ECURE 2000 Strategies for Managing Electronic Records: Lessons Learned from the Indiana University Electronic Records Project Philip C.
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ECURE 2000
Strategies for Managing Electronic Records: Lessons Learned from the Indiana University Electronic Records Project
Philip C. Bantin
Indiana 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 1 What 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 2 Recordkeeping 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
Lesson 2 Recordkeeping Requirements
System be ACCOUNTABLE AND RELIABLE
Specific 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
Lesson 2 Recordkeeping Requirements
System CAPTURES all business records and all essential metadata related to that business process
Lesson 2 Recordkeeping Requirements
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
Lesson 2 Recordkeeping Requirements
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 2 METADATA 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
Lesson 2 METADATA SPECIFICATIONS
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
Lesson 2 METADATA SPECIFICATIONS
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
Lesson 2 METADATA SPECIFICATIONS
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
Lesson 2 METADATA SPECIFICATIONS
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 records
TPS does not systematically preserve inviolate records
TPS 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
MyIU
Application Delivered
Record Keeping
Channels Other Content Services Application Services
EDEN
MyIU (Continued)
EDEN – Record Keeping Record Keeping
Create Associate MetaData Retrieve
Workflow Document Creation 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
From student Hours worked Timekeeping Data Flow Complete Timesheet Completed Timesheet Timesheet Approve/ Disapprove Timesheet Approved Timesheet New Timesheet Disapproved Timesheet Correct Timesheet Create Timesheet ) Final Approve/ Disapprove Timesheet To Payroll Final Timesheet Disapproved Timesheet Recordkeeping System From system
Lesson 5: Forming PARTNERSHIPS with other Information Professionals is Essential
Based on experience, I have found three partners most valuable:
Decision support personnel
Systems analysts
Internal auditors
Lesson 5: Why is Internal Audit such a Useful Partner for the Archivist/Records Manager
Common Mission
Both 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
Lesson 5: Why is Internal Audit such a Useful Partner for the Archivist/Records Manager?
Complementary Missions
Methodologies 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
Lesson 5: Why is Internal Audit such a Useful Partner for the 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 6
Archivists 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
Lesson 6: Electronic Records Management Structure
Information/Records Management Office
The 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.
Lesson 6: Electronic Records Management Structure
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
Lesson 6: Electronic Records Management Structure
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
Lesson 6: Electronic Records Management Structure
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