electronic records management at msu cynthia ghering, director university archives & historical...

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Electronic Records Management at MSU Cynthia Ghering, Director University Archives & Historical Collections

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Electronic Records Management at MSU

Cynthia Ghering, Director University Archives & Historical Collections

Records Management Topics

• What is good Records Management?• What makes something a record?• How do we classify and organize records?• When do we keep or destroy records?• What is a Records Management program?• How will MSU approach RM in the future?• What is a trustworthy information system?• What is University Archives doing now?

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Records Management is Vital

“Records Management [RM] is intrinsically unglamorous but vital to the efficient running of your institution's daily operations. It is also the essential tool which underpins your institution's legal and regulatory compliances.” JISC: Joint Information Systems Committee, UK

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Why is RM Important?

• Insure compliance with institutional policies• Insure compliance with federal and state laws– FERPA, FOIA, HIPAA

• Protect personal information• Identify and preserve vital records• Improve efficiency• Respond to e-discovery requests• Provide access to historical data• Preserve MSU’s heritage

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Records ManagementRecords Management (RM) is the intentional management of all records, regardless of whether they are paper or electronic, created in the course of business activities as an institutional asset for legal, fiscal, administrative or historical purposes through the records' entire life cycle.

Electronic Records Management (ERM) applies the same principles in an electronic environment. A successful RM program must now address both paper and electronic records.

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Records Life Cycle

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What is a Record?

A record is “information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business.” ISO 15489 – The International Records Management Standards

Data or information that has been fixed on some medium; that has content, context, and structure; and that is used as an extension of human memory or to demonstrate accountability. A Glossary of Archival and Records Terminology, Society of American Archivists.

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Components of Record

1. Fixed content: substance of the record

2. Structure: physical character and internal organization of record content

3. Context: organizational, functional, and operational circumstances surrounding the record’s creation, receipt, storage and use; also includes creation, modification, and disposition dates and record’s relationship with other records

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Records can be:• traditional/paper or electronic/digital– based on its storage media

• active, inactive, or archived– based on its current use

• structured or unstructured– depending on its form/format

• vital or routine– based on its importance

• temporary or permanent– based on need for its retention

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Records Classification Scheme

• Record Groups/Series: A group of similar records that are arranged according to a filing system and that are related as the result of being created, received, or used in the same activity.

• Currently at MSU our university records are organized by the creating office or department. – Classification scheme was created in 1970s – University organizational structure changes frequently– Challenging to maintain scheme over years

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MSU Record GroupsUA 1 Records of the Board of TrusteesUA 2 Records of the President's Office (and directly sub-ordinate units)UA 3 Records of the Provost (and directly subordinate units)UA 4 Vice President for Governmental Affairs - Administration and Public AffairsUA 5 Records of the Vice President for Finance and Operations and Treasurer (and subordinate units)UA 7 Records of the Vice President of Student Affairs and Services (and subordinate units)UA 6 Records of Enrollment Services Office (and sub-ordinate units)UA 8 Records of the Vice President for University Relations (and subordinate units)UA 9 Records of Administrative Committees (deal with issues that cross over individual unit

divisions).UA 10 Records of the Vice President for Development (and subordinate units), The Alumni

Association, and the Personal Papers of AlumniUA 11 Records of the Vice President for Research and Graduate Studies (and subordinate units)UA 12 Records of Student OrganizationsUA 13 Miscellaneous Central Administration Records (including commencement records and

memorial occasion recordsUA 14 Records Relating to Academic Governance (including Academic Senate, Academic Council,

Secretary for Academic Governance, and subordinate committees)UA 15 Records of the CollegesUA 16 Records of Teaching, Research and Service Units within the UniversityUA 17 Personal Papers of Faculty and StaffUA 18 Records of Affiliated Faculty and Staff OrganizationsUA 22 Records of Units Defunct in 1974UA 23 Records relating to Interuniversity and Regional ProgramsUA 24 Vice President of University Programs (created in Jan. 1995)

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Records Retention

• Retention Period: The length of time a given record series is retained for administrative, legal, and historical reasons.

• Retention Schedule: A set of policies and procedures that identify and describe an organization's records. Retention schedules provide instructions for the disposition of records throughout their life cycle.

• Current MSU retention schedules are based on function of the records:– Academic– Administrative – Financial – Personnel

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Current MSU Retention ScheduleADMINISTRATIVE

Schedule Number : 108.98 Schedule Approved Date : General Title : Correspondence, General Disposition : 2 years Disposition Description : Retain in office for 2 years or as long as it is active, then destroy. Functional Category : Administrative Description : General inter/intra and non-institutional office communication that deals with the operation of a campus unit and its personnel. This communication can be in the form of notes, memorandums, or letters that have no historical, long-term value. Offices : Any

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Records Management Program A planned, coordinated set of policies, procedures,

and activities needed to manage an agency's recorded information. Encompasses the creation, maintenance and use, and disposition of records, regardless of media. Essential elements include issuing up-to-date program directives, properly training those responsible for implementation, publicizing the program, and carefully evaluating the results to ensure adequacy, effectiveness, and efficiency.Federal Records Management Glossary

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New RM Program @ MSU

• Manage active records as well as inactive• Develop policies and procedures• Create a “Records Advisory Committee”• Utilize unit “Records Coordinators” • Develop training, guidelines and evaluation• Help develop trustworthy information systems• Provide preservation environment for

university’s permanent e-records17

Trustworthy Information Systems• Authenticity: typically inferred from internal and

external evidence, including an object's origin, physical characteristics, structure, content, and context.

• Integrity: whole and unaltered through loss, tampering, or corruption.

• Reliability: created by a competent authority, according to established processes, and being complete in all formal elements.

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ERM Functional Requirements

• Declare and classify university records • Approval process for records disposition• Purge records that have met retention• Security control and access• Ensure records are accessible• Preserve records and metadata for historical

purposes

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Spartan Archive• National Historic Publications and Records

Commission RFP for Electronic Records Projects• Seeking $300,000 for three years to build an

Electronic Records Archive at MSU• Based on Open Archives Information Systems

reference model (DOD standard)• Use Integrated Rule Oriented Data Services• Establish policy, procedure, workflow and

technical infrastructure20

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Imaging Best Practices

• Technical Specifications

• Metadata Elements

• File Name Conventions

• Folder Structures

• Retention Schedules– Permanent or Temporary Records

Technical SpecificationsTechnical recommendations are based on:– National Archives and Records Administration's

"Technical Guidelines for Digitizing Archival Materials for Electronic Access“

– Bibliographical Center for Research's "CDP Digital Imaging Best Practices, version 2.0“

– Michigan Department of History, Arts, and Libraries' "Best practices for the capture of digital images from paper or microfilm" and "Technical standards for capturing digital images from paper or microfilm“

– Perceptive Software's "Technical Specifications for ImageNow 6.3."

Deborah I. Gouin. CA
Use capital letters in the title of slide

Technical Guidelines

Permanent copy (image)

Temporary copy (image)

Permanent copy (text)

Temporary copy (text)

Resolution 600 PPI (minimum) 300 PPI 600 PPI200 PPI (300 PPI if text w/ illustration)

Bit Depth16 bit grayscale or

48 bit color8 bit grayscale or

24 bit color

8 to 16 bit for b/w text; 48 bit for text

w/ color

8 bit for b/w text; 24 bit for text w/

color

Mode

grayscale for b/w photographs; RGB

for images with color

grayscale for b/w photographs; RGB

for images with color

bi-tonal or grayscale for b/w text; RGB for text

w/ color

bi-tonal or grayscale for b/w text; RGB for text

w/ color

File Formats TIFF TIFF, JPG2000, JPG PDF/A, TIFF, PDFJPG, PDF, PDF/A,

TIFF

Spatial Dimensions 4000-8000 pixels

across long dimension

600 pixels across long dimension

4000-6000 pixels across long dimension

600 pixels across long dimension

Metadata SpecificationsMetadata recommendations are based on:– CDP Dublin Core Metadata Best Practices, version 2.1 • a set of guidelines "created to address the needs of a

diverse audience of cultural heritage institutions composed of museums, libraries, historical societies, archives, etc."

– Department of Defense, "Electronic Records Management Software Applications Design Criteria Standard," DoD 5015.02-STD

– National Archives and Records Administration's "Technical Guidelines for Digitizing Archival Materials for Electronic Access“

– Philip Bantin's, Understanding Data and Information Systems for Recordkeeping. 2008

Metadata Type Permanent Records

Temporary Records

Automatable Process?

Identifier: A number or alphanumeric reference that clearly and uniquely identifies the resource. Required Required Yes

Title: The name given to the resource; the name by which the record is formally known. Required Required No

Creator: The person or other entity responsible for making the content of the resource Required Required Yes

Date Original: Creation or modification dates for the original resource from which the digital object was derived or created.

Required Required Yes

Date Digital: The date when the resource was created or re-created as a digital object. Required Required Yes

Date/Time Registered: When the resource is entered into RM system. Use if different from DO and DD

Required Required Yes

Format: The physical or digital manifestation of the resource. (May include the media type or the dimensions of the resource: 'dvd‘, ‘jpg’, etc.)

Yes Yes Yes

Metadata Type Permanent Records

Temporary Records

Automatable Process?

Digitization Specifications: Technical information about hardware, software, and process used to create the digitized resource.

Yes Yes Yes

Access and Use Terms: The terms under which the document may be accessed and used. Required Required Yes

Responsibility: Who is responsible for authorizing access or restriction. Required Required Yes

Disposition Authorization: Laws and policies governing disposition of the record. Require Required Yes

Disposition Date: Chronological or event-based.Required Required Yes

Disposition Action History: When the record was transferred to Archives or destroyed and by whom. Required Required Yes

Location: Current (physical or virtual) location of the record. Required Required Yes

Audit Trail: Actions taken on individual records or classes of records over their lifecycle. Required Required Yes

Example

Metadata Requirement Sample Metadata

Identifier TR000001.pdf

Title UA6121 Transmittal

Creator University Archives

Data Original 06.01.2009

Date Digital 06.03.2009

Date/Time Register 06.04.2009

Format Paper, PDF

Digitization Specifications 600 PPI, PDF

Access and Use Terms Role –based Access and Security?

Responsibility Director, University Archives

Disposition Authorization Permanent per MSU Retention Schedule

Disposition Action History Transferred to University Archives

Disposition Date 06.04.09

Location R:\University Records\Transmittals

Audit Trail Transferred by C. Ghering, 06.04.09

Digital Preservation Plan• .5 FT for one year to develop a digital preservation plan for

MSU’s digital assets.• Conduct an environmental scan of the university’s digital assets• Survey of MSU’s existing digital repositories and technical

infrastructure • Identify best preservation, management, and access practices • Developof policies, procedures, and work flow to standardize

MSU’s approach to digital asset management and preservation• Explore potential collaborations with other institutions and

consortia—including HathiTrust, LOCKSS, CIC

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Conclusions

• We need good records and digital asset management at MSU.

• Good records management can be achieved by a combination of policies, procedures, systems and services.

• University Archives will provide training, guidelines and support to integrate good RM into current workflows.

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