2. Agenda for Session 1 Discover our goals and purpose for
today. Learn to speak the RIM language. Discuss the records
life-cycle.
3. Why Are We Here? Issue records managers and systems
technicians have historically complained to each other that they
cannot understand the languages each other speaks. Complication
given that each group must work together in this age of electronic
information, we cannot get our work accomplished without knowing
the semantics of each others language. Solution - coming together
today, we learn one language and its applications in the RIM
workplace.
4. Our Goals Learn the terminology of RIM Discover the reasons
RIM is important Come up with strategies to better RIM practices
Set some tactics to make our workflow easier and help each other
Discover what still needs to be done
5. RECORD
6. What is a Record? Standard definition - a document that can
serve as legal evidence of a transaction. Contemporary definition -
information that has been recorded or captured on a given media.
Recorded information may be found on paper, audio tape, and
computer hard-drives and disks. The record is both the message and
the media it is stored on. (Massachusetts Secretary of State).
7. Definitions for a Record That BetterSatisfy the Need of
Electronic Records NARA Definition A unit of information made or
received in the course of an activity and kept on a presumption of
value or relevance in subsequent activity or as a source of
information about what was done or what happened with a known
context of creation: Who created it, When it was created, What
activity created it, And for what purpose it was created.
8. More Considerations on theDefinition of a Record Records are
created as members of an ordered set. Records have a logical
structure and a conceptual structure. Records have an archival
bond. Records have: Authenticity Integrity Identity
Reliability
9. What is a Non-Record? Extra copies of documents kept only
for convenience or reference. Stocks of publications and of
processed documents (i.e., maps, posters, pamphlets) not created by
the agency or used as a part of its functions or activities.
Library or museum materials intended solely for reference or
exhibit purposes. Personal files.
10. Intrinsic Characteristics of Records Content - Context -
Structure Content -- that which conveys information Text, data,
symbols Numerals Images and/or sound files
11. Intrinsic Characteristics of Records 2 Context --
background information that enhances understanding of technical and
business environments to which the records relate and the origin of
the records Metadata, application software, logical business models
Title, address, link to function or activity, agency, program or
section Who made the records and why
12. Intrinsic Characteristics of Records 3 Structure --
appearance and arrangement of the content Relationships between
fields or entities Language, style, fonts, page and paragraph
breaks Links and other editorial devices. Records have a logical
structure and a conceptual structure. Logical the way the computer
or creator (for paper records) organizes the data that comprises
the document. Conceptual the organization of a record as perceived
by the user.
13. Extrinsic Characteristics of Records 1 Authenticity A
record is what it says it is and has not been corrupted over time.
records that the creator relies on in the usual and ordinary course
of business are presumed authentic digital information creates
significant risks that electronic records may be altered.
Determined by what we know about the way it was created and stored.
Note: Authenticity relies heavily upon integrity and identity.
14. Extrinsic Characteristics of Records 2Integrity - the
wholeness or soundness of a record. Has a portion of the record
been lost? Has the record been altered? Are all versions of a
record present? In other words, has the chain of custody been
preserved?
15. Extrinsic Characteristics of Records 3 Identity provenance,
authorship, date, matter or action, and archival bond. Provenance
can we tell who created and used the record over time? Authorship
who created the record? Dates of creation, use, alteration,
digitization or microfilming, destruction. Matter or action what
was the purpose for which the record was created? Archival bond
what is the relationship of this record to other records?
16. Extrinsic Characteristics of Records 4 Reliability can the
record be viewed in the manner in which it was created? Are there
distinctions between the different versions of a record? With
electronic records, can the record be viewed in the format it was
created software migration. Can the record be reproduced in another
format and still preserve its intrinsic and extrinsic natures?
17. RECORDS MANAGEMENT
18. What is Records Management? The field of management
responsible for the systematic control of the creation,
maintenance, use, and disposition of records. The proper care and
maintenance of records from creation to disposition. Records
management is the systematic control of all records, regardless of
media format, from their initial creation to final disposition.
Records management includes the development and application of
standards to the creation, use, storage, retrieval, disposal and
archival preservation of recorded information required to
administer and to operate the University. (Ball State University
website).
19. What is Records Management 2 Records management is more
than retention, storage, and disposition of records; it entails all
record-keeping requirements and practices that allow an
organization to establish and maintain control over information
flow and administrative operations. (Florida Bureau of Archives and
Records Management,
http://dlis.dos.state.fl.us/index_RecordsManagers.cfm)
20. Federal Government Definition of RecordsManagement Title 44
U.S.C. 2901 defines records management as the managerial activities
involved with respect to records creation, records maintenance and
use, and records disposition in order to achieve adequate and
proper documentation of the policies and transactions of the
Federal government and effective and economical management of
agency operations."
21. What is Information Management? The function of managing
the organizations information resources. Includes creating,
capturing, registering, classifying, indexing, storing, retrieving
and disposing of records and developing strategies to manage
records. (metadata.curtin.edu.au/manual/classification.html) The
provision of relevant information to the right person at the right
time in a usable form to facilitate situational understanding and
decision making. It uses procedures and information systems to
collect, process, store, display, and disseminate information.
(U.S. Army, FM 3-0)
22. How Do We Differentiate Records? Records are divided into
different groups called SERIES. A series is kept together as a unit
because they consist of the same form, relate to the same subject,
result from the same activity, or have certain common
characteristics. The include every record of that type that was
ever created, is in existence now, or that will ever be
created.
23. Records Retention Retention is a term used to signify the
length of time a set of records is kept. Depending on the set of
records, the retention will change. Records retention is determined
by statute and administrative code in Louisiana, with approval by
the Secretary of States representative at the state archives.
24. Retention Schedules Documents the life-cycle of a record
series, showing: Title of series. Length of time kept after
transmitted to records center. Authority signatures for storage and
destruction. Two types: General lists all record series in the
organization. Specific lists a particular record series and may
include information about the life-cycle, though this is not
mandatory.
25. Why is RIM Important? John OBrien Legal compliance Good
public image Better use of resources Avoiding financial/natural
disasters Good source of reliable information
26. What are the benefits of goodRIM? Smooth operation of
agency/office operations. Consistent and equitable delivery of
services. Effective performance of job tasks/duties. Protects
rights of agency, employees, customers. Legal compliance with
federal, state, and local laws. Protection during legal disputes.
Frees up office space. Saves money by freeing up physical space and
preventing unnecessary office equipment purchases. Improves
efficiency of office staff.
27. What does RIM address? Life-cycle of records (ISO-15489)
Creation/receipt and use (active) Temporary storage and infrequent
use (semi-active) Disposition (inactive) Most records are disposed
of through destruction. 5% of records are transferred to an
archives. Legal and administrative control of records Records
management affords legal protection for the institution as well as
satisfying federal and state statutory requirements. (Ball State
University website).
28. Functions of Records Management Make sure records capture
is possible. Ensure the provenance of the record. Categorize the
record. Ensure the intrinsic and extrinsic characteristics of the
record are present. Provide a means for reference for the record.
Determine the retention and disposition of the record.
29. Records Creation Creation Records are created by persons or
computers. Records are created to be used and then disposed
of.
30. Semi-active Records A record that is no longer being used
actively in the office, but that may be used any time is called a
semi-active record. These records are usually stored in a records
center where they are periodically retrieved. Semi-active records
take up space in the office, but they are still alive. In
Louisiana, the state records center is part of the state archives
on Essen Lane.
31. Inactive Records Inactive records are records that are no
longer useful for everyday purposes, but which still present timely
evidence of legal transactions between persons and
offices/agencies. Inactive records are also stored in a records
series. The retention period of a record does not begin until the
record becomes inactive. Paradox a record series has a retention,
but the retention begins for each record in a series at a different
time.
32. When the Time Has Come After a records retention has
expired (or been met), the record is disposed of. Disposition can
take many forms: Burning Shredding Dumping Deleting (electronic
records) Placing in an archival facility. Only 5% of records
created are placed in an archives.
33. SUMMARY OF SESSION 1 Records are created, used, stored, and
disposed of. Records and information management is the management
and preservation of records. Records management must preserve
authenticity, integrity, identity, and reliability of records.
Retention is an important consideration in the management of
records. Knowing the life cycle of records you deal with is an
important consideration in determining the best way to manage the
records.
34. Break Time!!!
35. Session 2 Agenda metadata and its importance to ERM.
electronic records basics. problems with managing electronic
records. how electronic records differ from paper records. What
must take place to properly manage electronic records. How to work
together to make sure electronic records are managed
correctly.
36. METADATA
37. Metadata? What is that? Metadata is in reality data about
data. Used to facilitate the understanding, use and management of
data. Used more with electronic records. Four types of metadata:
Descriptive Administrative Technical Preservation
38. Descriptive Metadata Descriptive metadata is information
that describes the item, such as title, author, publisher, subject,
physical dimensions. Usually applied by a person. For ORM,
includes: claim #, claimant name, adjustor name, date of closing of
file, classification type (sub- series).
39. Importance of a Taxonomy A taxonomy is a defined series of
terms with specific definitions that are used to standardize
metadata within a particular agency or office. ORM Taxonomy
contains: Classification type (legal, medical, OWC, General)
OPENFILE and CLOSEDFILE CLAIMS or UNDERWRITING or ACCOUNTING
40. Why Use a Taxonomy? Everyone understands terms that
everyone uses all the time. Terminology is easy to define. How do
we define terminology? A taxonomy is a means of standardizing
metadata within an office.
41. Administrative Metadata Definition recording of the use and
maintenance of the record. Examples: When a record was created,
went semi-active, sent inactive. Who scanned the record into the
system. When was the record scanned into the system. Versions of
the record.
42. Technical Metadata Definition metadata recorded to provide
information on the technical aspects of a file. Usually used with
digitized or born-digital files. Examples Pixilation Encoding
scheme (ASCII, Unicode) Usually added by a computer system.
43. Preservation Metadata Definition metadata added so as to
make migration and rendering possible in the future. Examples
Storage media file is on. Format of file (pdf, tiff, doc)
44. Why is Metadata Important? Protects investment in records.
Helps user understand the records. Enables legal discovery of
records. Can prevent disasters due to data loss. How? Provides
evidence of prudent data stewardship. Formats change rapidly like
every other technology does these days, and it can be a drain on
time trying to keep up with them.
45. ELECTRONIC RECORDS
46. What is an Electronic Record 1? An electronic record is any
record that, in the ordinary course of business, is used and set
aside or stored in digital form regardless of whether it was made
or received in such form.
47. What is an Electronic Record 2? Electronic records are
digital objects that must contain the means to identify them and
their context of creation so that they can be managed beyond the
active system in which they were generated. This can mean records
that were born digital or that were digitized from paper records or
audio/video. Natural ER created in the digital arena. Artificial ER
created in paper and ending up digitized.
48. Purpose of Electronic Records To free up space in our file
rooms and file cabinets. Electronic records are better protected in
emergency situations. To fulfill the goal of every government
office to become paperless. Paperless Office video
49. Where Do Electronic Records Come From? Mainframe and LAN
based records PC based records Email Digital images of paper and
audio/video records World Wide Web
50. Problems With Electronic Records Systems may not be
compatible with human desires for the management of electronic
records. Software goes the way of the 8-track and Beta all the
time. Hardware becomes outdated easily. Electronic records need to
be migrated from one system to another.
51. Problems With Electronic Records 2 Electronic records are:
hardware & software dependent recorded on impermanent media
Preservation is difficult temperatures, water, hardware &
software changes and obsolescence In other words, electronic
records do not survive by accident, like paper records.
52. Problems With Electronic Records 3 Approximately 85% of all
government documents are created electronically NARA expected more
than 8 million electronic files from the Clinton administration
NASA satellite photography files 1970s - unreadable Viking Mission
to Mars tapes decomposing We have the first email sent in 1962
between two Univac mainframe workstations, we even know what it
says, but we cant read it because the hardware specifications were
never recorded for posterity.
53. Problems With Electronic Records 4IT managers must be
prepared to see half of all the well- known IT vendors doing
business today disappear in the next three years, either through
mergers or bankruptcy Gartner Inc. CEO and Chairman Michael
Fleisher, October 2001
54. Problems With Electronic Records 5 Often thought of as an
Information Technology problem, not a records management problem
Creators of electronic records may not be aware they are creating
records deletion/disposition must occur per retention schedules
automatic purges of records must be scheduled
55. Juggling Porcupines Scalability ability to grow and adapt
to increasing volumes and evolving types of records while serving a
variety of user groups. Ensuring infrastructure independence is
necessary in electronic records management.
56. INFRASTRUCTURE INDEPENDENCE The ability to manage all of
the properties of the electronic record independently of the choice
of storage system. Data virtualization Trust validation
57. Data Virtualization Ability to manage the properties of a
shared collection independently of the choice of a storage system.
Ability to access the records stored in all types of access
mechanisms independently of the choice of type of storage system.
In other words, a good ERM program will make sure that records can
be stored and their properties managed if and when the files are
moved to another system or migrated to another format.
58. Trust Validation Ability to authenticate creators and users
independent of the local administrative domain and independent of
the local file system. ROLE-BASED ACCESS CONTROL roles are created
for various job functions such as records processor. PRINCIPLE OF
LEAST PRIVILEGE a user is given no more privileges on a system than
is necessary for them to perform their job duties.
59. Managing Electronic Records 1Apply the record series
concept to the electronic records Identify a body of digital
information, however large or small, that needs a separate
retention period to provide proper instructions to govern its
disposition
60. Managing Electronic Records 2 Determine retention periods
Construct retention periods to include: Online retention period
--length of time data should remain on primary storage devices
Nearline retention period -- length of time data needs to remain
onsite but offline Offline retention period -- length of time data
needs to remain offline and offsite Total retention period -- total
amount of time data needs to remain in computer processable
form
61. Managing Electronic Records 3 The total retention period
for an electronic record series depends on how long the data needs
to remain in computer processable format If electronic records no
longer need to be maintained in a manipulatable state usually there
is no justification for retaining them in a digital format
62. Managing E-Records 4 Retention periods for electronic media
should be longer than for other media - greater accessibility;
therefore maintain digitally as long as user needs dictate VS
Retention periods for electronic media should be shorter than for
other media - computer based information is difficult to
maintain
63. Managing E-Records 5 Decide if you retain a record by
format or by record type: Format Specific retention periods differ
based on the format of the record Ex. Deeds: Retain paper copy
until microfilmed Retain digital image 10 years Retain microfilm
permanently Record Specific retention is the same for all formats
of the record Ex. Deeds: Retain paper, digital image, and microfilm
copies permanently
64. What Do We Need to ManageElectronic Records? We need to
fully document the activity of the record. We need to gather all
the relevant dates. We need to identify any preservation already
taken. We need to add the administrative metadata. We need to add
the descriptive metadata. We need to make sure the chain of custody
has not been broken. We need to establish security and control
procedures to ensure the continued authenticity of the record.
65. An Important Consideration Most electronic content
management systems (ECMS) do not store only records, but
non-records, as well. For these systems to store something as a
record, it must be declared a record. This meets a legal
requirement of authenticity. This also meets a legal requirement
for ORM to start shredding the paper records instead of storing
them in the state records center.
66. What We Need to Do Determine together that the intrinsic
and extrinsic characteristics of a record are reflected in our
ECMS. Make sure our taxonomy is solid and useable to our systems
people, our RIM people, and our users. Determine and set retention
periods in our ECMS. Follow through on the destruction/disposition
of the records according to the retention schedules.
67. How can RIM and Technicians Work Together? Have set
periodic status meetings with no distractions to hammer out
policies, guidelines, and procedures. Set communication procedures
that ensure efficient and effective control over inter-office
relations. Communications should be in writing or on electronic
forms that can be saved. These communications are records
themselves. Set retention schedule for them and store these in
ECMS. Try to have all training shared between both agencies. Make
sure all RIM procedures for electronic records have input from both
offices before they are enacted.
68. Summary of Session 2 Electronic records are a specific type
of records and thus have specific needs in the RIM environment.
Electronic records have a unique set of problems associated with
their management and preservation. ERM cannot take place without
cooperation between RIM staff and systems technicians. The
authenticity and integrity of records can be changed easier for
electronic records than for paper records and thus procedures need
to be in place to prevent this. Retention periods take on a whole
new meaning in ERM.
69. FINIRussell D. James, M.A.russelldjames@yahoo.com