Information Preservation -- It’s a Records Manager’s Job Too!

1. Information Preservation -- It’s a Records Manager’s Job Too! Greater Columbus ARMA Chapter September 18, 2001

2. Introduction Charlie Arp State Archivist, Ohio Historical Society Joe Dickman Project Manager/Senior Consultant, Fireproof Records Center

3. Introduction Syllabus • Definitions • Roles and Functions - why they are merging • Risk Analysis

4. Introduction Handout • Contact information • Resource URLs • Exercises

5. Introduction Workshop Focus • Large Applications - Information Systems • theoretical concepts with practical applications • Workshop Focus is not on: • Personal Computer records

6. Introduction Anyone who claims to have an understanding of digital informational entities lacks imagination. Jeff Rothenberg Anyone who says that they understand electronic records has just proven that they don’t. Unknown Archivist

7. Definitions Definitions • Archives • the non-current documents created, received, and accumulated by a person or organization in the conduct of affairs, and preserved because of their continuing value • the building where archival records are located • the agency or program responsible for appraising, collecting, preserving, and facilitating the use of records of enduring historical value • an out of the way building that normal people do not approach

8. Definitions • Archivist • a person professionally educated, trained, experienced, and engaged in the administration of archival materials including the following activities: appraisal, arrangement and description, reference service, and outreach • a condescending, extremely conservative individual with limited technical and social skills who works in an archives

9. Definitions • Historic Roles • Archivist -- concerned with long-term preservation of records after their active life • Most often found in academic or public sector settings. Archivists in business are found usually only in very large companies • Main function is appraisal, preservation and providing access to records of enduring historical value

10. Definitions • Records Management • field of management responsible for the systematic control of the creation, maintenance, use, and disposition of records • should work closely with archivist for appraisal and preservation of those records with long-term utility to the organization.

11. Definitions • Records Manager • an individual within an organization or institution responsible for managing the life cycle of records created or received by the organization • an individual usually found in the basement, literally and organizationally, who attempts to maintain control of an organization’s active and inactive records.

12. Definitions • Historic Roles (cont’d.) • Records Manager-- found in business and the public sector as well as educational organizations • Primarily concerned with active records, their maintenance, and availability for day-to-day operations • Roles include records appraisal, establishing retention periods, operating active and inactive filing systems and records centers • Primary focus is on control

13. Definitions • Electronic Record - information in electronic format created or received and maintained by an agency, organization, or individual in pursuance of legal obligations or the conduct of business • could be a record created in paper format that was reformatted into an electronic format - a scanned image of a document

14. Definitions • Vital Record(s) • Those records that specifically • contain information to establish or continue an organization in the event of a disaster • necessary to recreate the company’s legal and financial position and to preserve the rights of the company and its employees, customers, and stockholders • in short, those records without which, the company cannot continue to function

15. Definitions Content • that which conveys information • Text, data, symbols • Numerals • Images • sound files

16. Definitions Context • background information that enhances understanding of technical and business environments to which the records relate and the origin of the records • Metadata, application software, logical business models • Title, address, link to function or activity, agency, program or section • Who made the records and why

17. Definitions Structure • appearance and arrangement of the content • Relationships between fields or entities • Language, style, fonts, page and paragraph breaks • Links and other editorial devices.

18. Definitions • Reliable - is it what it says it is? • the measure of a records authority • free from tampering or corruption • worthy of or entitled to acceptance or belief as conforming to or based on fact • based on the identity and integrity of the record • function of the creation of the record

19. Definitions • Authentic - verifying that a document or records is what it purports to be • Authentic also means proven reliability over time • Is it (the record) the same as it was when created? • Reliability and authenticity are functions of system policies, documentation, and the implementation of technology. The presumption of reliability and authenticity must be supported by evidence that the records are what they purport to be and that they have not been modified or corrupted

20. Merging the Roles “…archives and records management programs need to be combined and the artificial distinctions made between archivists and records managers should be eliminated” Richard Cox University of Pittsburgh

21. Merging the Roles Rationale for merging the roles • Practical • electronic records must be created and maintained under strict circumstances to insure reliability and authenticity • records managers may have the responsibility for preserving electronic records • Preservation concerns • Proprietary formats • Numerous formats

22. Merging the Roles Attributes of records that we take for granted with paper records are not always present in electronic records • Content • Context • Structure • Reliability • Authenticity

23. Merging the Roles Armstrong v Executive Office of the President (Profs case) In fact the ruling of the court was in favor of a definition of a record including its structure, content, and context. The real decision was that printing out e-mail distorted its structure and tossed off its context making its contents meaningless or at least open to question. Richard Cox, Records Management Quarterly Oct. 1996

24. Merging the Roles • These attributes must be present when the records are created - you cannot add then later • Electronic records must be managed from their creation to insure that those attributes are present • Electronic records will not be valid (reliable and authentic) during their active life if they are not managed effectively

25. Merging the Roles • Records managers and archivists are both seen as information professionals • Records managers deal with active records • Archivists preserved inactive records of enduring value • Managing electronic records and insuring the survival of reliable electronic records is a team effort • Records managers and archivists • IT staff • Legal staff

26. Merging the Roles “The value of information as evidence depends on how well it was managed during its active life” David Bearman

27. Preservation of Electronic Records The hardware and software to read digital code will almost certainly be obsolete within 5 years. H. Andrew Lawrence - Eastman Kodak The cost of accessing and recovering digital information may far exceed the cost of dealing with the year 2000 computer problem National Science Foundation

28. Preservation of Electronic Records Electronic Records lost • 20% of NASA Viking mission to Mars data cannot be accessed • Voyager Company (Electronic Publishing) - cannot read their own files more than 8 years old • Corporate records of the Pennsylvania Railroad have been lost • The primary database of people with disabilities vanished • More than 40% of the RLG have lost access to some of their files

29. Preservation of Electronic Records Concerns • Archivists must have reliable and authentic records to preserve • Archivists will not have the ability to deal with multiple formats • especially proprietary formats

30. Preservation of Electronic Records Two Methods of Preserving Electronic Records • Migration - moving the data to new hardware and software configurations • must be documented and checked • Emulation - making a new computer act like an old computer • running a DOS program on a Windows operating system

31. Preservation of Electronic Records Migration • In one case involving FDA-mandated records of drug testing, blood pressure numbers were randomly off by up to 8 digits following data transfer from UNIX platforms to Windows NT operating systems Business Week April 20, 1998 • Migration is very expensive. In many instances it can cost up to 2.5 times the cost of creating the information - IT managers routinely budget 20% to 30% of the cost of an application for annual upgrades

32. Preservation of Electronic Records “Digital records don’t just survive by accident” Margaret Hedstrom University of Michigan

33. Risk Analysis Risk assessment • How reliable and authentic do the records need to be? Or, how much time, money and effort do you need to spend making your records reliable and authentic? • What laws and regulations apply to your data? • What are your industry’s standards for system security, data security, and records retention? • What areas and records might lawyers and auditors target? • What data is of permanent and/or historical value to you and to others?

34. Risk Analysis Assessment Team • Auditors and lawyers • Knowledge of your business, policy, procedures, laws and policies that apply to your entities information or records • Records Managers/Archivists • Knowledge of who accesses the information, why, and and how long information needs to remain accessible • Staff to whom the records-information belong • Best working knowledge of the records

35. Risk Analysis Risk Analysis • Analyze risks your records and record keeping practices may pose for you • Analyze likely risk scenarios for your situation • Analyze possible legal consequences for your particular situation • what are the consequences if they do not stand up as evidence in court? • Vital records are always high threat

36. Risk Analysis Risk Analysis • Three scenarios: • Low threat • Medium threat • High threat • Probability of occurrence • Public Relations considerations • Financial considerations • Legal considerations

37. Risk Analysis Probability of Occurrence • Low threat • Little value to hackers, simple technology in relation to environment, little or no possibility of litigation • Medium threat • Some value to hackers, minor changes in technology, some possibility of litigation • High threat • Great notoriety/PR for hackers, complex use of technology, litigation very possible

38. Risk Analysis Public Relations Considerations • Low risk • Occasional harsh newspaper articles • Medium Risk • Called before the Management body • Unfavorable public opinion • High Risk • Budget cuts • Pressure to replace those responsible • Widespread public distrust, intense media scrutiny

39. Risk Analysis Financial Considerations • Low risk • Minimum or low financial consequences • Medium Risk • 10% to 25% of your budget at risk • less than $10,000 • High Risk • 25% + of your budget at risk • more than $10,000

40. Risk Analysis Legal Considerations • Low risk • Internal or administrative records with little importance at risk, little or no prospect of litigation • Medium Risk • Internal or external records of low importance at risk, possible litigation • High Risk • External programmatic or vital records at risk, litigation very possible

41. Risk Analysis Examples • Low Risk • State of Ohio On-Line Records Schedule Application • Medium Risk • State of Ohio Telecommunications Service Request System • High Risk • ODH electronic submission of birth/death certificates

42. Risk Analysis Examples • Low Risk • Internal e-mail application • Medium Risk • Internal employee timesheet application • High Risk • Account receivable applications

43. Risk Analysis Resources California Risk Assessment Model http://www.doit.ca.gov/SIMM/RAMQuestions.asp State Information Technology Consortium http://www.state-itc.org/

44. Want More? • See Charlie and Joe at the ARMA International Conference in Montreal Sunday, September 30, from 2:00 p.m. to 5:00 p.m. • E-mail Charlie -- carp@ohiohistory.org • E-mail Joe -- jdickman@fireproof.com • Download Conference presentation from: http://www.ohiohistory.org/resource/lgr/ppt.html