structured approach to implementing information and records management (idrm) systems

8/14/2019 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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November 26, 2009 2

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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November 26, 2009 3

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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November 26, 2009 4

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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November 26, 2009 5

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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November 26, 2009 6

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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November 26, 2009 7

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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November 26, 2009 8

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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November 26, 2009 9

General IDRM Analysis and Design Methodology


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November 26, 2009 10

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

[email protected]

structured approach to implementing information and records management (idrm) systems

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