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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

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ecure 2000
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
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
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
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
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
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
lesson 2 recordkeeping requirements7
Lesson 2Recordkeeping 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 requirements8
Lesson 2Recordkeeping Requirements
  • System CAPTURES all business records and all essential metadata related to that business process
lesson 2 recordkeeping requirements9
Lesson 2Recordkeeping 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 requirements10
Lesson 2Recordkeeping 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
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
lesson 2 metadata specifications12
Lesson 2METADATA 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 specifications13
Lesson 2METADATA 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 specifications14
Lesson 2METADATA 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 specifications15
Lesson 2METADATA 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
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
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 systems18
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
Lesson 4
  • There are many strategies for incorporating Recordkeeping Functionality into Data and Information Systems
lesson 4 building recordkeeping functionality into 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 systems21
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
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

SIS

Other

IUIE

FIS

HRIS

Users

Security

Workflow

MyIU/EDEN Overview

MyIU

Interaction

Customized

Personalized

Adaptable

Desktop

Application Delivered

Channels

Application

Other Content

Services

EDEN

Infrastructure

Record Keeping

Application Services

eden record keeping

Create

Associate

Retrieve

MetaData

EDEN – Record Keeping

Record Keeping

Workflow

Activities

Document Creation

Record Storage

lesson 4 myiu eden26
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
timekeeping data flow
TimekeepingData Flow

From student

Hours worked

Completed Timesheet

Approved Timesheet

Final Approve/ Disapprove Timesheet

Approve/ Disapprove Timesheet

To Payroll

Complete Timesheet

Final Timesheet

New Timesheet

Disapproved Timesheet

Disapproved Timesheet

Timesheet

Correct Timesheet

Create Timesheet)

Recordkeeping System

From system

lesson 5 forming partnerships with other information professionals is essential
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
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 manager30
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 manager31
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
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
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 structure34
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 structure35
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 structure36
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 structure37
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
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
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
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
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
LESSON 8
  • Traditional records management strategies established for paper records will have to be altered to accommodate electronic records
slide43
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.
slide44
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