[EN] Records Management & MoReq2 | innova.doc 2009 | Barcelona

DLM Network EEIG
RM
Dr. Ulrich Kampffmeyer
PROJECT CONSULT
Unternehmensberatung
Dr. Ulrich Kampffmeyer GmbH
Breitenfelder Straße 17
20251 Hamburg
www.project-consult.com
© PROJECT CONSULT 2009
Records Management & MoReq2
DLM Network EEIG
innova.doc
Barcelona, October 6th 2009
P R O J E C TC O N S U L T
Unternehmensberatung Dr. Ulrich Kampffmeyer GmbH

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Agenda
Introduction: Records and Records Management
Standards: Records Management and Digital Preservation Standardisation
MoReq: Status, Scopeand Vision of MoReq2
Studies: The Market for Records Management
Challenge: BreakingtheBarriersof Traditional Records Management
Outlook: The Future of Records and Information Management
Dr. Ulrich Kampffmeyer | DLM Network EEIG | Innova.doc 2009 | Barcelona | 06.10.2009 | Slide 2of 141

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Introduction:
Records and Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Terminology
„Document“
isno easy term …
… as well in Catalan it can have different meanings
Introduction:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Definition: Record
ISO 15489 Records Management
Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business.
Introduction:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Whatis a Record?
A record can be any type of content having to do with a business activity or transaction.
The physical form is irrelevant. Only the content and legal character matter.
Examples for records are e-mails, contracts, business agreements, account balances, reports, video/audio files a.s.o.
Introduction:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Records canbedefinedby
theirattributes
Business Value
Legal Value
Context
Integrity
Persistence
Authenticity
Defined Metadata
Consistency
Classification
and more …
Introduction:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Definition: Records Management
ISO 15489 Records Management
Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records.
Introduction:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Whatis Records Management?
Imaging of filing plans and other structured directories for the orderly storage of information
Thesaurus or controlled vocabulary-based, unambiguous indexing of information
Management of retention schedules and deletion schedules
Protection of information according to ist characteristics, for example down to individual content components of documents
The use of international, industry-specific or at least companywide standardised metadata for the unambiguous identification and description of stored information
Introduction:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Whatis Records Management?
Records Management ismedia-agnostic.
Management ofphysicalrecords, forexamplepaperdocuments (byreferences in softwaresystems)
Electronic recordsmanagement (digital objects)
Introduction:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Whatis Electronic RecordsManagement?
Records Management or Electronic Records Management (ERM) has to do with the structuring, administrative and organisational components of records management.
ERM is not equivalent to electronic archiving or digital preservation, although there are many commonalities.
Records Management is supported by numerous international standards.
Introduction:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Whatis Records LifecycleManagement?
Retaininginformation
Information that must beretained
Information thatshouldberetained
Disposingofinformation
Rules forandproofofdestruction
Introduction:

Standards:
Records Management and Digital Preservation Standardisation

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Standards relatetovariouslevelsandpurposes
Technology
Methods
Architectures
Functionality
Logs and audit trails
Formats
Processes
Metadata
Interfaces
Procedures
Analyses and presentation
Visualisation
…and many other (business) aspects
Standards:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Records Management Terminology
Standards:
… somecallthisnow MoReq1

Roadshow 2009
Records Management& MoReq2
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Creationand Capture of Records
… whohaseverusedthis?
2.2.2
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Creationand Capture of Records
2.2.2
Standards:
… thisistheformat, theamericans do not like …

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Classificationof Records
3.2.3
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Records Management:ISO 15489
3.2.3.2
According to ISO 15489, records should have:
Authenticity
Reliability
Integrity
Usability
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Records Management: ISO 15489
3.2.3.1
Relevant for document management in the private and public sectors, and for archiving
Definition of the importance, function and elements of document management systems
The standard does not go substantially beyond a definition of the subject matter
Lowest common denominator of the participating countries
Problematic terminology i.E. in the German translation: “Records Management” = “(paper) document management” / “management of written stuff”
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Access Controls and Security Technologies in IT relatedto RM
3.2.4
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Storage, SearchandRetrieval
3.2.5
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Retention SchedulesandDisposal
2.2.6
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Metadata
2.2.7
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Retrieval, PresentationandIndexing
RetrievalandPresentation
2.2.8
Content Indexing
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
ICA –International Council on Archives
2.2.3.3
Committee of Best Practices and Standards (CBPS): “International Standard for Describing Functions” (ICA-ISDF)
The final version of the standard was presented to the 2008 ICA Congress in Kuala Lumpur.
This standard is based on various information elements, each of which consists of the following :
a. The name of the element
b. A statement of its purpose
c. A statement on the rules and data constraints that apply to the element
d. If possible, examples that show how the rule is to be applied
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
ICA –International Council on Archives
3.2.3.4
“Principles and Functional Requirements for Records in Electronic Office Environments”
The objective is to define global uniform principles and functional requirements for software used to generate and manage electronic records
The suite of guidelines and functional requirements is organised into three modules:
Module 1: Overview and Statement of Principles
Module 2: Guidelines and Functional Requirements for Electronic Records Management Systems
Module 3: Guidelines and Functional Requirements for Records in Business Systems
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Transmission & Migration
2.2.9
Transmission
Migration
Standards:
The term Migration itselfisambiguous …… generalprocessofingestion
… replacing an oldsystemandtransferofdata
… continuousmigrationasstrategy

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Long-termPreservation/Digital Preservation
2.2.10
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Long-Term Preservation/Digital Preservation
… isbelievedtobe an archivingstandard?!
2.2.10
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
OAIS Reference Model
3.2.10.1
Standards:
Records Management istheideal entrypointforarchival

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
OAIS Reference Model
SIP standardisationandingestionprocessesaretopicsfor Records Management:
Metadata
Interfacing
Lifecycleinformation
Security andretention
3.2.10.1
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Records and Archives
Records Management = Archives?
No!
Records include ‘live’ information and are used in day-to-day work.
Some records may be delivered to an archive to be preserved.
3.2.10.1
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Document Format
ISO 32000 : 2008 PDF … isthere still a needfor PDF/A-1 or PDF-A/2?
3.2.11
Standards:
Microsoft contra ISO 26300 ODF Open Document Format

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Software Certification
2.2.12
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
DoD 5015.2
DoD 5015.2: Documentmanagementstandardofthe US Department of Defense
Itdescribesthefunctionsneededfor
Information management
System management
Usesthe same approachasISO 15489 Records Management, but goeslessintofunctionaldescriptions
All manufacturers must complywiththisstandardin order toselltotheUS militaryorrelatedareas
Most recent update in 2007
2.2.12.1
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
2.2.12
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
DOD 5015.2
GUID
ISO 15801, 12654
XML
ISO 12033
Metadata:DC, ISAAR, ISOs 23081, 639, 2788, 5964, 8601
PDF/A
CAPTURE
USE
ISO 18492, OAIS
RFC 2821, 2822, TIFF, JPEGISO 216
X.509, XKMS
CREATE
PRESERVE
PDF/A
RECORDS
ISO 12037
DESTROY
TRANSFER
MANAGE
STORE
MoReq2, ISO 15489
ISO 15801, 12654
ISO 12142
DOD 5015.2
Coverageofstandards
2.2.13
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
DOD 5015.2
GUID
ISO 15801, 12654
XML
ISO 12033
Metadata:DC, ISAAR, ISOs 23081, 639, 2788, 5964, 8601
PDF/A
CAPTURE
USE
ISO 18492, OAIS
RFC 2821, 2822, TIFF, JPEGISO 216
X.509, XKMS
CREATE
PRESERVE
PDF/A
RECORDS
ISO 12037
DESTROY
TRANSFER
MANAGE
STORE
MoReq2, ISO 15489
ISO 15801, 12654
ISO 12142
DOD 5015.2
Coverageofstandards
2.2.13
Standards:
MoReq2

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Conclusions on standards
2.2.13
Standards cover different applicationareas. Theyare not allwayscomparableandcompatible
Standards have a life-cycle
Standards do not provideinvestmentsecurityandinformationavailibility –standardscanonlybeoneelement in an overall, longterminformationmanagementstrategy
Standards:

Roadshow 2009
12. + 14.05.2009
PROJECT CONSULT
20251 Hamburg
Conclusions on Standards
2.2.13
Standards cover different applicationareas. Theyare not allwayscomparableandcompatible
Standards have a life-cycle
Standards do not provideinvestmentsecurityandinformationavailibility –standardscanonlybeoneelement in an overall, longterminformationmanagementstrategy
Standards:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
MoReq:
Status, Scope and Vision of MoReq2
DLM Forum
MoReq:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
DLM Forum
MoReq:
1994 Creationofthe DLM Forum
After publicationoftheresulotionofthe European Council on increasedcooperationamongmemberstates in archiving
2002 Openingofthe DLM Forum
The newconstitutionmakesitpossibleforcorporations, organisationsand private individualstojointhe DLM Forum
2002 Foundingofthe DLM Network EEIG
as legal and administrative bodyofthe DLM Forum
MoReq:
Status, Scopeand Vision of MoReq2

MoReq
ModelRequirements for the
Management of Electronic Records
Published by the European Commission
and the DLM Forum
MoReq:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
MoReq1: History
1996 Initiative ofthe DLM Forum
Need for a specificationforsystemrequirementsformanaging electronic documentsandarchives
2000/2001 Creationof MoReq
aspartofthe IDA programme (Interchange of Data between Administrations) ofthe European CommissionbyCornwell Consulting
2001 Publishedelectronically
2002 Printed in theINsARseriesofthe European Commissionarchive
MoReq:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Model Requirements for the Management of Electronic Records
Designed and published for Europe – butnow used around the world
Initiated by DLM Forum, funded by European Commission, IDA programme
All sectors, public& private sector
MoReq:
Brasil

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
MoReq2
An evolutionary development of MoReq(1)
Improves and extends MoReq
Updates MoReq in respect of new technologies and regulations
ModularisesMoReq
Uses numerous “Best Practices” and incorporates proven standards
Adds a test suite and certification process for software products under the guidance of the DLM Forum
Published on 13. February 2008
MoReq:

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
MoReq2: The Specification
A specificationthat
describesthecapabilities
of a good, generic,
electronic records
managementapplication.
Availablefreefrom
www.MoReq2.euwww.MoReq2.dewww.MoReq.infowww.DLM-Forum.eu
MoReq:

MoReq2: The Specification
Gives the requirements for a good
generic ERM system
794 formal requirements
– Functional, non-functional
– Mandatory, desirable
– Core, optional
MoReq:
Fabasoft Pressekonferenz
DMS EXPO
MoReq2 Zertifikat
15.09.2009
Beitrag Ulrich Kampffmeyer
MGB Moreq Governance Board
PROJECT CONSULT
20251 Hamburg

MoReq2 website
Specification
Metadata model
Test framework materials
XML schema
Structureof MoReq2 Deliverables
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Test Framework Materials
DevelopedbyimbusAG, Germany
– Over 1,000 pages
– CompliantwithIEEE 829 - Standard for
Software Test Documentation
Contains
– Test data
– Test scriptsandinstructions
– Expectedresults
Intended mostly for software companies and certification centers – but can be used by everybody i.E. for inhouse testing
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Metadata Model
Completemetadata model
– 345 elementsunder 158 IDs
To be used with care: containserrors
ISO 23081 compliant
– MetadataforRecords
– Basis forthe MoReq2 XML schema
The model isdesignedforsoftwaredeveloppersandinterfacing. Most usersof MoReq2 can and should ignore this metadata model.
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

MoReq2 XML Schema
Specifies a standardinterchangeformat
Based on metadata model
Allowsexchangeof
– Electronic records
– Aggregations (files, classes etc.)
– Classificationschemes
Intendedforsoftwarecompaniesand – not likely to be useful to others.
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Structureofthe MoReq2 Standard
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

CAPTURE
USE
CREATE
PRESERVE
RECORDS
DESTROY
TRANSFER
MANAGE
STORE
ERM Functionsof MoReq2
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

CAPTURE
USE
CREATE
PRESERVE
RECORDS
DESTROY
TRANSFER
MANAGE
STORE
8 CategoriesforFunctionality
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg
Marcs idea:
8 basiccategoriesoffunctionalityaroundrecords

MoReq2 Contents
Introduction
Overviewof ERMS Requirements
ClassificationSchemeand File Organisation
Controls and Security
Retention and Disposition
Capturing Records and Declaring Records
Referencing
Searching, RetrievalandPresentation
Administrative Functions
Optional Modules
Non-Functional Requirements
Metadata Requirements
Reference Model
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

MoReq2 Contents
Introduction
Overviewof ERMS Requirements
ClassificationSchemeand File Organisation
Controls and Security
Retention and Disposition
Capturing Records and Declaring Records
Referencing
Searching, RetrievalandPresentation
Administrative Functions
Optional Modules
Non-Functional Requirements
Metadata Requirements
Reference Model
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg
The classical Records
Management functions

MoReq2 Optional Modules
10.1 Management of Physical (Non-electronic) Files and Records
10.2 Disposition of Physical Records
10.3 Document Management and Collaborative Working
10.4 Workflow
10.5 Casework
10.6 Integration with Content Management Systems
10.7 Electronic signatures
10.8 Encryption
10.9 Digital Rights Management
10.10 Distributed Systems
10.11 Offline and Remote Working
10.12 Fax Integration
10.13 Security Categories
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

MoReq2 Appendices
Appendix 1 – Reference Publications
Appendix 2 – Development of this Specification
Appendix 3 – Use of this Specification in Electronic Form
Appendix 4 – Acknowledgements
Appendix 5 – Correspondence to Other Models
Appendix 6 – Date Processing
Appendix 7 – Standards and Other Guidelines
Appendix 8 – Changesfromthe Original MoReq
Appendix 9 – Metadata Model
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Everythingis in Place
Requirements online andprinted
Test material available
XML schemafinished
Test centercontractsigned
MoReq2 Governance Boardestablished
Translations & chapter 0s comingin
First Records Management softwareproductFoliobyFabasoftiscertified
MoReq:
Wecanstarttogatherexperience, initiateimprovementsandgenerateacceptance!

Status of translations
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg
Catalan!

MGB MoReq Governance Board
The MoReq Governance Board has the following tasks
and responsibilities:
Ensure MoReq brand name protection
Ensure the consistency and quality of MoReq Chapter Zero content and translations of the MoReq specification
Instigate and promote MoReq awareness, use and adoption in the EU through publications, training programmes and other communication channels and partners
Provide an ongoing programme for Maintenance & development of Testing of MoReq
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

MGB MoreqGovernance Board
Members
Martin Waldron InformConsult (England) Chair
Hans Fredrik Berg National Archive (Norway)
Marc Fresko Inforesight (England)
Jon Garde Objective (England)
Ulrich Kampffmeyer PROJECT CONSULT (Germany)
Karl Mayrhofer Fabasoft (Austria)
Thomas Rumi imbus (Germany)
Jef Schram European Commission (Belgium)
Joze Skofljanec Nation Archive (Slovenia)
Rory Staunton Strategy Partners (England)
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Working groups
• Brand Protection (BPWG)
• Dissemination and Training (DTWG)
• Maintenance and Innovation (MIWG)
• Testing and Certification (TCWG)
• Translation & Chapter Zero (TZWG)
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

First Results
GuidelinefortheCertificationProcess
Guidelinefor Maintenance and Updates to MoReq
GuidelineforTranslators
Guidelinefor Chapter 0
DLM Forum and MoReq website (September 2009)
MoReq Roadmap
Ongoingrepliestoquestionsfromtranslatorsandvendors on technicalmatters
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

DLM Forum -MoReq2 Testing Regime
Imbus AG (http://www.imbus.de)
European Commission – DLM Forum (DLM
Network EEIG) – accredited test house
• 11.12.2008 accredited for 2 years, could be extended
First product certified in August 2009
(Fabasoft, Vienna, Austria, http://www.Fabasoft.com)
MoReq:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Oneimportant Goal
Demonstratetheusefulnessandusabilityof MoReq2:
Even a complexstructurecanbeeasilyusedwith modern softwarearchitecture, applicationsanduserinterfaces
Used in therightway, MoReq2 will helpto savemoneyandtoincreaseefficiency
Not everybody will needeveryfunction. Makethe modular approachwork
Systems must not onlybecapableof MoReq2-functionality, but must beabletosupporteveryofficeworkerwiththeirdailywork
More productsneedtobecertified …
MoReq:

Studies:
The Market for Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Records Management: An Industry View
Records Management
aspartof
ECM
Enterprise Content Management
The Market for Records Mangement

The Concept of ECMEnterprise Content Management
“Enterprise Content Management is
the Strategies, Methods and Tools
used to Capture, Manage, Store,
Preserve and Deliver
Content and Documents related to
Organizational Processes.”
AIIM international
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

MANAGE
CAPTURE
DELIVER
Collab
DM
STORE
STORE
WCM
WF/BPM
RM
PRESERVE
The ECM Model
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

MANAGE
CAPTURE
DELIVER
Collab
DM
STORE
STORE
WCM
WF/BPM
RM
PRESERVE
The ECM Components Model
Document Management
Collaboration
Web Content Management
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg
Workflow
Business Process Management
Records Management

MANAGE
CAPTURE
DELIVER
Collab
DM
STORE
STORE
WCM
WF/BPM
RM
PRESERVE
ECM & Records Management
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg
Records Management
Oneintegrated Module ofthe Components Model

CAPTURE
USE
CREATE
PRESERVE
RECORDS
DESTROY
TRANSFER
MANAGE
STORE
The MoReq2 Model
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg
The same Terms like in the ECM Model?!

CAPTURE
USE
CREATE
PRESERVE
RECORDS
DESTROY
TRANSFER
MANAGE
STORE
The MoReq2 Model
Capture
Preserve
RecordsManagement
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg
Manage
Store
Different Focus …
Records arethe Center ofthe World ?!

ECM and Records Management
WhatistheDifferencebetweenthe ECM andtheRecords Management Model?
Most ECM ComponentsareonlySatelitesin the MoReq2 Model!
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

The softwareindustryhasmoved on …
ECM was enhanced to
really cope with the
challenges of “2.0”
whilst Records Management and
Electronic Archival are just in a
“2.0 experimental Phase” …
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Market Studies
Gartner, Forrester & Co.
Records Management Functions and Vendor Positioning
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Gartner Group 2008 “MarketScope for Records Management”
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

DataMonitor ERDM Studie2008
Autonomy
HP
Open Text
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Forrester Wave Records ManagementAugust 2009
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Market Studies
AIIM
Association for Information
and Image Management international
Records Management Usage and Perception
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM RM Study 2009 Summary
The volume of paper records is still increasing steadily in 56% of organizations, but in 22% it is at last showing signs of decreasing. Meanwhile the volume of electronic records is “increasing rapidly” for 70%, and unsurprisingly, is not decreasing for any.
Half of organisations are scanning newly received paper items and filing them electronically rather than manually, and a third of businesses are looking to go to all-electronic records-keeping.
But for the other half, as well as manually filing inbound paper documents, 40% admit to routinely printing newly generated office documents and emails for the purpose of filing them as paper records.
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Electronic records are more than twice as likely to be described as “Unmanaged” than paper records.
71% of organisations have a procedure for legal hold of paper records in the event of litigation, but only 57% have one for electronic records.
For 25% of organisations, legal discovery of paper records would take at least a month, whereas for electronic records this is 17%.
There is a reliance on IT staff to carry out legal discovery on electronic records in the majority of companies, whereas records management staff or line-of-business staff deal with paper records.
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

13% of organisations are using dedicated e-discovery tools and a further 22% are planning to do so. 42% are utilizing their ECM/ERM suites for e-discovery and 12% are using Enterprise Search.
Of those organisations with no ECM/ERM system, 60% would not be confident, if challenged, that their electronic records have not been changed, deleted or inappropriately accessed.
38% of those polled admit that there is little or no enforcement of their records management policies and 55% set no guidance on dealing with important emails as records.
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

31% of organisations have 20 or more content repositories that could usefully be linked, with email as the highest priority content.
35% are using in-house developed links to join up repositories and a further 28% are using vendor custom-developed links. CMIS (Content Management Interoperability Services specification) has gained traction in just 15% of organizations as yet.
Half of organisations would “possibly” store records in a local, identifiable outsource, but 77% state they would never use a public cloud (e.g., Google, Amazon or Microsoft) even if they were assured of an onshore storage location. However, 67% would consider a corporate or government cloud.
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

Two thirds of organisations store a significant proportion of their records in native formats such as Word and Excel, although a third plan to converge to PDF-A over the next 3 years.
Over 70% of organisations have made no plans or provision for long-term archiving of electronic records, with no policies for migrating to new media, translating formats, or virtualization of applications.
Spending on Records Management systems and modules is expected to be up overall in the next 12 months. Consultancy Services show a slight net fall.
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
What is the most significant business driver for document and records management technologies in your organization? N=476
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
How long would it take to produce all of the organisational information related to a formercustomerorconstituent? N=468
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
For each type of content, evaluate the degree of control
that exists in your organisation in managing it: N=462
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
How would you best characterize your organisation’s experience with document management and recordsmanagement? N=478
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
How would you describe the return on investment (ROI) of your document/records management or ECM system? N=289, (excluding “not measured”)
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
Have you implemented Microsoft SharePoint 2007 (WSS/MOSS) in your organization? N=406
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
Do you currently use or have immediate plans to use SharePoint 2007/MOSS in the following applications? N=233 (SharePoint users)
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
Which of the following would you use to best describe your current or planned use of SharePoint in your organization with regard to your existing ECM, DM and RM suite? N=233 (SharePoint users)
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
How are each of the following managed in your ECM environment? N=281, >10 emps, non-trade (“Not applicable to our business” responses indicated by shorter bar lengths.)
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
Which of the following would you use to best describe your current or planned use of SharePoint in your organisation with regard to your existing ECM, DM and RM suite? N=233 (SharePoint users)
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
What are your plans for using a remotely hosted or outsourced “Software as a Service” (SaaS) or a Cloud solution for your document and records management? N=350
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
The following are typical problems that can occur during the course of a records or document management implementation. Please select the TOP THREE problems that have affected your organization (please check ONLY THREE)
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
The following are typical aspects of ECM products that would affect your choice of new products or satisfaction with existing products. Please select the TOP THREE that you consider to be the most important:
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
How do you think your organisation’s spending in 2009 on each of the following technologies will compare with what was actually spent in 2008? N=274, >10 emps, non-trade. (“We don’t spend anything on this” responses indicated by shorter bar lengths.)
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

AIIM Study 2009
How do you think your organisation’s ECM spending in the following areas will be in 2009 compared to 2008?
N=274 >10 emps, non-trade. (“We don’t spend anything on this” responses indicated by shorter bar lengths.)
DMS EXPO
MoReq2 Zertifikat
15.09.2009
PROJECT CONSULT
20251 Hamburg

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Challenge:
Breaking the Barriers of Traditional Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
The positive Aspect is, this
The Information Flood …

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
The positive Aspect is, this
The goodnewsis, thiswavehasnot arrivedin
recordskeepingcentersandarchivesyet …

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Three big Challenges
Challenge:
BreakingtheBarriersof Traditional
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
The Technology Challenge
Most “new” technologies do not care about providing objects suitable to become consistent Records or to be archived properly …
Consider:
Personalisation & individualisation
Blogs, twitters, instant messages & wikis
Proprietaryformatsformultimediaobjects
Mashups & distributedresources
Non-persistent URLs
etc., etc., etc.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
The Technology Challenge
We might even have to come up with thediscussion,
again,
whether we need a definition of something like a “Digital Original”
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
The Cultural Challenge
New perceptions, how to generate and use information.
Consider:
Social communities
Digital immigrants versus digital natives
“Always online”
New ways of communication and interaction
Rights management & data protection
etc., etc., etc.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
The Cultural Challenge
Wemightevenhavetocomeupwithdiscussions,
again,
abouttheinformationsocietyandsocialimplicationsofwhatwearedoing.
And not toforgetthe digital addicts …
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
The Information Growth Challenge
Exponential growth of information and no sufficient “management” of information.
Consider:
Uncontrolled redundancy
The value of information
The growing dependency on the availability and accuracyof information
etc., etc., etc.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Some Special RecordsManagement Challenges
You may want to replace the term
“Records Manager”
with the term
“Archivist” or “Librarian”…
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records managers love metadata.
They are used to complex data entry forms.
2.0 users hate complex data entry forms!
They trust automatic categorisation.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records Managers areexcellentatstructuredsearch.
Theyareusedto Expert Search Forms.
2.0 users hate complex search forms!
They love “single field search” á la Google, finding everything everywhere.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records Managers areawareoftheimportanceofinformationcontext.
Theyareusedtospendinghourscreatingorderly
structures.
2.0 users are lazy!
They don‘t care where they store their stuff.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records Managers know perfectly to navigate by tree views and folder-sub-folder-volume-hierarchies.
It’s all about having fun.
2.0 users will loose their temper if the Interfacedoesn’t work like a media library or Youtube.
Or they get bored and just stop searching whatthey were looking for.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records Managers knowabouttheimportanceofselectionanddisposal.
Theyworkuntillate in thenighttokeeptheirrepositories clean.
2.0 usersknowthat a 1 TB diskatthegrocerystoreisnowonly 100 €.
Theybelievethatthere will alwaysbeenoughspaceforeverything.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records Managers arespecialists in determiningthevalueofrecords.
Theyworkeagerlytokeepinformationaccessibleandavailablefor all time.
2.0 usershavenoideawhat a recordisorwhomightberesponsibleforstoringitsafely.
Everybodygetscopiesofeverything, so somebody will takecareof it.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records Managers arefondoftheirfileplans, thesauri, taxonomies, ontologiesandclassificationschemes.
They will movethrough 7+ levelsofhierarchyto find therightspotfor a note.
2.0 usersbelieve in folksonomy.
If enough users choose the same tag, it can’t be wrong.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records Managers arepreparedtolearneveryfunctionoftheir RM solution.
With extensive training, anysoftwareinterfacecanbeturnedinto a usabletool.
2.0 userslovetheir iPod!
Iftheuserinterfaceisn’tsexy andworkslikeFacebook, they will just shuttheapplicationdown.
Challenge:
Records Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SomeProvocations
Records Managers knowtheplaceofeveryobjectbyheart (orbytheirretrievalsystem).
Theyare in controlofeverything in the electronic realmand in theworldofpaperdocuments.
2.0 users, the Digital Natives, startedlivingin a virtualworld …
… andthesystemsarenolongerjailed in theirsiliconcages. with RFID, robotics, cameras, sensorstheyareenteringthe real worldandtakingover.
Challenge:
Records Management

Outlook:
The Future of Records
and Information Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
AvailabilityandDependence
Our society is utterly dependent on the availability of information systems and the correctness of information:
Do we handle electronic records as carefully as we do paper records?
Will future historians call our time “the Dark Age of the Early Information Society?”
Outlook:
The Future of Information
Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
SaaS
Software as a Service, ASP (Application Service Providing) and Outsourcing are a major challenge for Records Management:
Will there be control of storage locations?
Will there be reliable information on provider trustworthiness?
Will the inherent insecurity of data links and the Internet be compensated by high cost-effectiveness?
Outlook:
Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
EIM
Enterprise information management is crumbling the barriers between structured and unstructured information:
A record is merely a definition of an information object based on legal character, business value and content.
Will there be a need for specialised Records Management solutions?
Outlook:
Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Social Software
Social software and Web 2.0 technologies create new information channels and dynamic, “soft” formats that are not suitable for digital preservation:
How to derive records from wikis, blogs, tweets, etc.?
How to determine value of information to create a record?
Who is supposed to do this in the era of Information Overflow?
Outlook:
Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Automatisation
Automatic classification and categorisation are the only way to get control of the flood of information:
Will the Records Manager exist as a job description in the future?
How good do automatic procedures need to get before it becomes obvious that they are much better than error- prone manual procedures?
Will structured Records Management survive in the Age of Google?
Outlook:
Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
E 2.0
Web 2.0 technologies are changing the way companies use information:
Will Records Management become just another function of standard software?
Can enterprise search eventually replace structured repositories?
Will information objects “know” by themselves where they belong and what they are used for?
Will compliance become the only reason for the survival of Records Management?
Outlook:
Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Paradigms
We will need a paradigmchangein Records Management toadopttotechnicalandculturalchange!
Orwe will see a paradigmshiftto a place, wherewe do not wanttobe!
Outlook:
Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
The choice is yours!
Outlook:
Management

DLM Forum
RM
PROJECT CONSULT
20251 Hamburg
Thank you very much for your attention!
Dr. Ulrich KampffmeyerE-Mail: Ulrich.Kampffmeyer@PROJECT-CONSULT.comSlides, Newsletter, more Information ...http://www.PROJECT-CONSULT.comhttp://www.MoReq2.de

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[EN] Records Management & MoReq2 | innova.doc 2009 | Barcelona

by Ulrich Kampffmeyer on Oct 09, 2009

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[EN] Records Management & MoReq2 | innova.doc 2009 | Barcelona — Presentation Transcript