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Managing Records in 21st Century. Stories from the World Bank Group. Challenges & Solutions . Documents includes a wider range of content types - documents & reports, publications, communications, people & communities, knowledge, services,

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Managing Records in 21st Century

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managing records in 21st century

Managing Records in 21st Century

Stories from the World Bank Group

challenges solutions
Challenges & Solutions
  • 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
Content Types - Challenge
  • 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 challenge1
Content Types - Challenge
  • 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
Content Type Solution
  • 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
Document Management Challenge
  • 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 challenge1
Document Management - Challenge
  • 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
Document Management Solution
  • 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
Records Management Challenge
  • 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
Records Management Solution
  • 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
Records Storage Challenge
  • 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
Bank’s Proposed Solution
  • 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
Purpose of Bank Metadata



Search &


Compliant Document


Use Management

big picture
Big Picture



Search Engine

Portal Profiling Tools & APIs

Warehouse of Core Metadata

























Automated Concept Extraction, Categorization & Summarization Tools