Jul 29, 2011 ... formulating and implementing government-wide records management ... An
Electronic Document Management System (EDMS) is NOT an ...
Industry Forum
Electronic Records Management and Implementation of Electronic Recordkeeping System in the Government 29 July 2011
Government Records Service
1
Outline Part 1
Records management and government electronic information management strategy
Part 2
Electronic records management and electronic recordkeeping system (ERKS)
Part 3
Vendor community’s and consultants’ expected participation in the implementation of ERKSs in bureaux/departments
2
Part 1
Records Management and Government EIM Strategy
Government Records Service 3
Records Management in the Government
Government records are –
valuable resources to support evidence-based decision making, meet operational and regulatory requirements
essential for an open and accountable government
Records management (RM) is an important common function of government bureaux/departments (B/Ds)
Government Records Service (GRS) is specially tasked to oversee the overall management of government records
B/Ds are responsible for implementing a comprehensive RM programme within their organizations
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Main Functions and Responsibilities of GRS
The central records management and service agency of HKSARG
GRS is responsible for –
formulating and implementing government-wide records management policies and programmes
developing records management standards, guidelines and procedures
providing records related advisory services and training
administering records centres, records disposal and centralized microfilming services
identifying and preserving records of archival value, valuable government publications and printed materials
enhancing public awareness of Hong Kong’s documentary heritage and provision of research and reference services
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Records Management and Government EIM Strategy
RM is positioned as a mandatory component of electronic information management (EIM) that B/Ds must implement
Electronic records management (ERM) has been taken forward as an integral part of the Government EIM Strategy
B/Ds are required to adopt an electronic recordkeeping system (ERKS) to drive ERM in the government
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Part 2 Electronic Records Management and Electronic Recordkeeping System
Government Records Service 7
Electronic Records Management (ERM) in the Government Two components:
applying records management principles and requirements to management of records
use of electronic systems, notably an ERKS to manage records
RM Principles
+ 8
What is an Electronic Recordkeeping System (ERKS) ?
An information system providing comprehensive, integrated and coherent RM functionality to manage both electronic and non-electronic records throughout their entire life cycle
A stand-alone system or as a part of an integrated EIM solution Non-electronic Electronic
Ensure qualities of record –
authenticity
integrity
reliability
usability
records
records
ERKS
Also known as an electronic records management system (ERMS) in some countries
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An Electronic Document Management System (EDMS) is NOT an ERKS An EDMS possesses sufficient records management functionality to manage records. It is equivalent to an ERKS.
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ERKS Functional Requirements
To support government-wide implementation of ERKS, GRS has developed a set of comprehensive and integrated ERKS functional requirements with reference to international RM standards and best practices
B/Ds must comply with the mandatory functional requirements to develop or adopt an ERKS to ensure conformity to government RM policy and requirements
Promulgated to B/Ds in early May 2011
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ERKS Functional Requirements (Cont’d)
The ERKS functional requirements have been drawn up taking into account HKSARG’s RM requirements and making extensive reference to international RM standards and ERKS functional requirements of other regions/countries
Design Criteria Standards for Electronic Records Management Software Applications (DoD 5015.02), USA
Model Requirements for the Management of Electronic Records (MoReq2), European Commission
Principles and Functional Requirements for Records in Electronic Office Environments (ISO 16175)
Information and documentation – Records management – Part 1: General & Part 2: Guidelines (ISO 15489-1:2001 and ISO/TR 15489-2:2001)
Certification to DoD5015.2 and MoReq2 does not imply meeting the ERKS functional requirements developed by GRS in full
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Mandatory and Optional ERKS Functional Requirements Functional Requirements
No.
Mandatory functional requirements (a)
Non-conditional mandatory functional requirements
49
(b)
Conditional mandatory functional requirements
9
Optional requirements - Workflow Total:
3 61
Flexibility has been built to enable B/Ds to develop/adopt an ERKS that suits their specific business and RM needs
B/Ds may add their specific functional requirements to address their business and RM needs
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Overview of the ERKS Functional Requirements
Records Classification and Identification
Capturing of Records
Use of Records
Security and Access Control
Retention and disposal
Administration
Metadata
Language Support
Workflow (optional)
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ERKS Functional Requirements and Records Life Cycle Creation
Use
Disposal
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Further Development of ERKS Functional Requirements
The ERKS functional requirements will be updated and refined as necessary having regard to international records management standards and best practices
Requirements for managing confidential records will be developed and put to test
The ERKS functional requirements will be complemented by other ERKS standards such as a recordkeeping metadata standard
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Part 3
Vendor Community’s and Consultants’ Expected Participation in the Implementation of ERKSs in B/Ds
Government Records Service 17
Who Play Key Roles in Planning & Implementing an ERKS?
Concerted efforts from different stakeholders are required B/D Senior Management
B/D Project Team
Planning, designing and implementing an ERKS
B/D Users
Actively participating
Successful Implementation of an ERKS
Vendors and Consultants 18
Services Expected from Vendors and Consultants
Vendor community and consultants should be able to provide the following services to facilitate adoption/implementation of an ERKS in B/Ds – providing system configuration, customisation, implementation and integration services conducting data migration and conversion providing user training of ERKS application providing system nursing and on-site user support services providing maintenance services providing consultancy services to assist B/Ds in planning and undertaking an ERKS implementation
B/Ds will specify their service requirements when procuring or developing an ERKS 19
Expected Skills and Expertise of Vendors
Good understanding of international RM standards and best practices
Good understanding of HKSARG RM requirements (e.g. records retention and disposal) and ERKS functional requirements
Strong capability of understanding and analysing business and RM processes of B/Ds
Effective communication skills to gauge user requirements and feedbacks as implementation of an ERKS involves all B/D staff
Sufficient system analysis and design expertise and experience to build and/or customize ERKS solutions to meet specific business and RM needs of B/Ds and to comply with the ERKS functional requirements developed by GRS
Sufficient expertise and experience in implementing other EIM components to facilitate integration with an ERKS if required 20
Enquiries
Miss Ruby AU, CEO(RSD) 2195 7790
[email protected]
Mr C Y CHOW, SEO(RSD)1
2195 7750
We are happy to provide an electronic copy of ERKS functional requirements on request. Please send us an e-mail.
[email protected]
Mr Denny SHAM, EO(RSD)1 2195 7783
[email protected] 21
Thank You
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