1. ECURE 2000 z Strategies for Managing Electronic Records: Lessons Learned from the Indiana University Electronic Records Project zPhilip C. Bantin zIndiana University Archivist and Project Director

2. Lesson 1: Defining the Archivist/Records Manager’s Unique Contributions z Records professionals must define their primary and unique contributions to managing digital resources z 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

3. Lesson 1 What is a Record? z 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 z 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

4. Lesson 1: What do archivists/records managers contribute? z 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 z In other words, records and recordkeeping systems are our main and primary responsibilities

5. Lesson 2: Develop Recordkeeping Requirements and Metadata Specifications zMust create a set of requirements outlining how we want the system to manage records. zAnswer questions: zHow will the system capture business records and preserve these records for as long as required? zHow will the system ensure that all necessary record metadata documenting business processes are captured?

6. Lesson 2 Recordkeeping Requirements z Most of the lists of recordkeeping requirements agree on the basic types or categories of functionality a recordkeeping system must possess z System must be COMPLIANT by meeting legal and administrative requirements, national and international standards, and best practices for recordkeeping

7. Lesson 2 Recordkeeping Requirements z System be ACCOUNTABLE AND RELIABLE z 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

8. Lesson 2 Recordkeeping Requirements zSystem CAPTURES all business records and all essential metadata related to that business process

9. Lesson 2 Recordkeeping Requirements z System MAINTAINS and MANAGES the business record z System maintains inviolate records protected from accidental or intentional deletion or alteration z 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 z System includes an authorized disposition plan that is implemented as needed

10. Lesson 2 Recordkeeping Requirements z System ensures the future USABILITY of the business records z Systems must be capable of recreating the content of records and any relevant metadata within a new system without loss of any vital information

11. Lesson 2 METADATA SPECIFICATIONS z Growing consensus among archivists about certain key issues relating to metadata z General agreement among archivists that records require their own unique, particular kind of metadata z 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

12. Lesson 2 METADATA SPECIFICATIONS z Agreement about the basic categories of metadata that systems should capture and retain z 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

13. Lesson 2 METADATA SPECIFICATIONS z Agreement that the metadata model include some documentation on TERMS and CONDITIONS FOR ACCESS AND USE, and that the system document USE HISTORY z 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

14. Lesson 2 METADATA SPECIFICATIONS z Metadata describing the record CONTENT, such as information on title of the record, date of creation, and subject z 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

15. Lesson 2 METADATA SPECIFICATIONS z 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

16. Lesson 3: Data and Information Systems are Poor Recordkeeping Systems z Transaction Processing Systems (TPS) Employing DBMS Software z The most basic business system and the heart of most organizations z TPS is a computerized system that performs and records the daily routine transactions necessary to the conduct of business z Primary goal is to automate computing intensive business transactions, such as those undertaken in the financial and human resource functional areas

17. LESSON 3: TRANSACTION PROCESSING SYSTEMS z TPS does not routinely capture records z TPS does not systematically preserve inviolate records z 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)

18. LESSON 3: TRANSACTION PROCESSING SYSTEMS z System metadata as typically defined by systems designers and technologists is often not as complete as necessary to describe a record z 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?

19. Lesson 4 zThere are many strategies for incorporating Recordkeeping Functionality into Data and Information Systems

20. LESSON 4: BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS z Recordkeeping functionality be built into the active transaction processing system z Records be managed in a completely separate system or environment z 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

21. LESSON 4: BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS zIdeal solution is to find an Enterprise-Wide solution, i.e., a recordkeeping solution that manages records for all systems within the enterprise zPresently, this is the IU approach – MyIU/EDEN

22. LESSON 4: MyIU/EDEN zInfrastructure layer – EDEN (Enterprise Development Environment) - shared components and infrastructure yFacilitates integration yExtensibility yMaximizes Resource Utilization zInteraction layer – MyIU – “Portal” to IU services and activities yOne place to perform all IU business yFully integrated applications yRole-based

23. MyIU/EDEN Overview Interaction Application Infrastructure MyIU CustomizedPersonalizedAdaptableDesktop Application Delivered HRISSISFISIUIEOther Other Content EDEN Workflow Record Keeping SecurityUsers Application Services Channels Services

24. MyIU (Continued)

25. EDEN – Record Keeping Record Keeping Workflow Document Creation CreateAssociateRetrieveMetaData Record Storage Activities

26. LESSON 4: MyIU/EDEN zGoal is to build into EDEN all the Recordkeeping Functionality required to manage IU’s records zGoal is to identify and capture records within the document creation and workflow processes

27. Create Timesheet ) Correct Timesheet Complete Timesheet Approve/ Disapprove Timesheet Final Approve/ Disapprove Timesheet From system From student Hours worked Timesheet Timekeeping Data Flow To Payroll Completed Timesheet Approved Timesheet Recordkeeping System Disapproved Timesheet Final Timesheet New Timesheet Disapproved Timesheet

28. Lesson 5: Forming PARTNERSHIPS with other Information Professionals is Essential z Based on experience, I have found three partners most valuable: z Decision support personnel z Systems analysts z Internal auditors

29. Lesson 5: Why is Internal Audit such a Useful Partner for the Archivist/Records Manager zCommon Mission z Both professions are interested in creating systems that are accountable, compliant and trustworthy, and that produce accurate, reliable and authentic records z Both professions acknowledge the importance of risk assessment and the value of understanding business requirements

30. Lesson 5: Why is Internal Audit such a Useful Partner for the Archivist/Records Manager? zComplementary Missions z Methodologies complement one another; it results in a much more detailed, more complete analysis of the system z Functions or issues archivists and auditors focus upon in their analysis are slightly different and complementary; provides each partner with new and valuable information

31. Lesson 5: Why is Internal Audit such a Useful Partner for the Archivist/Records Manager? zThe greatest advantage for the archival program in this partnership is that it involves archives staff in the authorized and routine review of information systems.

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

33. Lesson 6: Electronic Records Management Structure z How might this structure look? Based on my experience, I believe it need to involve two and ideally three levels of responsibility z Level 1: Information/Records Management Office z Level 2: Committee comprised of Senior Officials z Level 3: Committee of Data/Information Stewards

34. Lesson 6: Electronic Records Management Structure z Information/Records Management Office z 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.

35. Lesson 6: Electronic Records Management Structure z Group comprised of Senior officials, typically at the level of vice-president or director z Provide overview of overall institutional needs z 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 z Provide official institutional approval for electronic record policies and procedures

36. Lesson 6: Electronic Records Management Structure z 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. z 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

37. Lesson 6: Electronic Records Management Structure z 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 z This is a working committee that will help set priorities and will form the task forces required to implement tasks

38. Lesson 7: Archivists need to obtain some new SKILLS to be effective in electronic records management zSkills Sets – Group into 3 Categories z Basic knowledge of automated systems and how they process data z Information systems analysis and design skills z Management skills required to translate this knowledge into a strategic plan

39. Lesson 7: Basic knowledge of automated systems and how they process data z 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) z Understanding of all the various metadata systems, such as data dictionaries, information resource dictionary systems and transaction logs.

40. Lesson 7: Information systems analysis and design skills z Ability to create conceptual models for representing records and system requirements zOf 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

41. Lesson 7: Management skills required to translate this knowledge into a strategic plan z We must learn effective techniques for communicating archival needs, capabilities and contributions z We must develop strategies for positioning the archives/record management program within the broader context of information resources management z We must learn how to define mutually beneficial activities, and how to negotiate “win/win” alliances

42. LESSON 8 z Traditional records management strategies established for paper records will have to be altered to accommodate electronic records

43. Lesson 8: Traditional records management strategies will have to be altered to accommodate electronic records z Archivists Involved Throughout the Records Continuum z 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.

44. Lesson 8: Traditional records management strategies will have to be altered to accommodate electronic records zCreation 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