Building Recordkeeping Requirements into Your Information Technology Systems By

Rebecca Fitzgerald, CA

Gaithersburg, MD ARMA Chapter

October-November 2006

Volume 18, Number 2

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The ARMA Gaithers-burg Chapter is prepar-ing a series of meet-ings, panel discus-sions, and seminars focusing on the theme, Roadmap to Records and Information Man-agement.

Inside this issue:

Chapter Meeting 2

Chapter Leadership 3

Sites to Surf 4 Educational Opportu-nities

8

Member News 9 From the Pen 10 Vendor of the Year Contest

12

Upcoming Meetings 12

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This article is based on a Business Analysis pro-ject initiated at the National Archives and Re-cords Administration (NARA) in October 2005. The author wishes to acknowledge the significant contributions made by team members Rich No-ble, Robin Riat, and Cathy Westfeldt. All modern institutions create and receive re-cords every day, which they are required by law to maintain and manage. Many of these records are now electronic. So what happens when these institutions do not properly maintain and manage their records? There are real consequences, beginning with negative and hostile coverage from the news media, and extending to fines and prison terms. For example, thousands of pages of FBI investi-gation reports were not turned over to Timothy McVeigh’s lawyers before the trial due in part to antiquated computer systems and systemic infor-mation management problems that could not locate and retrieve the files, causing a last-minute delay in McVeigh’s execution. Native American tribes have filed a class action lawsuit against the Government, alleging that it has mis-managed, destroyed, and otherwise lost informa-tion on individual Indian trust accounts, depriving the plaintiffs of billions of dollars in royalties. In the private sector, Enron, Arthur Anderson, Mar-tha Stewart, and the parade of businesses and high-level officers in courts across the country testify to the importance of proper recordkeeping and compliance with laws. The tragic events on 9-11 demonstrated the importance of identifying vital records and planning for continuity of opera-tions in the event of a disaster or emergency. These lessons went unlearned, as seen in the response to Hurricane Katrina. What are some of the possible consequences of improper recordkeeping?

• lack of accountability

• inefficiency, a waste of time and money

• loss of history

• loss of reputation and respect

• prison and fines. There are many problems relating specifically to records maintained in electronic format, or prob-lems that become significant because of that format. One is decentralized records: With the advent of desktop computers and the loss of clerical staff, generally each employee is now responsible for managing his or her own records. As a conse-quence, records fill individual offices and com-puter hard drives, and no one is certain how to identify them, access them, share them, manage them, and dispose of them. They are not recog-nized as business assets of value to the entire enterprise, nor is it understood that their proper management will create new sources of informa-tion and knowledge. They are also a potential legal liability. Even when the recordkeeping copy is destroyed appropriately, copies could still exist in other files and on other hard drives, and will have to be produced in the event of a lawsuit. Rapid technological obsolescence of hardware and software is another problem. Significant technological changes occur approximately every 3 to 5 years, and 10 years is about the limit of accessibility unless records are migrated, and migration often entails some data loss. How do we maintain and access electronic data needed for longer periods, or permanently? There is an overwhelming volume of records and information that are not properly managed: It is very easy to make copies of everything, so we do. There is no guidance for setting up electronic files, what to keep, how long to keep it, where to file it, and how to delete or destroy or transfer it. There is difficulty in ensuring the authenticity, reliability, and integrity of electronic records: In many systems, it is very easy to change, add, or delete records without leaving any kind of audit trail; security precautions have to be built into electronic recordkeeping systems to provide an audit trail and ensure the reliability of records that have to be authentic.

Contributions or gifts to the Association of Records Management and Administrators, Inc. are not deductible as charitable contributions for federal income tax purposes.

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©1996 The Learning Company Inc. and its licensors.

ARMA Gaithersburg November 2006 Meeting Utilizing IT Stakeholders and Resources to Build a

Fully-Functional Records Program Curt Francisco, Appraisal Archivist

National Archives and Records Administration

Thursday, November 9, 2006 Location: Lone Star Steakhouse, 808 West Diamond Avenue, Gaithersburg, Md. 301-548-0867 Website: www.lonestarsteakhouse.com

Time: Networking – 6:00 PM Dinner – 6:30 PM Presentation – 7:30 PM Program: Building an effective records management program from the ground up can be a tre-mendous challenge. In order to rise to this challenge, records managers must understand the business processes of each unit within the organization, be able to recognize key staff members with a stake in managing records, and develop ways to incorporate these stakeholders into the recordkeeping process. They must also use available technological tools and resources to assist in this endeavor. Come and learn ways to incorporate people, processes, and technology into your records program. Our speaker was the Records Officer for the Joint Intelligence Center Pacific from 2002 to 2005 and has worked as an Appraisal Archivist for the National Archives and Records Administration since 2005. Cost: Online payment with credit card, available until reservation closing time: $35.00 www.armamar.org/gmd; payment at the door: cash or check only, $30.00 members, $35.00 non-members, $15 Students (Student ID required). Menu: Choose one of the following entrees: 6 oz. filet mignon; bourbon salmon; 12 oz. San Antonio sirloin; mesquite grilled pork chops; mesquite grilled shrimp; or fettuccini with choice of chicken, shrimp, or vegetables. Reservations: Please respond to your e-vite with menu selections by 5:00 PM on Monday, No-vember 6, 2006, or send an e-mail to gburgarma@yahoo.com. No shows and cancellations after 5:00 PM on Tuesday, November 7, 2006, will be billed. Directions: From points north: Take I-270 South to Exit 11, MD-124/Quince Orchard Road. At the end of the exit ramp, turn right on to Quince Orchard Road. Turn left on MD-117/West Dia-mond Avenue. Turn left at the first light to 808 West Diamond. From points south: Take I-270 North to Exit 10, MD-117. Turn right at end of ramp, then turn right at the first light to 808 West Diamond Avenue.

CHAPTER LEADERSHIP DIRECTORY

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President Connie Durkin 301-322-4094 cdurkin@metarchives.com

Vice President Al Minnick 301-215-8952 minnicka@hhmi.org

Chairman of the Board Peter Chiomenti 301-680-5031 chiomentip@gc.adventist.org

Secretary Peggy Sanders 301-496-2833 SandersP@od.nih.gov

Treasurer Carol Agayoff 301-444-8190 agayoffc@spectrum.mctec.com

Director of Membership Tod Chernikoff, CRM, NASD 240-386-5861 tchernikoff@hotmail.com

Director-at-Large Betsy Christie Christie_elizabeth@bah.com

Director of Programs Beth Canter, CRM 301-827-4605 canterbeth@yahoo.com

ICRM Liaison Susan Sallaway, CA, CRM 202-874-5076 susan.sallaway@occ.treas.gov

Newsletter Editor Rebecca Fitzgerald, CA 301-837-0409 rebecca.fitzgerald@nara.gov

Reservations gburgarma@yahoo.com

ARMA International 1-800-422-2762 hq@arma.org

Director of Communications Sherri McGaha Mcgaha.sherri@epa.gov

Director of Education Deborah Armentrout, CRM 301-837-1488 Deborah.armentrout@nara.gov

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“Foundations for a Successful Digital Preservation Program: Discussions From Digital Preservation in State Government: Best Practices Exchange 2006," RLG Diginews (06/15/06) Vol. 10, No. 3, by Christy E. Allen. A sharing of knowledge between traditionally autonomous institutions was facilitated by the two-day Digital Preservation in State Government: Best Practices Exchange 2006 hosted by the State Library of North Carolina in March. The exchange sessions were oriented around one of nine digital preservation aspects, including re-pository systems; identification, selection, and appraisal of digital assets; access; metadata; digital asset collection; organization; preser-vation; authentication; and resources and workflows. The sessions identified, as the key to a successful digital preservation effort, a solid foundation that must feature four critical components: stakeholder support and buy-in; immediately implemented "good enough" practices; collaborations and partnerships; and documentation for policies, procedures, and standards. Participants said legislative directives and education are the two most essential factors for gaining stakeholder support and buy-in, with emphasis on education's role in obtaining buy-in from the managers and IT personnel of libraries and archives. The importance of "good enough" digital preserva-tion practices implemented now was discussed by participants who said users must anticipate that new resources, technologies, and solutions will be deployed as they develop, and they identified flexibility, modularity, and interoperability as vital traits of such practices. Institutional collaborations and partnerships maximize a digital preservation program's effectiveness by allowing the sharing of responsi-bilities, resources, and results, and such cooperation is nurtured through attendance at national meetings. The last digital preservation foundation element, documentation, involves the establishment of preservation's institutional value through policies, the avoidance of semantic misunderstanding among stakeholders through clearly documented standards, and the minimization of the project's impact on resources and staff through simple and flexible management and preservation procedures. Developing policies, standards, and proce-dures in tandem with the foundation's other three elements was stressed as important: http://www.rlg.org/en/article0. "The Semantic Web Revisited, " IEEE Intelligent Systems (06/06) Vol. 21, No. 3, P. 96; by Nigel Shadbolt, Wendy Hall, and Tim Berners-Lee. The lack of large-scale, agent-based mediation might be construed as a failure of the Semantic Web concept, the authors argue that agents cannot thrive until standards are well entrenched, and progress in the development of Web standards for expressing shared meaning has been steady in the five years since the publication of the first Semantic Web article in Scientific American. The Semantic Web's semantic components are provided by ontologies, and for this to happen, practice communities must devise, manage, and en-dorse the ontologies. The effort that goes into developing and managing ontologies depends on whether the ontologies are deep or shal-low: Deep ontologies require a substantial effort, while shallow ontologies, which are composed of small numbers of unchanging terms used to organize very big data volumes, are simpler. Accommodating "the next wave of data ubiquity," as the authors put it, will consti-tute a major challenge, and the Semantic Web's success will depend on elements that were critical to the Web's success, social and design factors being just a few of these elements. Much of that success is associated with the ladder of authority, which the authors define as "the sequence of specifications (URI, HTTP, RDF, ontology and so on) and registers (URI scheme, MIME Internet content type, and so on), which provide a means for a construct such as an ontology to derive meaning from a URI." http://dsonline.computer.org/portal/cms_docs_dsonline/dsonline/2006/07/x3096.pdf. (NISO Newsline, August 2006) "DOIs, URLs, LoCKSS, and Missing Links," Information Today (08/01/06) Vol. 14, No. 7; by Nicholas Tomaiuol. Studies indicate that tracking down Internet citations has become a significant problem for researchers. Computer scientist Diomidis Spinellis, for instance, examined 4,224 URLs in 2,471 computer science articles from 1995 to 1996 and discovered that nearly half of the references could not be accessed within four years of the publication date. Links become inaccessible as time passes—a problem that is likely to grow as more teachers and students rely on Internet citations. Although some researchers may attempt to recover information using search en-gines or by surfing the Web, such an effort takes too much time. Moreover, the Internet Archive's Wayback Machine will not allow re-searchers to find every link that has been cited; and OpenURL—which uses metadata to retrieve copies of books and journals—needs a schema and mechanism for identifying open access Web documents. Like OpenURL, Digital Object Identifier (DOI) could provide help in the future, but experts believe creating the necessary metadata could be too costly. A system based on Stanford University's LoCKSS preservation utility holds some promise, as it caches information as it is published. However, LoCKSS is presently used for journals--not open access Web pages--and by librarians--not individuals: http://www.infotoday.com/searcher/jul06/index.shtml. (NISO Newsline, August 2006) The government plans to close 26 EPA regional technical libraries. This action, taken by the executive branch without congressional authority, has been publicly announced as a budgetary constraint. Internal documents reveal the administration’s concerns are to limit access to research materials on the environmental impact of administration actions, and to limit the EPA's enforcement division’s ability to prosecute corporate polluters. Information is available online at: http://www.opednews.com/articles/opedne_frank_j__060829 _bush_nixes_public_ac.htm. Now available from SAA: Photographs: Archival Care and Management (http://www.archivists.org/catalog/pubDetail.asp?objectID =1995) by Mary Lynn Ritzenthaler and Diane L. Vogt-O'Connor with Helena Zinkham, Brett Carnell, Kit A. Peterson; "...a superb manual for the preservation of our nation's photographic heritage at risk." (Debra Hess Norris, Chair and Professor, Art Conservation Department, University of Delaware), 550 pp., Product Code: 481, List: $84.95; SAA Member price: $59.95. Architectural Records: Managing Design and Construction Records (http://www.archivists.org/catalog/pubDetail.asp?objectID=1996 ) by Waverly B. Lowell and Tawny Ryan Nelb; "...an essential resource for anyone interested in or responsible for the care of architectural drawings." (Maygene Daniels, National Gallery of Art, Chief of Gallery Archives), 250 pp., Product Code: 482, List: $62.00 / SAA Member price: $45.00. Understanding Archives and Manuscripts (Archival Fundamentals Series II) (http://www.archivists.org/catalog/pubDetail.asp? objectID=1997 by James M.

Sites to Surf

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Ineffective records management processes: Records management provides the principles and practices that solve these problems, but in most organizations the records management function is marginalized and its tools and techniques are unknown to program managers and IT. Many organizations think of records management as managing only paper records, and that its main function is to transfer records to storage. Records managers are not consulted nor are they invited to the table when information systems are designed or updated, even when they possess the knowledge and skills to make the manage-ment of all records, including electronic records, simpler and less painful. One solution is to use Business Analysis (BA) to identify recordkeeping requirements for your lines of business, and then to incorporate these recordkeeping requirements in the design of all new information sys-tems, and into systems when they are upgraded or redesigned. According to Wikipedia, “Business Analysis is a structured methodol-ogy that is focused on completely understanding the customer's needs, identifying how best to meet those needs, and then ‘reinventing’ the stream of processes to meet those needs. Its pur-pose is to develop business process improvement (BPI) as a key strat-egy and a management tool, capable of supporting the organization's vision, mission, goals, and objectives, and to promote the use of tech-nology throughout the organization. Business analysis also helps an organization to improve the way in which it conducts its functions and activities in order to reduce overall costs, provide more efficient use of

Building Recordkeeping Requirements Continued from Page 1

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scarce resources, and better support its customers. It introduces the notion of process orientation, of concentrating on and rethink-ing end-to-end activities that create value for customers, while re-moving unnecessary non-value added work.” Thus, BA involves analyzing and mapping the business process, and identifying areas for improvement. BA occurs before or during the concept phase of the systems development life cycle (SDLC). Look-ing at the process from the perspective of recordkeeping does add some cost and time to the IT system design process, but this is not significant and can also help increase efficiency in the restructuring and streamlining of the work process. With records-aware BA, a work process is broken down into con-stituent tasks and subtasks. Records management staff then develop a set of specific questions about how and why each task is documented:

• Is a record created or changed?

• If so, who needs access to the record? What restrictions should apply?

• What should the record contain?

• How long should it be kept?

• Is the process governed by any laws, regulations, or profes-sional practices?

The results are a set of detailed, process-specific recordkeeping requirements, which are provided to the systems designers during the requirements-gathering and design stages of the SDLC. Analyz-ing the business process to account for records can help streamline work processes and therefore improve efficiency. If records are NOT created, then this step may not be necessary to the business process. After you have identified the records created during the work proc-ess and understand the functions they support, you can use this knowledge to identify the records management requirements that will be built into your information system during the SDLC. There-fore, using BA, records managers create a list of requirements that a system must meet in order to manage records. Records manag-ers then work with system owners or project managers to ensure that these requirements are included in the system requirements documentation and in the system design. New information systems are then certified against this list of requirements after the records manager verifies that the requirements are met in the system as built. As a result, all new systems are designed to serve as recordkeeping systems, and manage records as they create or receive them, so that your agency does not necessarily have to set up a separate system for recordkeeping. There are things you have to do to manage your records. You need up-to-date policies and procedures. You need to be sure that the records are identified, stored appropriately, and kept and managed for the right length of time. You can do this with a separate records management application (RMA), and many institutions do, but standalone records management systems take money, time, and personnel to implement and support, and they don’t always capture the records as they’re created – the most efficient time to start managing records. They can also require complicated and sophisti-cated retrofitting of systems already in place.

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When you build recordkeeping requirements right into your IT sys-tems, you save yourself time, expense, and effort down the road. You may not need to buy an expensive RMA and try to retrofit your systems. But if you do need to purchase an RMA, the hard work will already have been done, and your systems should integrate well with the new application. There are several proven tools and techniques to assist you in building recordkeeping into your electronic systems. Here are three BA tools that have been around for several years and have been used to incorporate recordkeeping requirements into the design of e-systems and in the improvement of business processes:

• Australian Standard AS 5090-2004, Work Process Analysis for Recordkeeping, http://www.archives.sa.gov.au/management/ standards.html

• Center for Technology in Government (CTG), Albany, NY, Practi-cal Tools for Electronic Records Management and Preserva-tion, http://www.ctg.albany.edu/publications/guides/practical _tools_for_ermp

• Minnesota State Archives, Trustworthy Information Systems (TIS) Handbook, http://www.mnhs.org/preserve/records/ tis/tis.html.

In addition, three Federal agencies have developed methods for incorporating recordkeeping requirements into the SDLC:

• FBI Electronic Recordkeeping Certification Manual, http://www.archives.gov/records-mgmt/toolkit/pdf/erkc-manual.pdf

• CIA Electronic Recordkeeping System Requirements, http://www.foia.cia.gov/txt/ERKS_Reqs_IMS_RevC.pdf

• US Patent and Trademark Office Electronic Records Manage-ment Technical Standard and Guideline, July 2002, http://www.uspto.gov/web/patents/ifw/documents/tsgsigned.doc.

Success depends on the creation of teams drawn from those who have the necessary specialized knowledge. This includes program managers, IT staff, general counsel, records managers, auditors, and users. These teams, in consultation with other stakeholders from your staff, can examine these or other processes and decide which components or solution will work best for your organization. NARA has also been developing guidance and tools relating to elec-tronic recordkeeping:

• Records Management Profile as part of the Federal Enterprise Architecture (FEA), to show Federal agencies how to identify records management requirements and link them to imple-menting technologies and business processes so that records management is embedded seamlessly into work processes, enterprise architecture, and information systems; http://www.archives.gov/records-mgmt/policy/rm-profile.html

• Records Management Service (RMS) Component, which is a piece of software that is embedded into new electronic infor-mation systems and works behind the scene to provide ser-vices that support the creation, management, transfer, and destruction of electronic records; http://www.archives. gov/era/rms/.

What are the benefits you will realize when you design records man-

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management into your electronic information systems?

• Records are now an asset. They can be reused and combined in ways that give greater value. Information can be readily located, because it is where it is supposed to be.

• You will be able to provide better customer service because you can respond to inquiries and requests more quickly and accu-rately.

• Records are now trustworthy. They are what they purport to be.

• You will see real cost savings. Control is established over the creation of new records. And when they are no longer needed, they are disposed of. This saves space, time, and money while improving access. The duplication of records is checked and eliminated. Electronic records that are no longer needed, but must be retained for legal or financial reasons, are transferred off-line to less costly storage. Computer hard drives and office space house active records only.

• You have also saved a significant amount of money by including records management requirements up front, because it is very costly trying to retrofit your program processes after they have been implemented.

• Your organization is now compliant with all laws and regulations. You and your staff are now protected from adverse findings. Vital records are identified and protected.

• Your organization’s accomplishments, activities, and decisions are documented, and history is preserved.

Conclusions:

• Electronic records can and must be managed.

• The best, most effective, and most cost-efficient way to manage electronic records is to use BA and to incorporate electronic re-cordkeeping requirements into your systems while they are being designed and developed.

• There are and will be tools and guidance to assist you.

• You should employ risk analysis to identify mission-critical, high-risk processes. These are the systems to focus on first. You can also incorporate the tools of cost-benefit analysis.

• A team approach is essential. Organizations that have success-fully implemented electronic recordkeeping systems have all re-lied on multi-disciplinary teams composed of program managers, IT staff, general counsel, records managers, auditors, and users. Bringing the records manager to the table when new systems are designed or older systems are upgraded makes compliance, management, and protection and preservation of the data much simpler in the long run.

• Training is needed for all staff. This is new to everyone. Very few staff members have experience with successful implementations of electronic recordkeeping systems. Records managers will have to learn new skills and acquire new knowledge. Records management training is now necessary for nearly everyone. With a computer on every desk, everyone is now a records manager, and will require training in records management basics as well as training in how to manage electronic records.

Rebecca Fitzgerald, CA, is an appraisal archivist at the National Ar-chives and Records Administration, and Newsletter Editor of the Gaithersburg ARMA Chapter.

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O'Toole and Richard J. Cox; "This thoroughly updated version of the 1990 edition is not only the best short introduction to archives for stu-dents, new archivists, and anyone interested in archiving, but also provides the experienced archivist an invaluable summary analysis of the field's burgeoning literature and increasingly complex issues." (Tom Nesmith, Archival Studies Program, Department of History, University of Manitoba, Canada), 255 pp., Product Code: 483, List: $49.00 / SAA Member price: $35.00. Archives: Recordkeeping In Society (http://www.archivists.org/catalog/pubDetail.asp?objectID=2005) edited by Sue McKemmish, Michael Piggott, Barbara Reed, Frank Up-ward; explores the role of recordkeeping in various cultural, organizational, and historical contexts. Themes address archives as a web of recorded information (i.e., new information technologies have presented dilemmas, but also potentialities for managing the interconnected-ness of archives); and the relationship between evidence and memory in archives and in archival discourse. It also explores recordkeeping and accountability, memory, societal power and juridical power, along with an examination of issues raised by globalization and internation-alization, 354 pp., Product Code: 486, List: $60.00 / SAA Member price: $48.00. To order these titles, or browse other archives titles, visit www.archivists.org/catalog. Reclaiming Pieces of Camelot: How NARA and the JFK Library Recovered Missing Kennedy Documents and Artifacts by James M. Roth, Pro-logue, Summer 2006, Vol. 38, No. 2: http://www.archives.gov/publications/prologue/2006/summer/camelot.html. Belgian Authorities Destroy Holocaust Records by Paul Belien, created 2006-08-31; Published in The Brussels Journal (http://www.brusselsjournal.com): The Belgian authorities have destroyed archives and records relating to the persecution and deportation of Jews in Belgium in the 1930s and 1940s. Some of this happened as recently as the late 1990s. This was revealed during hearings in the Belgian Senate last Spring. Though the Senate report dates from 4 May the Belgian press has not yet mentioned the affair. [update 3 Sept.: The Brussels Dutch-language newspaper De Morgen published an article on page 6 of its 14 Dec. 2005 edition, under the title: Archives about Persecution of Jews were Intentionally Destroyed] The Senate report says that “documents about the period 1930-1950 have been destroyed on a massive scale.” http://www.brusselsjournal.com/node/1287. “Setting Up a Compliant Records Management Program: Where Do You Start?” by Jeffrey D. Bridges on Friday, September 08, 2006: In today’s information-rich environment, keeping track of paper and electronic records is fraught with risk. It’s risky because the failure to lo-cate and produce records can result in decreased productivity, lost business, heavy fines, lawsuits and, worse, jail time for some offenders: http://www.techlinks.net/CommunityPublishing/tabid/92/articleType/ArticleView/articleId/3648/Setting-Up-a-Compliant-Records-Management-Program-Where-Do-You-Start.aspx. OMB Publishes High-Risk List for IT Despite Misgivings; GOVEXEC.com; September 21, 2006; by Daniel Pulliam: http://www.govexec.com/dailyfed/0906/092106p1.htm. The National Archives and Records Administration’s Electronic Records Archives (ERA) is on the watch list. The Legal Technology Bulletin offers three white papers of interest to records managers: No One Is Immune: E-Discovery Challenges Organi-zations in Every Industry, Kahn Consulting, Inc.: As companies continue to use tools like e-mail and instant messaging to conduct business, as new technologies like blogging find their way into corporate culture, businesses should consider the legal impact of these technologies on their organizations; Records Management A to Z: From Compliance Issues to Best Practices, International Legal Technology Association: This white paper explores a variety of topics targeted at records management professionals; Mail Storage Management: How to Effectively Manage the Growing Volume of E-Mail to Reduce Your IT Costs, CA: Messaging is the most persuasive technology in use today. The inflation of e-mail traffic volume and size, the growth of e-mail mailboxes and the surge in instant messaging usage has propelled the demand to quell rising storage costs, as well as provide the capability to access these corporate assets. These and other white papers are available at: http://www.law.com/jsp/legaltechnology/whitepapers.jsp. Please note: you must register. "Moving Towards Shareable Metadata”: First Monday (08/06) Vol. 11, No. 8, by Sarah L. Shreeves, Jenn Riley, and Liz Milewicz. As search engines such as Google and Yahoo become increasingly adept at mining data from deep within institutional repositories, and the Open Ar-chives Initiative data provider makes metadata readily available for the searching, cultural institutions are seeing their metadata migrate steadily away from its original context. The evolution of digital libraries over the past six years has had a strong focus on making metadata available and aggregating it from a diverse group of providers with several goals in mind, including "one-stop" search and retrieval, collecting materials of similar formats, and providing a group of focused services for targeted audiences. The process of pooling together metadata is facilitated by encoding techniques such as Dublin Core and protocols such as the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH). Current metadata aggregations still suffer from a lack of consistency, too much information, and the absence of contextual infor-mation. Shareable, interoperable metadata is the key to making these aggregations useful. For metadata to be truly shareable it must be adaptable, meaning that it can change depending on its audience or context. Shareable metadata would ideally be both machine proc-essable and human understandable, and would also support search interoperability. Quality metadata describes content that is coherent, consistent, and optimized for sharing, in addition to providing appropriate context. But the most important function of metadata is to ensure that the content of the records that it describes is searchable. Finally, it is critical that the metadata conforms to recognized standards. Though the roadmap to shareable metadata may seem clear enough, implementation is fraught with obstacles. Larger, well-established institutions already have systems in place that would require significant effort to overhaul, while smaller institutions may not have the tech-nical expertise to implement technical standards such as XML: http://www.firstmonday.org/issues/issue11_8/shreeves/index.html. (NISO Newsline, September 2006)

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Educational Opportunities SOLINET, Inc., the Southeastern Library Network, presents the following classes: DISASTER PREPAREDNESS, Tuesday December 12, 2006, at the Fox Theatre, Atlanta, GA, 9 am to 4 pm, $50.00 for SOLINET members and non-members, for more information, see http://tinyurl.com/b3zlv; and INTRODUCTION TO PRESERVATION AND COLLECTIONS CARE, Wednesday, November 15, 2006, at George Mason University, Fairfax, VA, 9 am to 4 pm, $145.00 for SOLINET members and $185.00 for non-members (early bird discounts and late fees apply), for more information, see http://tinyurl.com/na5lo. Developed Electronics Records Management (ERM) Practitioner, Specialist, and Master Certificate Workshops: In conjunction with AIIM (the Enterprise Content Management Association), IMERGE Consulting, Inc. (www.imergeconsult.com) provides live classroom workshops for AIIM's Certificate programs in electronic records management (ERM). Only IMERGE is licensed to teach the live AIIM ERM certificate work-shops across North America. AIIM developed the ERM programs in response to worldwide demand for help in resolving risks related to re-cords management and compliance. They are based on global best practices among AIIM's 50,000 members. These live classroom work-shops include: ERM Practitioner (2 Days): Covers RM concepts, lifecycle of a record, classification schemes, controls and security, retention and disposal, and metadata. After successful test completion participants receive an ERM Practitioner (ermP) Certificate (November 13-14: Chicago, IL; December 11-12: Houston, TX). ERM Specialist (2 Days): Covers global best practices to implement ERM, such as project plan-ning, defining business requirements, developing the business case and implementation plan including change management. This leads to an ERM Specialist (ermS) Certificate. ERM Master Certificate Program (4 Days instead of 5 as of October 1, 2006): Includes the Practitioner workshop, and adds real-world experience through the use of case studies. After completion of the Master Program, exam and case study approval, participants receive the ERM Master (ermM) Certificate. Note: Effective October 1, 2006 the Specialist ermS will no longer be of-fered during the four-day course, but will be offered as a stand-alone two-day live workshop as well as online. The ERM Master Certificate is available only through this four-day live classroom program (November 13-17: Chicago, IL; December 11-14: Houston, TX). AIIM offers the Practitioner and Specialist Certificate workshops online. Independent studies show that interactive classes best promote learning and reten-tion, and enable students to best focus on the materials. Workshop students additionally benefit from interaction with fellow students, and from instructors who have real-world experience. Students taking the live classroom workshops will have access to applicable online materi-als. For more information and to register go to http://www.imergeconsult.com/, http://www.imergeconsult.com/Documents/ERMECM%20Brochure%20082306.pdf, or call IMERGE Consulting at 815-398-0492. IMERGE Consulting, Inc. (www.imergeconsult.com) introduces three new workshops focusing on advanced electronic records management concepts. These workshops are based on standards and industry best practices and are focused on providing actionable, real-world informa-tion on managing electronic records and email effectively. Email Management for the Organization: Covers email policies, email messages as records, effective email procedures and training, discovery issues and solutions, backups vs. long-term preservation, and processes and technologies for effectively managing email as organization assets, to be held at 500 East Broad Street, Richmond, VA, Nov. 6, 2006, 8:30 - 4:00, $695. Email Management for the Desktop: Covers email from the individual's perspective, including classifying messages, managing attachments, personal folders, storing and managing email effectively, web-based email, and email archiving, to be held at 500 East Broad Street, Richmond, VA, Nov. 7, 2006, 8:30 - 4:00, $695. Take both Email Management Courses and pay only $1295. Advanced Topics in ERM: Covers the unique aspects of managing electronic records, including inventorying electronic records, managing electronic records with-out an ERMS, retention and disposition, selecting and implementing an ERMS, and collaborative tools, to be held at 500 East Broad Street, Richmond, VA, Nov. 8, 2006, 8:30 - 4:00, $695. The workshop fees include breakfast and lunch, the training materials, a resource CD, and access to additional materials and to audit the course for 12 months at no additional charge. Attendees will also receive copies of the books upon publication. AIIM, ARMA, TAWPI, and Xplor members can save an addition $100 per workshop. These workshops will be taught by Jesse Wilkins, CDIA+, edp, LIT/ERM, ICP, ERMM, ECMS, and are based on two forthcoming books scheduled for release in 2007. Lectures will be augmented by group activities and exercises. Attendees will also receive a number of checklists, job aids, sample policies, and sup-porting materials. These workshops will also be credited towards an advanced certificate in electronic records management to be an-nounced in 2007. For more information and to register contact IMERGE Consulting at jesse.wilkins@imergeconsult.com or 303-574-1455. IMERGE provides management and technology consulting services focusing on records management, electronic content management, busi-ness process improvement, document and data capture, collaboration, and compliance advisory services. Information Capture Professional (ICP) Preparation Workshop in Palm Beach Gardens, FL (Prior to TAWPI-AIIM Capture Conference 2006): December 6, 2006, 8:30 am - 4:00 pm, PGA Resort, 400 Avenue of Champions, Palm Beach Gardens, FL This one-day workshop is compre-hensive and highly interactive to help you to better understand technology, applications and operational processes in the areas of pay-ment/remittance processing, data capture, imaging operations, and forms processing. Successful ICP students must absorb a substantial amount of recommended reading before the workshop. IMERGE’s workshops are a key stage in preparation, helping to fill gaps in under-standing and guiding your preparation for the exam. At a minimum it is important to skim much of the material, especially focusing on sec-tions that cover material unfamiliar to you. For Registration Information, visit http://www.imergeconsult.com/icp.html. The next ICP test date is December 8, 2006 during the TAWPI-AIIM Capture Conference in Palm Beach Gardens, Florida.

Attendees at the September 14 chapter meet-ing held at Golden Bull Grand Café in Gaithers-burg, featuring Elizabeth Canter, CRM, speak-ing on “Waving Your Magic Wand and Building

a Records Program”: Carol Agayoff Deloris Bailey Alan Bock Earl Brown Scott Brown Elizabeth Canter Tod Chernikoff Peter Chiomenti Betsy Christie Connie Durkin Payment for meetings by credit card is now available to both members and non-members at a cost of $35. To use this payment option, visit www.armamar.org/gmd. We have also introduced a special student rate for meetings. With a valid student ID, students may attend the monthly dinner meetings at a reduced rate of $15. For more informa-tion, visit http://www.armamar.org/gmd/membership. htm#student.

Member News

Page 9 Volume 18, Number 2

Welcome to new members: John Hoppe, Rick Swink, Mary Walker!

Gaithersburg Chapter Records Project On October 4, members of the Gaithersburg chapter met at Spec-trum International in Germantown to begin the process of organiz-ing the chapter’s archives. The project was coordinated by Peggy Sanders, chapter secretary. The group sorted through an assort-ment of papers dating back to the founding of the chapter. The pa-pers were organized into series based on the ARMA chapter reten-tion schedule, and Al Minnick entered them into a computerized index. Pizza and soft drinks provided the fuel for this important ef-fort. Al’s son Casey was called upon to take candid photos of the event. While the project was too large to complete in a single night, the group plans to meet again to continue their work. Any chapter members who would like to join the crew and help preserve the history of the chapter are welcome to participate in the next ses-sion, which will be announced as soon as the date is set. Contact Peggy Sanders at SandersP@OD.NIH.GOV for more information. Thanks to all of those who came out to help with the project: Peggy Sanders, Connie Durkin, Peter Chiomenti, Carol Agayoff, Nancy Hubbs, Beth Canter, Al Minnick, Betsy Christie.

Records managers doing records management. The Education and Records Management Promotion Fund: The Education Committee is dedicated to the professional development of our members. As part of that effort, the chapter offers members, non-members, and students the opportunity to apply for awards to further their education in the area of records and information man-agement:

• 1 registration fee for the annual conference of ARMA Interna-tional, plus $250

• 4 $100 shopping sprees from ARMA Bookstore catalog

• 2 free 1 year passes to the chapter meetings

• 2 online courses or web seminars from ARMA or other accred-ited institution (not to exceed $100).

If you have any news to share about personal or professional achievements, or would like to write an article for the newsletter, please contact Newsletter Editor Rebecca Fitzgerald at rebecca.fitzgerald@nara.gov. If you would like to speak or give a presentation at a chapter meeting, please contact Pro-gram Director Beth Canter at canterbeth@yahoo.com.

Nancy Hubbs David King Al Minnick Joe Quill Peggy Sanders Norma Shaffer Rick Swink Jim Thomas Marvin Thomas Tom Tokoli

From the Pen...Connie Durkin, Chapter President

Page 10 New Images

As the weather begins to cool and the planning for 2007 begins to heat up during this last quarter of 2006, it seems natural, if not prudent, to pursue opportunities for involvement with our peers in records manage-ment. By the time you read this, you or some of your associates will have re-turned from the ARMA Conference in San Antonio. I’m hoping that eve-ryone kept their eyes and ears open for any innovations or news that they can share within our community. We all want to be up-to-date on the latest technologies, emerging trends, and best practices. As profes-sional records managers we should lead the way in making sure that everyone in our organization, including those from IT and Legal, is work-ing with us to manage information consistently and effectively. Attend-ing conferences and classes (and taking advantage of our Education Awards) and networking with our peers are excellent ways to achieve credibility and cooperation. I strongly encourage you all to participate in our meetings, to share your knowledge and experience, and to encour-age others, including those IT and Legal folks, to join us. Please put April 18th on your calendars for the Spring Seminar. This year’s speaker will be David Stephens presenting on the 10 Biggest Issues in Records Management Today. And, again, do not miss out on the Education Awards offered by the Education Committee. See the chapter website for more information. I’m really hoping we hand out every award available at our next year-end banquet. Ya gotta play to win! Send in your applications! As always, we welcome your ideas and your participation. We have a lot of exciting and informative meetings planned for the months ahead and I sure hope to see you at the next one!

Page 11 Volume 18, Number 2

Meeting Schedule, 2006 – 2007

Thursday, November 9, 2006

Wednesday, December 13, 2006 Wednesday, January 10, 2007 Thursday, February 15, 2007 Wednesday, March 14, 2007

Wednesday, April 18, 2007 (Seminar, subject to change)

Wednesday, May 9, 2007 Thursday, June 14, 2007 (Banquet)

:

ARMA Gaithersburg 2006-2007 Vendor of the Year Scorecard: (Point totals as of October 11, 2006)

ArchivesOne: 5 Databank IMX: 5

ECS: 5 Infocurrent: 5

Iron Mountain: 5 Kruysman-Redweld: 5

Labat-Anderson: 5 Metropolitan Archives: 15

NetSmith: 5 Office Archives: 5

The Paige Company: 5 TAB Products: 10 Tower Software: 5

Zylab: 5

Complete details about the Vendor of the Year Program are avail-able at www.armamar.org/gmd. We would like to thank the listed above for their support and we applaud them all as they compete for this year’s award. They are already off to a good start—don’t let your company be left behind! .

We’re on the web!

http://www.armamar.org/gmd

STAMP

HERE

To:

Gaithersburg, MD ARMA Chapter

P.O. Box 7512 Gaithersburg, MD 20898-7512

Email:gburgarma@yahoo.com

Records, Information and Knowledge Management Professionals