vacant position sent Office A R
to a local newspaper
an application sent by Ms. X Office A R
an application sent by Ms. Y Office A R
an application sent by Mr. W Office A R
applications sent for review to the archives Office A
statement of the applicants sent to Office B Archives R
after interviews
a request for additional information from Office B R
the archives
a revision to a previous statement to Office B Archives R
a decision to appoint Ms. Y as an archivist Office B R
a letter to Ms. Y informing her that she has Archives R
been appointed

39. 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

40. 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.”
“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 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."[1] What we are calling a workflow engine is the software that facilitates that automation. As Chen notes in “The Paradox of Digital Preservation,” a recent article in Computer, a journal of the IEEE Computer Society, “Starting from creation and ingestion, we should integrate the workflow process with the preservation process: appraisal, verification, maintenance and, eventually, retirement.”[2] At Indiana University, we are attempting to do this by utilizing the workflow engine. What follows is a very high level overview of the engine and its potential for electronic recordkeeping.
When the IT community and functional areas at IU talk about the e-docs that will be routed by the workflow engine, they are generally referring to electronic forms that are connected to database records. These electronic forms are much like the traditional paper forms they replace. E-docs generally do not include other file types such as scanned images although the engine will be able to accommodate these. The workflow engine will route e-docs for activities such as completion, approval, or notification.
[1] From a workflow portal sponsored jointly by the Workflow Management Coalition (WfMC) and the Workflow And Reengineering International Association (WARIA)
[2] Chen, Su-Shing, "The Paradox of Digital Preservation," Computer (IEEE Computer Society), 34(3), p

41. WORKFLOW MODELS Advantages: 1) Commonly used
2) Coming back into fashion with an emphasis on life cycle management
3) Often Automated

42. WORKFLOW MODELS 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

43. UIS EDEN Workflow Engine
Overview of workflow engine for IU’s OneStart portal.

44. OneStart & EDEN Component-Based Development
User Interface
OneStart
Customized
Personalized
Adaptable
Desktop
Application Delivered
Channels
Applications
HRMS
SIS
FIS
IUIE
Other
Other Content
Services
As mentioned previously, OneStart and EDEN are being developed using component-based development.[1] A component is a specific piece of enterprise functionality that can be reused in future development and integration. As you can see in the diagram below, some of the components that are part of EDEN included a workflow engine, recordkeeping, security, and an inbox. A key difference between components and objects is that components clearly separate specification from implementation allowing for easier reuse. Components also have published interfaces that should be independent of their implementation in order to facilitate integration.
[1] This overview of component-based design (CBD) comes from a presentation given at CUMREC 2001, A Higher Education Technology Conference (an EDUCAUSE affiliate) by James Thomas and John Walsh, “Indiana University Has Embarked on a Journey to Create the "Next Generation" Web Portal,” which can be found at
Infrastructure
Workflow
Record Keeping
Security
Users
Application
Services
EDEN

45. 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.

46. Technical Architecture
Component Based – EJB’s
Application interface
Application post-processors
Route Modules
Documents processed in XML format
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.

47. 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

48. Route Document EWE submits XML to route modules Application using EWE
Workflow engine
RouteDoc( XML contents of doc )

49. Discover Action Requests
Routing Modules
Workflow engine
1) XML for document
2) Action Requests
Route modules scan XML for specific route controls and match document information to action request rules.
3) Add action requests to document route
Route modules return list of action requests

50. Activate Next Action Request
Document’s action requests are activated by:
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.

51. Review Action List Person reviews action list in the portal.
Person is able to see the routing log and other header information.

52. 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.

53. Approve Document User acts upon the action request.
Application business rules are applied to control actions taken on the document.

54. Route Document again
Application using EWE
Workflow engine
RouteDoc( updated XML contents of doc and action taken by user )

55. 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.

56. ADDITIONAL FEATURES Add Recordkeeping Routing Rules
Add Recordkeeping Environment

57. Conceptual Design – Workflow and Electronic Recordkeeping
Applications
EDEN
(Infrastructure)
Portal
(User Interface)
FIS
Inbox
HRMS
Workflow
Engine
OneStart
Purchasing
Preference Engine
In this conceptual design, recordkeeping functionality would be added by including a recordkeeping node. To capture the document when it becomes a record or evidence of a transaction, routing rules could direct the document to that node. The attached inbox would have a conduit (the orange line in the diagram) that passes the document into a recordkeeping system or repository to be managed. Each document in the recordkeeping system would include the metadata attached at its creation in addition to all metadata gathered whenever it is routed through the engine. Since the record has been captured as part of its associated process, we can be assured that the metadata also contains all of the appropriate contextual information that may be missing if captured at a later date.
At this time, IU does not have, nor plans to have any time in the near future, a document management or recordkeeping system. Having identified a means for capturing records from the various university systems, we are now exploring a partnership with the Indiana University Information Environment (IUIE), which is IU's data warehouse, in order to provide a repository for these records. This is a fairly new and exciting effort that would allow us to make use of existing university resources.
Recordkeeping

58. RECORDS MANAGEMENT APPLICATIONS (RMA)

59. TRIM 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

60. TRIM TRIM manages and integrates both electronic and physical records
TRIM supports the capture and import of messages and their associated attachments

61. TRIM 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

62. 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

63. 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

64. 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.

65. TRIM
Migration and Conversion
TRIM provides the tools to migrate records to another relational database system

66. 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

67. 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

68. TRIM
TRIM 4.3 was tested and certified as complaint with DoD 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 non-electronic records.”

69. OTHER STAND ALONE RMA PRODUCTS
ForeMost Enterprise, Version 2 by TrueArc, Inc.
Tarian eRecords Engine v1.0 - formerly e-Records 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.

70. 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.

71. 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.

72. Integrated RMA Products

73. 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 and other electronic documents -- all within the same environment.

74. Integration of FileNET IDM Content Services 5. 1
Integration of FileNET IDM Content Services 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.

75. 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.

76. 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.

77. OmniTREEV v2. 3 by TREEV, Inc. with ForeMost Enterprise Version 1
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.

78. 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.