structured approach to implementing information and records management (idrm) systems
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Structured Approach toImplementing Informationand Records Management(IDRM) Systems
Alan McSweeney
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Objectives
Provide an overview of a structured approach toanalysis, design and specification of Information,Document and Records Management (IDRM) systems
Provide introduction to generic reference models forIDRM that can assist in solution definition
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Information, Document and Records
Management (IDRM) Information ManagementInformation ManagementInformation ManagementInformation Management tends to be IT related backup/restore of information under
the control of IT systems IT systems tend by their nature to be centralised
Records ManagementRecords ManagementRecords ManagementRecords Management tends to be associated with the management of paper records Records tends to be managed in multiple locations across an organisation, local and central
filing systems Records are seen as red tape - a relic of the old process-driven way of doing business - a cost
to be reduced, if not eliminated Filing, dusty files and basements
Document ManagementDocument ManagementDocument ManagementDocument Management tends to associated with systems to manage paper (and other)records electronically, either at a departmental or enterprise level
There is a division between IT information and its management and non-IT managedbusiness records
Spread of electronic systems has lead to a tendency towards ad hoc or substandardIDRM practices and processes
Need to bridge the gap: They all share the same management requirements Common business goals and requirements
Take an integrated approach
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Information, Document and Records
Management (IDRM) Information, document management and records
management, retention and deletion procedures arebecoming increasingly importantDriven by many regulations
Standards around correct storage and retrieval of business
records and electronic communications
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IDRM Challenges
BudgetsBudgetsBudgetsBudgets - Systems must be implemented in the contextof limited budgets
Information GrowthInformation GrowthInformation GrowthInformation Growth - The annual rate of growth ofinformation to be managed in over 50%
Compliance and RegulationsCompliance and RegulationsCompliance and RegulationsCompliance and Regulations - There are multiplecompliance standards regulations to be adhered to
Management and ControlManagement and ControlManagement and ControlManagement and Control - Information must bemanaged from creation to deletion with as easily and
automatically as possible Protection and RecoveryProtection and RecoveryProtection and RecoveryProtection and Recovery - While being managed the
information must be protected and recoverable
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General Approach to IDRM
An effective approach to IDRM supported by processes andsystems:
Creates a culture of compliance to business information management Ensures quality, enforces standards and guidelines
Eliminates risk due to lost or unsaved documents and information
Designs IDRM systems and associated processes that allow youto actively managing information during its entire lifecycle,according to its value: From creation to deletion
Consistent with business importance With automated management
Aligned with business needs
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General Information Management Lifecycle
Define solution to implement
lifecycle
Define specific informationlifecycle for different
information types beinganalyses
Create, Acquire,Update, Capture
Store, Manage,Replicate and
Distribute
Protect and Recover
Archive and Recall
Delete/Remove
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IDRM Structured Analysis and Design Approach
Analyse your information, document management and recordsmanagement requirements
Design and specify appropriate a solution and associatedprocesses
Depending on your requirements, this can encompass hardware,software, processes, all of which are aligned with the needs of
the business Use a structured approach to enable the selection and
implementation of IDRM solutions and processes that are basedon a sound understanding of an organisations requirements
Methodology is designed to ensure that any IDRM solution isstrictly based on the business needs of the organisation
Ensure solutions meet requirements
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General IDRM Analysis and Design Methodology
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General IDRM Analysis and Design Methodology
Steps 1 to 4 make certain that the IDRM analysis and design isfocused on the key business requirements
Preliminary investigation Analysis of business activity Identification of recordkeeping requirements Assessment of existing systems
Steps 5 to 6 focus on selecting the optimum approach Identification of strategies for recordkeeping Design of IDRM system
Steps 7 and 8 are concerned with the implementation of this
optimum approach Implementation of IDRM system Post-implementation review
The process can be used in its entirety or a subset of it can be
followed to produce interim results
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IDRM Analysis Benefits
Understand the business, regulatory and social contextin which they operate, and establish a business case forreviewing their IDRM practices
Analyse business activities and environmental factors toidentify their IDRM requirements
Assess the extent to which existing organisationalstrategies (for example, policies, standards, technology)satisfy these requirements
Redesign existing strategies or design new strategies toaddress unmet or poorly satisfied requirements
Implement, maintain and review these strategies
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IDRM Analysis Outcomes
The IDRM analysis approach enable the development of IDRM systems andprocesses that are based on a sound understanding of an organisations IDRMrequirements
These systems and processes enable organisations to: Conduct business in an orderly, efficient and accountable manner Deliver products and services in a consistent manner Support and document policy formation and managerial decision making Provide consistency, continuity and productivity in management and administration
Facilitate the effective performance of activities through an organisation Provide continuity in the event of a disaster Meet legislative and regulatory requirements including archival, audit and oversight
activities Provide protection and support in litigation, including the management of risks
associated with the existence of or lack of evidence of organisational activity
Protect the interests of the organisation and the rights of employees, clients, andpresent and future stakeholders Support and document current and future research and development activities,
developments and achievements, as well as research, provide evidence of business,personal activity
Establish business, personal and cultural identity
Maintain corporate, personal or collective memory
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IDRM System and Process Objectives
In order to be full and accurate, information (or all types) must be authentic,reliable, complete, unaltered and useable and the systems that support themmust be able to protect their integrity over time
AuthenticAuthenticAuthenticAuthentic - it must be possible to prove that a record is what it purports to be andthat it has been created or sent by the alleged person and at the time purported.Information need to be protected against unauthorised addition, deletion, alteration,use or concealment and the creation, receipt, transmission of records needs to becontrolled to ensure that records creators are authorised and identified
ReliableReliableReliableReliable - it must be possible to trust the information content as an accuraterepresentation of the transaction to which it attests. It should be created and
captured in a timely manner by an individual who has direct knowledge of theevent or generated automatically by processes routinely used by the organisation toconduct the transaction
Complete and UnalteredComplete and UnalteredComplete and UnalteredComplete and Unaltered - it must be possible to protect information againstunauthorised alteration and to monitor and track any authorised annotation,addition or deletion
UsableUsableUsableUsable - it must be possible to locate, retrieve, render and interpret information andunderstand the sequence of activities in which it was created and used for as longas such evidence is required
System IntegritySystem IntegritySystem IntegritySystem Integrity - it must be possible to implement control measures, such as accessmonitoring, user verification, authorised destruction, security and disaster recoveryto prevent unauthorised access, destruction, alteration or removal of informationand to protect them it accidental damage or loss
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IDRM Processes
There are fundamental processes that are common to IDRM systems Capture/Acquire/CreatCapture/Acquire/CreatCapture/Acquire/CreatCapture/Acquire/Create formally determine that information should be made and
kept
RegistrationRegistrationRegistrationRegistration formalise the capture of information into a designated system byassigning a unique identifier
Classification and IndexingClassification and IndexingClassification and IndexingClassification and Indexing identify the business activities to which a recordrelates and then link it to other records to facilitate description, control, retrieval,disposal and access
Access and SecurityAccess and SecurityAccess and SecurityAccess and Security assign rights or restrictions to use or manage particularinformation
AppraisalAppraisalAppraisalAppraisal identify and link the retention period of information to a functions-based disposal authority at the point of capture and registration
StorageStorageStorageStorage maintain, handle and store information in accordance with their form, useand value for as long as they are legally required
Use and TrackingUse and TrackingUse and TrackingUse and Tracking ensure that only those employees with appropriate permissionsare able to use or manage information and that such access can be tracked as asecurity measure
DisposalDisposalDisposalDisposal identify information with similar disposal dates and triggering actions,review any history of use to confirm or amend the disposal status, and maintain a
record of disposal action that can be audited
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Step 1 - Project Initiation and Initial Analysis and
Investigation Activities
Determine the scope of the analysis
Collect informationDocument researchPrepare a report
IssuesDefining the boundaries of the analysis
Outputs
List of the sources usedReport containing the major findings of preliminary
investigation and making recommendations on the scope,conduct and feasibility of the proposed IDRM project
Project plan
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Step 2 - Analyse Information-Related Business
Processes Activities
Collect information from documentary sources and interviews Identify and document each business function, activity and transaction
Assigning terms to functions and activities Defining the scope of functions and activities Assigning dates to functions and activities
Develop a business classification scheme Identify organisational stakeholders Assess risk Record your findings
Validate the analysis Issues
Defining the scope of the analysis Defining the scale of functions and activities Maintaining the currency of the analysis
Outputs Document the sources used Document organisations functions, activities and transactions Highlight business-critical functions using risk assessment Prepared a business classification scheme showing the organisations functions, activities and
transactions in a hierarchical relationship
Validate findings with stakeholders
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Step 3 - Define Information and Records
Management Requirements Activities
Locate information sources Identify regulatory, business and external requirements for IDRM
Document identified requirements for IDRM Assess the risk of not meeting requirements Document results
Issues Drawing on other IDRM projects and experiences
Maintaining a history of IDRM requirements Using IDRM requirements IDRM requirements for housekeeping functions
Outputs Identified and documented all sources of organisations IDRN requirements
Documented organisations identified requirements in a structured and traceableform;
Investigation of risk and feasibility factors associated with requirements wherenecessary
Documented assessment of these factors
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Step 4 - Analyse Existing Information and Records
Management Systems Activities
Identify existing information systems Analyse existing systems Document results
Issues Assessing housekeeping functions Duplicate systems
Outputs Benchmark to assess organisations existing systems and practices Identified, surveyed and documented relevant systems Assessment whether the systems have the capacity to function as IDRM
systems Determined whether the systems currently create, capture and manage
evidence consistent with your prioritised IDRM requirements Prepared a report describing the strengths and weaknesses of the existing practices
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Step 5 - Define Information and Records
Management Strategy Activities
Investigate the range of strategies available Policy tactics Design tactics Implementation tactics
Standards tactics Identify appropriate tactics Policy tactics Design tactics Implementation tactics Standards tactics
Assess factors that support or inhibit tactics Types of activities and transactions Corporate culture Systems and technological environment Assessing risks
Check tactics against identified weaknesses Adopt an overall strategy
Issues Agree where IDRM strategies ends and designing systems to incorporate those strategies begins Get high-level commitment to the remaining design and implementation process
Outputs Investigation of the range of tactics potentially available to organisation Assessment and documentation of the organisational constraints that may affect the adoption of these tactics Selection of the most appropriate combination of tactics Establishment of the links between the selected tactics and the requirements they are intended to address Development of an overall design strategy to bring the tactics to fruition (including a framework for change management) Support for recommended strategy or decision not to proceed, and the rationale behind it
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Step 6 - Design Information and Records
Management System and Processes Activities
Establish and maintain recordkeeping policies Assign recordkeeping responsibilities (Re)design work processes
Produce design documentation Design electronic or hybrid systems for records creation, capture and control Develop guidelines and operating procedures Conduct regular design reviews Develop initial training plan Prepare initial system implementation plan
Issues Determining the limits of user participation in the design process Determining where design stops and implementation begins
Outputs Feedback from staff and other stakeholders on relevant system components (such as policies, processes,
roles and responsibilities, guidelines and procedures) Documentation of any changes to requirements and design components arising from consultation
Prepared detailed design descriptions, logical and physical models, and technical design specifications forelectronic system components Preparation of a system implementation plan Preparation of a an initial training plan Management endorsement of the design process
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Step 7 - Select/Build and Implement Information
and Records Management System Activities
Select implementation strategies and techniques Documentation of policies, procedures and practices covering all aspects of IDRM systems Communication about new or improved systems to staff both before and during the implementation phase
Training Conversion Regulation and review Quality systems Change management
Plan the implementation process Manage the implementation Develop a maintenance
Issues Decide to begin the implementation process and stop refining the design Issues affecting implementation such as time lags, cost overruns and user acceptance, can be minimised by
conducting risk and feasibility assessments before the design and implementation (Step G) phases arebegun
Outputs Representative of senior management to act as sponsor Establishment of a project team and/or steering committee that includes relevant stakeholders and experts Selection of an appropriate mix of implementation strategies and techniques based on risk, cost-benefit and
feasibility assessments Identification of all the activities associated with each of the strategies Development of a project plan to manage the implementation process Implemented and tested systems, processes and practices according to the project plan Reports on the implementation process to the project sponsor, steering committee and staff
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Step 8 - Validate System and Process Operation
After Implementation Activities
Plan the evaluation Appropriateness Effectiveness Efficiency
Collect and analyse performance data Information creation and retrieval
Management Disposal Training Learning from the process
Document and report on your findings Take corrective action Make arrangements for ongoing review
Outputs Identification and documentation of performance indicators for the system and process Identification of methods to collect performance data for the initial and subsequent reviews Collection of performance data Assessment of whether the system is satisfying IDRM requirements and working within organisational constraints Production of substantiating documentation Assessment of design and implementation process and documented costs and benefits Review the conversion strategy, process and audit trail Verification of the existence, currency and comprehensiveness of technical, user and training documentation (including
policies, procedures, information disposal authorities) Preparation a report for management on the status of the system and recommendations for improvement (including staffing
issues) Initiation of remedial action endorsed by management Establishment an ongoing cycle of reviews of recordkeeping
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Benefits of Structured Approach
You establish a business case for reviewing IDRM
You understand the business processes and activities that give
rise to IDRM requirements You define the IDRM requirements of the organisation
You assess the extent to which existing organisational IDRMprocedures meet these requirements
You get redesigned existing processes or new processes designedto address partially of completely unfulfilled requirements
You will get a detailed design before embarking on (anexpensive) implementation
You get a solution implemented to meet the agreed businessrequirements
The operation of the system is reviewed to ensure it meets therequirements
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Open Archival Information System (OAIS)
Reference Model Establishes a common framework of terms and concepts
Identifies the basic functions of an OAIS
Defines an information model Adopted as ISO 14721:2003
Provides an idealised architecture and framework for IDRMdesign and implementation OAIS is a reference model and conceptual framework) and not a detailed
blueprint for system design Informs the design of system architectures, the development of systems and
components Provides common definitions of terms and a common language, means of
making comparisons Basis for defining solution for acquisition/development and implementation
OAIS is focussed on information storage and management ratherthan processes that use the information such as workflow
A useful tool in IDRM design and implementation
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Reference Model
A framework that provides For understanding significant relationships among the entities of some
environment, and For the development of consistent standards or specifications supporting
that environment.
A reference model
Is based on a small number of unifying concepts Is an abstraction of the key concepts, their relationships, and their
interfaces both to each other and to the external environment
Can be used as a basis for education and explaining standards to users and
other stakeholders Does not specify an implementation
OAIS reference model divide IDRM into a number of functionalareas such as ingest, storage, access, and preservation planning
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Open Archival Information System (OAIS)
OpenReference Model standard(s) are developed using a public
process and are freely available Information
Any type of knowledge that can be exchanged
Independent of the forms (i.e., physical or digital) used torepresent the informationData are the representation forms of information
Archival Information SystemHardware, software, and people who are responsible for the
acquisition, preservation and dissemination of the informationAdditional OAIS responsibilities are identified later and are
more fully defined in the Reference Model detail
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OAIS Reference Model
Provides definitions of terms that need to have well-defined meanings:Archival Storage, Content Data Object, Designated
Community (key term), Ingest, Metadata, RepresentationInformation, etc.
High level concepts, e.g.The environment of an OAIS (Producers, Consumers,
Management)
Definitions of information, Information Objects and theirrelationship with Data Objects
Definitions of Information Packages, conceptual containers ofContent Information and Preservation Description Information
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OAIS Purpose, Scope, and Applicability
Framework for understanding and applying conceptsneeded for long-term IDRM Long-term is long enough to be concerned about changing
technologies
Starting point for model addressing non-digital information
Framework for comparing architectures and operationsof existing and future data stores
Basis for development of additional related standards
Addresses a full range of archival functions
Applicable to all data stores and those organisations
dealing with information that may need IDRM
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Functional Model
Six entities IngestIngestIngestIngest: services and functions that accept SIPs from Producers; prepares
AIPs for storage, and ensures that AIPs and their supporting DescriptiveInformation become established within the OAIS
Archival StorageArchival StorageArchival StorageArchival Storage: services and functions used for the storage and retrievalof AIPs
Data ManagementData ManagementData ManagementData Management: services and functions for populating, maintaining, andaccessing a wide variety of information
AdministrationAdministrationAdministrationAdministration: services and functions needed to control the operation ofthe other OAIS functional entities on a day-to-day basis
Preservation PlanningPreservation PlanningPreservation PlanningPreservation Planning: services and functions for monitoring the OAIS
environment and ensuring that content remains accessible to theDesignated Community
AccessAccessAccessAccess: services and functions which make the archival informationholdings and related services visible to Consumers
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OAIS Reference Model Medium Level
Administration
Ingest
ArchivalStorage
Access
DataManagement
Descriptive
Information
PROD
UCER
CONS
UMER
MANAGEMENT
Queries
Result Sets
DescriptiveInformation
Preservation Planning
Orders
SIP
SIP
SIP
DIP
DIP
AIP AIP
SIP = Submission Information Package
AIP = Archival Information Package
DIP = Dissemination Information Package
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OAIS Reference Model Detail
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OAIS Reference Model
Information Model Information Object (basic concept): Data Object (bit-stream)
Representation Information (permits the full interpretation of Data Objectinto meaningful information)
Information Object Classes Content Information
Preservation Description Information (PDI) Packaging Information Descriptive Information
Information Package Container that encapsulates Content Information and PDI
Packages for submission (SIP), archival storage (AIP) and dissemination(DIP)
AIP = ... a concise way of referring to a set of information that has, inprinciple, all of the qualities needed for permanent, or indefinite, LongTerm Preservation of a designated Information Object
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OAIS Information Definition
Information is defined as any type of knowledge thatcan be exchanged, and this information is always
expressed (i.e., represented) by some type of data In general, it can be said that Data interpreted using its
Representation Information yields Information
In order for this Information Object to be successfullypreserved, it is critical for an archive to clearly identifyand understand the Data Object and its associated
Representation Information
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OAIS Archival Information Package
Archival Information Package (AIP)Content Information
Original target of preservation Information Object (Data Object & Representation Information)
Preservation Description Information (PDI) Other information (metadata) which will allow the understanding of
the Content Information over an indefinite period of time A set of Information Objects
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OAIS Archival Information Package (AIP)
Content Information Document as an electronic file together with its format description
Preservation Description Information (PDI) How the Content Information came into being, who has held it, how it
relates to other information, and how its integrity is assured
ArchivalInformation
Package (AIP)
ContentInformation
PreservationDescriptionInformation
(PDI)
PackagingInformation
PackageDescriptor
Further described by
Delimited byDerived from
How to find Contentinformation and PDI onsome medium
Informationsupporting usersearches for AIP
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Information Package
Content Content Data Object - Physical Object or Digital Object Representation Information
Preservation Provenance Context Reference Fixity
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OAIS Preservation Description Information (PDI)
PreservationDescriptionInformation
ReferenceInformation
ProvenanceInformation
ContextInformation
FixityInformation
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OAIS Reference Model in Wider Context
Business Process
Services
Network Infrastructure
Data Models
Behavior Models
Application
Interface
Data
Encoding
Framework
Ref
erenceModel
Design
Workflow
Operations
Messages
Transport
Data
}OAIS
Provides wider framework for IDRM design and implementation
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Summary
Structured IDRM methodology yields benefits in ensuring appropriateanalysis, design and specification is performed ensuring requirements arecaptured and any solution complies with them
Consistency Speed Drives Delivery Ensures Acceptance Increases Productivity Increases User Confidence Speed Accuracy Provides Audit Trail Maximises Cost Savings
Risk Management and Reduction Provides for Change Management Provides for Formal Project Closure
Standards and reference models provide a mechanism for designing solutionsand comparing products from vendors
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More Information
Alan McSweeney