ECURE 2000 z Strategies for Managing Electronic Records: Lessons Learned from the Indiana University...

ECURE 2000

Strategies for Managing Electronic Records: Lessons

Learned from the Indiana University Electronic Records

Project

Philip C. BantinIndiana University Archivist and

Project Director

Lesson 1: Defining the Archivist/Records

Manager’s Unique Contributions

Records professionals must define their primary and unique contributions to managing digital resources

To do this the profession must not only define itself, but also articulate the mission of archives/records management in relation to the goals and objectives of other related data and information management professionals

Lesson 1What is a Record?

Records reflect business processes or individual activities; a record is not just a collection of data, but is the consequence or product of an event

Records provide evidence of these transactions or activities. In other words, recorded documentation cannot qualify as a record unless certain evidence about the content and structure of the document and the context of its creation are present and available

Lesson 1: What do archivists/records

managers contribute?

The IU Archives team has defined its mission and its contribution as the identification and appraisal of records generated in the context of business processes, and the creation of systems that capture, manage, and preserve these records

In other words, records and recordkeeping systems are our main and primary responsibilities

Lesson 2: Develop Recordkeeping Requirements and Metadata

Specifications

Must create a set of requirements outlining how we want the system to manage records.

Answer questions: How will the system capture business records and

preserve these records for as long as required? How will the system ensure that all necessary

record metadata documenting business processes are captured?

Lesson 2Recordkeeping Requirements

Most of the lists of recordkeeping requirements agree on the basic types or categories of functionality a recordkeeping system must possess

System must be COMPLIANT by meeting legal and administrative requirements, national and international standards, and best practices for recordkeeping


System be ACCOUNTABLE AND RELIABLESpecific requirements included in this

category are that system policies and procedures be well documented, that system hardware and software be regularly tested to ensure that consistent and accurate business records are created, and that system audit trails be maintained for all business processes


System CAPTURES all business records and all essential metadata related to that business process


System MAINTAINS and MANAGES the business record

System maintains inviolate records protected from accidental or intentional deletion or alteration

System ensures that all components of a record, including relevant metadata, notes, attachments, etc., can be accessed, displayed and managed as a unit or complete record of a business process

System includes an authorized disposition plan that is implemented as needed


System ensures the future USABILITY of the business records

Systems must be capable of recreating the content of records and any relevant metadata within a new system without loss of any vital information

Lesson 2METADATA SPECIFICATIONS

Growing consensus among archivists about certain key issues relating to metadata

General agreement among archivists that records require their own unique, particular kind of metadata

More specifically, archivists stress that records require more metadata documenting the context of creation if they are to be understood and interpreted, particularly over long periods of time


Agreement about the basic categories of metadata that systems should capture and retain

Most record metadata lists include various pieces of documentation describing the CONTEXT OF CREATION. This contextual metadata typically includes information on the agents involved in creating, receiving, and transmitting the record; the date of receipt; and the relationship of the record to the specific business processes and to related records


Agreement that the metadata model include some documentation on TERMS and CONDITIONS FOR ACCESS AND USE, and that the system document USE HISTORY

Most lists of metadata specifications also include data on the DISPOSITION of the record, such as disposal authorization and date, and a disposal action history


Metadata describing the record CONTENT, such as information on title of the record, date of creation, and subject

Majority of record metadata lists include information on the STRUCTURE of the record, most notably documentation on how the record is encoded, how the record can be rendered, and how the content of the record is structured


In short, most metadata specifications include documentation in varying degrees of detail on the content and structure of the record and the context of its creation

Lesson 3: Data and Information Systems are Poor Recordkeeping

Systems

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

LESSON 3: TRANSACTION PROCESSING SYSTEMS

TPS does not routinely capture recordsTPS does not systematically preserve

inviolate recordsTPS does not systematically preserve

complete, fully documented records (creating a complete set of record metadata and maintaining a physical relationship between the metadata and the record)

LESSON 3: TRANSACTION PROCESSING SYSTEMS

System metadata as typically defined by systems designers and technologists is often not as complete as necessary to describe a record

Lack of metadata related to the context of creation and use - metadata that addresses the questions of why the record was created, who were the users of the record, and who had custody of the record?

Lesson 4

There are many strategies for incorporating Recordkeeping Functionality into Data and Information Systems

LESSON 4: BUILDING RECORDKEEPING FUNCTIONALITY

INTO SYSTEMS

Recordkeeping functionality be built into the active transaction processing system

Records be managed in a completely separate system or environment

In the final estimation, however, the strategy employed for building recordkeeping functionality may well be determined largely on the basis of the nature and requirements of the specific system environment under review

LESSON 4: BUILDING RECORDKEEPING FUNCTIONALITY

INTO SYSTEMS

Ideal solution is to find an Enterprise-Wide solution, i.e., a recordkeeping solution that manages records for all systems within the enterprise

Presently, this is the IU approach – MyIU/EDEN

LESSON 4: MyIU/EDEN

Infrastructure layer – EDEN (Enterprise Development Environment) - shared components and infrastructure Facilitates integration Extensibility Maximizes Resource Utilization

Interaction layer – MyIU – “Portal” to IU services and activities One place to perform all IU business Fully integrated applications Role-based

MyIU/EDEN Overview

Interaction

Application

Infrastructure

MyIUCustom

ized

user

Personalized

Adaptable

Desktop

Application Delivered

HR

IS

SIS

FIS

IUIE

Other

Other Content

EDENWorkflow

Record Keeping

Security

Users Application

Services

Channels

Services

MyIU (Continued)

EDEN – Record Keeping

Record Keeping

Workflow

Document Creation

Create

Associate

Retrieve

MetaData

Record Storage

Activities

LESSON 4: MyIU/EDEN

Goal is to build into EDEN all the Recordkeeping Functionality required to manage IU’s records

Goal is to identify and capture records within the document creation and workflow processes

Create Timesheet)

Correct Timesheet

Complete Timesheet

Approve/ Disapprove Timesheet

Final Approve/

Disapprove Timesheet

From system

From student

Hours worked

Timesheet

TimekeepingData Flow

To PayrollCompleted Timesheet

Approved Timesheet

Recordkeeping System

Disapproved Timesheet

Final TimesheetNew

Timesheet

Disapproved Timesheet

Lesson 5: Forming PARTNERSHIPS with other Information Professionals

is Essential

Based on experience, I have found three partners most valuable:

Decision support personnelSystems analystsInternal auditors

Lesson 5: Why is Internal Audit such a Useful Partner for the

Archivist/Records Manager

Common MissionBoth professions are interested in

creating systems that are accountable, compliant and trustworthy, and that produce accurate, reliable and authentic records

Both professions acknowledge the importance of risk assessment and the value of understanding business requirements


Archivist/Records Manager?

Complementary MissionsMethodologies complement one

another; it results in a much more detailed, more complete analysis of the system

Functions or issues archivists and auditors focus upon in their analysis are slightly different and complementary; provides each partner with new and valuable information


Archivist/Records Manager?

The greatest advantage for the archival program in this partnership is that it involves archives staff in the authorized and routine review of information systems.

Lesson 6Archivists will have trouble being effective as a manager of electronic records without an institution-wide management team

Lesson 6: Electronic Records Management Structure

How might this structure look? Based on my experience, I believe it need to involve two and ideally three levels of responsibility

Level 1: Information/Records Management Office

Level 2: Committee comprised of Senior Officials

Level 3: Committee of Data/Information Stewards


Information/Records Management OfficeThe responsibilities of the staff of this

office would be to provide leadership and energy for the information management activities of the institution by coordinating efforts university wide, identifying and prioritizing problems, creating work teams to solve problems, mobilizing support of university administration for policies or strategies, etc.


Group comprised of Senior officials, typically at the level of vice-president or director

Provide overview of overall institutional needs

Move priorities forward. Issues move in two ways – upward from data stewards and information office to this Group and downward from this Group to the data stewards

Provide official institutional approval for electronic record policies and procedures


The Committee of Data Stewards is comprised of individuals who have planning, policy and operational responsibilities for the management and use of institutional data, and of information specialists who develop and use management information systems and decision support systems.

All primary functional areas of the University are represented on the Committee: alumni relations, development, personnel management, financial management, library and archives, physical facilities, purchasing, and student management


The primary responsibilities of the Data Stewards Committee include recommending policies and establishing procedures and guidelines for the institution-wide management of data, information, and records

This is a working committee that will help set priorities and will form the task forces required to implement tasks

Lesson 7: Archivists need to obtain some new SKILLS to be effective in

electronic records management

Skills Sets – Group into 3 Categories

Basic knowledge of automated systems and how they process data

Information systems analysis and design skills

Management skills required to translate this knowledge into a strategic plan

Lesson 7: Basic knowledge of automated systems and how they

process data

Good working knowledge of the most prevalent systems presently being employed in most institutions: Transaction Processing Systems (TPS), Database Management Systems (DBMS), Management Information Systems (MIS), Enterprise Resource Planning (ERP) software, Decision Support Systems (DSS), Data Warehouses and Electronic Document Management Systems (EDMS)

Understanding of all the various metadata systems, such as data dictionaries, information resource dictionary systems and transaction logs.

Lesson 7: Information systems analysis and design skills

Ability to create conceptual models for representing records and system requirements

Of these models the most important are business process models. These models depict the business functions and business processes - transactions and the inputs and outputs - required to respond to business events

Lesson 7: Management skills required to translate this knowledge

into a strategic plan

We must learn effective techniques for communicating archival needs, capabilities and contributions

We must develop strategies for positioning the archives/record management program within the broader context of information resources management

We must learn how to define mutually beneficial activities, and how to negotiate “win/win” alliances

LESSON 8

Traditional records management strategies established for paper records will have to be altered to accommodate electronic records

Lesson 8: Traditional records management strategies will have to be altered to

accommodate electronic records

Archivists Involved Throughout the Records Continuum

According to the Continuum model, strategies and methodologies for appraising, describing, and preserving records are implemented early in the records management process, preferably at the design stage, and not at the end of the life cycle.

Lesson 8: Traditional records management strategies will have to be altered to

accommodate electronic records

Creation of an overall strategy that views Conceptual Model building as the primary methodology for dealing with many or most of the issues the profession faces in attempting to manage records in automated environments

ECURE 2000 z Strategies for Managing Electronic Records: Lessons Learned from the Indiana University...

Documents

Transcript of ECURE 2000 z Strategies for Managing Electronic Records: Lessons Learned from the Indiana University...