Transcript Managing Records in 21st Century

Managing Records in 21st Century
Stories from the World Bank Group
Challenges & Solutions
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Documents includes a wider range of content types - documents &
reports, publications, communications, people & communities,
knowledge, services,
Documents may or may not be a Bank record - records derive from &
are defined in association with Bank business processes
Wide range of systems used to create & manage documents, including
traditional ‘document management’ systems and new content
management systems, user-created databases, web sites
Records management functions are not programmed into all of the
systems that manage documents
Records management systems do not & cannot contain all records needs to be some decentralized records management functionality in
document management systems
Integration issues at every point
Content Types - Challenge
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Bank records as defined in a general records schedule cover all of the
Bank’s business processes
Bank records may take the form of:
– ‘documents’ (program files, project files, lending records,
investment records, etc.),
– publications (monographs, series & serials)
– data (data sets, data models, statistical reports, ...)
– communications (news, press releases, speeches, ...)
– knowledge (discussions, collaborative spaces, Q&A sources, FAQs,
training materials, stories, lessons learned, best practices)
– services (referral services, procurement, translation, ...)
– people & communities (experts, staff profiles, organizational
affiliations & partnerships, ....)
– collections (databases, web sites, container files,....)
Content Types - Challenge
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These types of records are not created in a single document
management system
They are created in xx’s of systems
Each system has its own business processes & its own business-related
metadata
Challenge is to:
– identify & capture all of the Bank’s records in each of these
systems
– ensure that the coverage of the records retention & dispositioning
schedules is complete
– ensure that there is a plan in place to preserve the records either in
source system or in the centralized archiving system
Current task highlights gaps in this area - working on designing a
system to implement the Bank’s Information Disclosure policy challenge is to ‘find’ the records that the Board has decided can be
disclosed
Content Type Solution
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Bank Standard definitions of content types - superclass of types that
maps all individual document types used in source systems
Bank Standard Metadata attributes - function as a superclass of
attributes to which source system metadata is mapped
Four types of metadata attributes - identification/distinction,
search/browse, use management, compliant document management
Metadata Warehouse - thin layer of metadata extracted from source
systems
Serves as primary access point for:
– Whole Bank search
– information disclosure to world
– triggering actions across source systems
Document Management Challenge
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Bank’s document management systems include:
– IRIS (mix new & traditional document management)
– IRAMS (traditional archive system)
– Lotus Notes email & collaborative workspaces (new)
– Websphere/Vignette content management system (new)
– Access databases & Notes project libraries (new)
– SAP Financial System, Business Warehouse data cubes (new)
– Statistical databases (new)
– Loan accounting system (new)
– Legal department’s databases (new)
– Network directories & personal workstation directories (new)
– Procurement ordering systems (new)
– Translation systems (new)
Document Management - Challenge
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Each system has its own:
– philosphy regarding content management
– types of metadata different metadata management tools
– content management capabilities
– access methods
Need to be able to define fundamental document management
capabilities to ensure that they are available in all source systems
Current standards pertain primarily to traditional print content - final
versions
Challenge is to apply document management principles to all of these
systems
Document Management Solution
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Integrate the functionality with as little impact as possible to staff simply unrealistic to expect that all 11,xxx Bank staff will become
document & records managers
Ensure that Bank Standard Metadata for identification/distinction, use
management, & compliant document management are implemented in
some form in all source systems
Harmonize variations in document management approaches at the
Metadata Warehouse level - harmonization of values across systems,
across time
Implement centralized good Data Governance practices - making core
metadata values available for download & use by any source system
Disaggregate metadata & content - data structures used to describe file
rooms represented as metadata
Complex file level relationships should be maintained as reference
structures
Records Management Challenge
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Everyone who creates content that is considered a Bank record now
needs to be aware of that fact - regardless of whether its a web page,
a print memo or a formal email communication to a Bank client country
Systems ‘expire’ content periodically - content is lost if the retention
policies are not engineered into the functions when the systems are
implemented
So much content is created electronically - system managers will tend
to ‘flush’ content automatically just to manage storage space
Only way to prevent loss of institutional records is to make an attempt
to define records upon creation, rather than at the time of ‘disposal’
Series need to be defined in a way that facilitates application when a
document is created - by the time the retention timeline is triggered,
the content could be long gone!!
Need to re-examine our approach to defining record series
Records Management Solution
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Programmatic approach to defining records at the time they are
created in their source systems
– business rules engine created outside of the source systems but
interacting with source systems
– business rules triggered by -- content type, originating unit,
business process
Highlights need for an organization wide business function/process/task
taxonomy
Err on the side of capturing more rather than less
Appraisal takes a different form when records are identified upon
creation rather than upon appraisal
Records Storage Challenge
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Peter Van Garderen’s paper describes the challenges & our proposed
solution
Moving towards a centrally audited and managed solution, if not a
single source capture and storage solution
Source systems will take on responsibility for performing records
management & preservation functions
Records management systems have to have the functional capabilities
of other source systems because we expect to continue to access the
metadata & the content
No longer just storage systems - remain access systems
Bank’s Proposed Solution
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Metadata as ‘middleware’ for managing the points of integration
Metadata warehouse as
– high level metadata management tool
– Foundation for deep search
– Supports content management functions such as retentioning &
dispositioning, disclosure decision recording & discovery,
harmonization of data values
Design sources for Bank standard metadata
– GILS, Dublin Core, ISAD(G), PROV, TEI, EAD,
Purpose of Bank Metadata
Identification/
Distinction
Search &
Browse
Use Management
Compliant Document
Management
Agent
Country
Authorized
By
Record Identifier
Title
Region
Rights
Management
Disposal Status
Date
Abstract/
Summary
Access
Rights
Disposal Review Date
Format
Keywords
Location
Management History
Publisher
Subject-SectorTheme-Topic
Use History
Retention
Schedule/Mandate
Language
Business
Function
Disclosure
Status
Preservation History
Version
Aggregation Level
Series Name
& Series #
Relation
Content Type
Big Picture
Portal Profiling Tools & APIs
WBG
Thesaurus
Search Engine
Warehouse of Core Metadata
IRAMS JOLIS IRIS
SAP
General Office
People
ISG
Services
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Lotus
Soft
Service
Dept. Publisher Notes
System Catalog
Catalog Catalog
Web
Content
Mgmt.
System
Automated Concept Extraction, Categorization & Summarization Tools
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