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

Records Management

and Government EIM Strategy

3

Part 1

Government Records Service

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

4

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 services5

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

6

Electronic Records Management and

Electronic Recordkeeping System

7

Government Records Service

Part 2

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

+

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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

Ensure qualities of record –

authenticity

integrity

reliability

usability

Also known as an electronic records management system

(ERMS) in some countries

ERKS

What is an Electronic Recordkeeping System (ERKS) ?

9

Non-electronic records

Electronic records

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.

10

11

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

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 12

Functional Requirements No.

Mandatory functional requirements

(a) Non-conditional mandatory

functional requirements

49

(b) Conditional mandatory

functional requirements

9

Optional requirements - Workflow 3

Total: 61

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Mandatory and Optional

ERKS Functional Requirements

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 IdentificationCapturing of Records Use of Records

Security and

Access ControlRetention and disposal Administration

Metadata Language Support Workflow (optional)

ERKS Functional Requirements and Records Life Cycle

15

Creation Use Disposal

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

16

Vendor Community’s and Consultants’

Expected Participation in the

Implementation of ERKSs in B/Ds

17

Part 3

Government Records Service

Concerted efforts from different stakeholders are required

Who Play Key Roles in Planning &

Implementing an ERKS?

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B/D Senior

Management

Planning, designing and

implementing an ERKS

Actively participating

B/D Project Team

B/D Users

Vendors and

Consultants

Successful

Implementation

of an ERKS

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

Services Expected from Vendors and Consultants

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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 required20

Enquiries

Miss Ruby AU, CEO(RSD)

2195 7790

rubyau@grs.gov.hk

Mr C Y CHOW, SEO(RSD)1

2195 7750

cychow@grs.gov.hk

Mr Denny SHAM, EO(RSD)1

2195 7783

dennysham@grs.gov.hk21

We are happy to provide an

electronic copy of ERKS

functional requirements on

request. Please send us

an e-mail.

Thank You

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