RECORDKEEPING REQUIREMENTS

1. RECORDKEEPING REQUIREMENTS • Our goal is tell system designers what types of functionality need to be created or designed into the system. • Our goal is not necessarily to tell system designers how to translate these requirements into automated solutions. • However our requirements must eventually include enough specificity to achieved desired results.

2. RECORDKEEPING REQUIREMENTS • Requirements are not much different than what we would like to see in an ideal paper recordkeeping system • Differences: 1) Requires in many cases that the requirements be automated and executable by the system; 2) Reflects the fact we can a better job documenting recordkeeping in an automated environment

3. Information Systems • Systems Development Lifecycle • System concept: purpose, goals, scope • Analysis: user/functional requirements • Design • data design: what information? • software design: processed how? • interface design: user interaction? • Coding and testing: execute & evaluate • Key issue: Systems do (only) what they’re designed to – purpose, goals, scope, requirements.

4. Data and Information Systems • Transaction Processing • Data-oriented • Automate basic business processes • Decision Support • MIS/EIS • Data warehouse • Electronic Document Management Systems (EDMS)

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

6. TRANSACTION PROCESSING SYSTEMS • Inputs=transaction data like financial information, human resource data • Processing=sorting, listing, updating, merging • Outputs=bills, paychecks, orders, detailed lists and reports

7. Transaction Processing • Data Representation and Storage • Sequential files • ordered set of structurally similar records • Indexed files • 2 part structure: data + index • Databases • multiple entities (tables) linked by key-fields • minimal redundancy

8. Data Systems and Record Systems • How are they Similar? • They both… • capture and store data • organize digital data • enforce standards for representation of data • protect data from destruction (accidental or intentional). • make data available for people to use (search, browse, retrieve, etc.)

9. But are TPS Good Recordkeeping Systems? • Transaction Processing • Primary Goal: to automate some activity or business process. • Transaction Processing and Records • Recordkeeping may be the business process • …or records may be the byproduct of the business process; but recordkeeping is not the primary purpose of the system • …or records may be difficult or impossible to locate or retrieve …if they exist there at all.

10. Transaction Processing Systems and Record Systems • Why aren't TPS reliable Recordkeeping Systems? • They capture incomplete information. Records are made up of content, context, and structure. Many Information Systems capture only content, and not always completely. • They keep only current information. Many Information Systems store only "current values" for key bits of information and they do a bad job of tracking the history of changes to these values.

11. Transaction Processing Systems and Record Systems • Why aren't TPS reliable Recordkeeping Systems? • They scatter information. To avoid redundancy, Information Systems store each bit of information just once, often in separate tables or databases, and they rely on computer software to re-connect the bits of information when needed. Related pieces of information become disconnected over time, or may be preserved or discarded according to different timetables.

12. Transaction Processing Systems and Record Systems • However…in many cases TPS ARE (de facto) Record Systems. • An institution or agency may be using a TPS to conduct its business, and relying on the databases of that system to keep a record of key activities. • It may not be a really good Record System, but that Data System IS the institution's (agency's) primary system for keeping records. • Key issue: Is it possible to make an adequate Record System from a Transaction Processing System?

13. DECISION SUPPORT SYSTEMS • A computer-based information system that provides a flexible tool for analysis and help managers in making strategic decisions • Uses data and information to produce flexible, on-demand reports or information, and assistance in decisions about unstructured problems • By means of models, DSS can provide valid representations of real world systems

14. DATA WAREHOUSE • The data warehouse concept is about unbundling the two environments. In one environment – TPS - the business automates its processes on many different on-line transaction systems in the most effective and expedient manner possible. The data from these many and varied systems is then used to populate a database comprising all the data necessary to support decision making in a separate data warehouse environment.

15. DATA WAREHOUSE • Unlike operational databases that are set up to handle transactions and that are kept current as of the last transaction or update, data warehouses are analytical, subject oriented and are structured to aggregate transactions as a snapshot in time.

16. DATA WAREHOUSES - PRIMARY CHARACTERISTICS • Separate from the Operational systems and populated by data from these systems • Available entirely for the task of making information available to users • Time-stamped and associated with defined periods of time • Subject Oriented as defined by the customer • Accessible to users who have limited knowledge of computer systems

17. Data Warehouses as Recordkeeping Systems • Data Warehouses are NOT ERMS • Do not meet many of the requirements • 1) Do not routinely capture records – Evidence of Business Transactions – More concerned about transforming data into information • 2) Do not manage information or records over the entire life cycle

18. EDMS as Recordkeeping Systems • Many EDMS functions overlap with ERMS • EDMS functionality typically includes: indexing of documents, storage management, version control, integration with desktop applications, and retrieval tools to access the documents • But they are not fully functioning ERMS

19. EDMS As A Recordkeeping System • EDMS: Primary purpose is to support day-to-day use of documents for ongoing business • ERMS: Primary purpose is to provide a secure repository for authentic and reliable business records

20. EDMS AS RECORDKEEPING SYSTEMS • WHAT IS A DOCUMENT? • “A grouping of formatted information objects regardless of medium or form that can be accessed and used by a person.” • “A document is a container which brings together information from a variety of sources, in a number of formats, around a specific topic, to meet the needs of a particular individual.” • A document is discrete and identifiable - Structural unit of text like a report or letter or minutes of meetings

21. EDMS AS RECORDKEEPING SYSTEM • WHAT IS A RECORD? • A specific type of information produced by a business event • Evidence of business transactions • Evidence is metadata documenting the context of creation, and the content and structure of the record • Forms the basis for Recordkeeping Systems

22. EDMS As A Recordkeeping System • EDMS allows documents to be modified and exist in several versions • ERMS prevents records from being modified

23. EDMS As A Recordkeeping System • EDMS may allow documents to be deleted by owner of data • ERMS prevents records from being deleted except in certain strictly controlled circumstances

24. EDMS As A Recordkeeping System • EDMS may include some retention controls • ERMS must include rigorous retention controls

25. EDMS As A Recordkeeping System • EDMS may include a document classification scheme • ERMS must include a robust record classification scheme

26. EDMS As A Recordkeeping System • Most EDMS do not meet many of the requirements of a EDMS • 1) Do not routinely capture records – Evidence of Business Transactions • 2) Do not manage information or records over the entire life cycle

27. RECORDS MANAGEMENT APPLICATIONS (RMA)

28. TRIM • Attempts to include the functionality of: • EDMS to provide integration with desktop applications, add version control, and collect key documents • Records Management System to file records within the framework of the record management architecture and to manage records over their life cycle • Knowledge Management to build relationships between objects to enhance retrieval • Workflow to combine processes and objects

29. TRIM • TRIM manages and integrates both electronic and physical records • TRIM supports the capture and import of e-mail messages and their associated attachments

30. TRIM • Control Mechanisms: • Registration – Provide evidence that a record has been created or captured in a recordkeeping system • Classification: • TRIM has a Record Plan or File Classification module that allows organizations to build a classification system that reflects the business processes • TRIM also has a concept of Record Types to allow for further classification

31. TRIM • Retention and Disposition: • Classification scheme is linked to Disposal Schedules • TRIM allows organizations to import disposal schedules or to create their own • Schedules are attached to records to allow for automated disposal or retention

32. TRIM • Thesaurus: • TRIM has a Thesaurus module that conforms to the ISO standard • TRIM allows organizations to build a thesaurus or to import thesaurus terms for an accepted thesaurus

33. TRIM • Access control is provided through a combination of individual “Administration Access” rights, view and edit privileges assigned via the record plan, and system option setup assignments.

34. TRIM • Migration and Conversion • TRIM provides the tools to migrate records to another relational database system

35. TRIM • Tracking: Audit Trails • TRIM offers the capability to perform two levels of audit logging. Core logging includes logging of the record title, number and container changes, record movements, record deletions, and all electronic activity. Full logging captures the elements of core logging plus record creations, changes to security, notes, retention schedules and triggers, dispositions, thesaurus terms, record plans, location security, location deletions, and workflow processing. • Physical Tracking of Paper Records: Barcoding, Location Designations, Movement History

36. TRIM • TRIM provides an Application Programming Interface (API) toolkit to allow integration with many other business system applications in an effort to provide an integrated environment

37. TRIM • TRIM 4.3 was tested and certified as complaint with DoD 5015.2 Standard in 1999 and again in 2001. • Statement from 1999 DoD compliance test: TRIM “integrates electronic document management and records management and provides a single interface to manage organizational records, including electronic and non-electronic records.” • http://jitc.fhu.disa.mil/recmgt/#standard

38. OTHER STAND ALONE RMA PRODUCTS • ForeMost Enterprise, Version 2 by TrueArc, Inc. • Tarian eRecords Engine v1.0 - formerly e-Records v1.0 by Tarian Software, Inc. • iRIMS 2001 by Open Text Corp. • OBJECTIVE 2000 by Objective Corp. • Hummingbird RM Family 4.0 by Hummingbird, LTD • FileSurf 7.0 by MDY Advanced Technologies, Inc.

39. R2M (Relativity Records Manager) Version 2.0by Relativity, Inc. • EDMS product that adds Records Management Functionality • R2M incorporates records management seamlessly into a document management environment. The environment is open structured and can be presented as defined by the document and records managers. • All documents, including records, must be brought into the document management environment prior to any other activity being taken upon them. As implemented, a record in R2M is simply a specially managed document. R2M extends the concept of the document lifecycle to include record dispositions.

40. eManage 2000 by ByteQuest Technologies, Inc. • Knowledge Management product that adds Records Management Functionality • eManage incorporates records management seamlessly into its knowledge management environment. The environment is presented as a file structure or file tree. The records manager and systems administrator work together to develop and implement a file plan as a branch or branches of the organization's knowledge file tree.

41. Integrated RMA Products

42. Integration of FileNET IDM Content Services 5.1.1 and ForeMost Enterprise 2.0 • FileNET/ForeMost is an integrated product that combines the document management capabilities of FileNET IDM Content Services with the records management capabilities of ForeMost Enterprise. ForeMost provides the records management functionality for the pairing and uses the FileNET repository for storing records filed from FileNET.

43. IBM e-Records Solution (IeRS) version 1.0by IBM Corporation • IBM’s IeRS is a combination of IBM’s Content Manager v7.1 and Tarian Software’s Tarian e-Records (TeR) v1.0. • IBM's Content Manager provides document management and workflow capabilities. It also provides the declare, search, retrieve functions, and records repository for this solution. • TeR v1.0 is a web-based RMA and provides the records management and access portions of the solution.

44. Work Manager/ForeMostby Eastman Software and TrueArc, Inc. • Integrated Product • Work Manager/ForeMost is an integrated product that combines the document management, imaging and workflow capabilities of the Work Manager Suite with the records management capabilities of ForeMost Enterprise. The result is a system that stores and manages both official records and their predecessor “draft” documents to provide appropriate control over the full lifecycle of the items, from origination to disposition.