Electronic records management

http://web.archive.org/web/20041224123926/http://xnet.rrc.mb.ca/recmgmt/chapter9.htm

Electronic records management

Issues 

• Up to 93% of an organization’s information is created digitally
• Many different types of electronic information
• Text, image, audio, video, e-mail, web pages, databases, etc.
• Email can be a big issue
• No one dominant program
• Different versions
• Many different file formats
• Rapid rate of change and obsolescence
• Compatibility, security, crashing, archival, consistency

Canadian legislation

• Personal Information Protection and Electronic Documents Act (PIPEDA)
• Electronic documents equivalent to paper with regards to privacy protection required
• CGSB 72.34
• Fisher, Paul. Electronic Records as Evidence: The Case For Canada’s New Standard. Information Management Journal; Mar/Apr 2004, Vol. 38, Issue 2, p39, 6p.
• Discusses the development of the Electronic Records as Documentary Evidence standard in Canada. Factors that contributed to the creation of a standard application to both electronic records and results of electronic data interchange by the Canadian General Standards Board (CGSB). Background on the structure and provisions of the standards; Predictions on the applications of the standard. 
• Available on EBSCOHost Academic Search Premier
• The Archives And Record Keeping Act S.M. 2001, c. 35
• “electronic” includes created, recorded, transmitted, or stored in digital or other intangible form by electronic, magnetic, optical or any similar means http://web2.gov.mb.ca/laws/statutes/2001/c03501e.php

Types of electronic records

• Electronic records contain machine-readable information consisting of:
• Minnesota State Archives. Electronic Records Management Guidelines. File Formats. http://www.mnhs.org/preserve/records/electronicrecords/erfformats.html
• Types of storage media
• Magnetic
• Magnetic disk
• Magnetic tape
• Digital audio tape (DAT)
• Videotape
• Optical
• Large storage capacity
• Random access technology means fast retrieval speed
• Compact Disk (CD)
• CD-ROM, CD-R, CD-RW
• WORM: Write-Once/Read Many times
• Info on a WORM disk can be read many times, but cannot be erased
• Erasable optical (EO)
• DVD
• DVD video, DVD-ROM, DVD-RAM, DVD+RW
• Optical cards
• Optical tape
• any information that can be stored on magnetic media can be stored on optical media
• Minnesota State Archives. Electronic Records Management Guidelines. Digital Media. http://www.mnhs.org/preserve/records/electronicrecords/erdigital.html 

Storage options

• Online
• Properly designed storage in your computer system may provide full access to appropriate users. Online access means that the record is accessible immediately through your network (e.g. on your network server or on your computer’s hard drive). This option maintains the greatest functionality.
• Nearline
• Nearline storage includes storage in a system that is not a direct part of your network, but that can be accessed through your network (e.g., an optical media jukebox). This option maintains a moderate amount of functionality.
• Offline
• Offline storage refers to storage on a system that is not accessible through your network (e.g. removable media such as magnetic tape). This option retains the least amount of functionality, while still maintaining records in an electronic format.
• Paper or microfilm
• Printing records onto archival-quality paper or outputting them to microform for storage may be acceptable as long as the complete records, including all components and metadata, is included.

http://www.mnhs.org/preserve/records/electronicrecords/erdigital.html#storage
Digital preservation techniques

• Computer museum approach
• Emulation
• Migration and conversion
• Most common technique

http://www.mnhs.org/preserve/records/electronicrecords/erpreserve.html#techniques
Long-term retention approaches

• Conversion
• When you convert a record, you change its file format. Often, conversion takes place to make the record software independent and in a standard or open format. For example, you can convert a record created in WordPerfect by saving it as a Rich Text Format (RTF) file or to Microsoft Word.
• Migration
• When you migrate a record, you move it to another computer platform, storage medium, or physical format. For example, when you migrate records, you may need to migrate them to another storage medium to ensure continued accessibility. For example, if you migrate records from magnetic tapes that deteriorate, you may need to migrate the records to a compact disk to ensure continued accessibility.

Care and maintenance

• Minnesota State Archives. Electronic Records Management Guidelines. Storage Facilities and Procedures. http://www.mnhs.org/preserve/records/electronicrecords/erstorage.html

Electronic records management programs

• Identify all electronic records
• Conduct an inventory and appraisal
• Develop the retention and disposition schedules
• Develop procedures for storage and retrieval
• Store inactive electronic records carefully
• Update the records manual

Manitoba Government records policies and guidelines

• Guideline on Retention and Disposal of E-mail Messages and Electronic Documents http://www.gov.mb.ca/chc/archives/gro/recordkeeping/faq.html#2c 
• Records Disposal http://www.gov.mb.ca/chc/archives/gro/recordkeeping/faq.html#5
• Minnesota State Archives. Electronic Records Management Guidelines. http://www.mnhs.org/preserve/records/electronicrecords/erguidelinestoc.html

Microfilm technology

Microfilm technology http://web.archive.org/web/20041224122839/http://xnet.rrc.mb.ca/recmgmt/chapter8.htm

Microfilm technology

Image technology

• The storage of documents or other data that includes text, graphic, tables, and pictures
• 3 Image Technologies
• Facsimile
• transmits information
• Storage and retrieval of images, text, graphics and pictures
• Optical Disk
• Micrographics

Microforms

• Any medium that contains miniature or “micro” images
• Microrecords – records stored on microforms
• Micrographics – procedures for creating, using, and storing microrecords
• Types
• Roll film
• most economical and frequently used
• Microfiche
• fiche with reduction ratios of 90X or greater known as ultra fiche
• Jackets
• Aperture cards
• Nonstandard microforms
• Computer input microform

(Microfiche)

(Aperture card)

 (Microjacket)

(Microfilm)

Microform procedures and equipment
Each step in using micro-records requires special procedures and equipment:

• Filming
• Coding
• Processing
• Inspecting
• Duplicating
• Reading

Filming

• Document pre parathion
• Remove all paperclips and staples
• Mend torn papers
• Attach small papers to standard size paper with transparent tape or rubber cement
• Remove unnecessary attachments, e.g. envelopes, routing slips, duplicate copies
• Camera film
• Standard camera film uses silver halide emulsion to capture detail (often called silver film)
• Image size
• Reduction ratio compares film image size to original document size
• Reduction ratio of 24x = image 1/24th size of original document
• Image orientation = positioning of images
• Cine, comic, duplex, duo, duplex/duo
• Types of cameras
• Rotary (high volume)
• Planetary (flatbed)
• Step & Repeat (flatbed with overhead)
• COM Recorder (records electronic from computer optical machine to microform)

Coding

• Microforms during filming may be coded/indexed for automated retrieval
• Flash Targets
• Divides roll into information batches
• Bar Coding
• Requires additional equipment and space
• Odometer Indexing
• Indicates distance of each image from beginning of roll
• Blip Coding
• Predominant method
• Place rectangle beneath each image to identify; must be indexed

Processing

• 3 types of processing
• Deep tank
• Roller transport
• Straight film path
• Reversal processing
• Positive/Negative Polarity
• Developed for use with COM (computer output microform)
• 4 factors that affect developing
• Temperature of the developer
• Time film is in the solution
• Condition of the developer
• Agitation of film
• The higher the temperature of the developer, the less time the film is required to be in the solution

Inspecting

• Light box
• Density
• Numeric obtained through light background
• Resolution
• Sharpness of the image

Duplicating

• Duplicating process
• Types of copy film
• Silver Print
• easy to use
• expensive
• Diazo film
• Vesicular film
• cheaper
• consider using if not for long-term use

Advantages of microforms

• Floor space savings
• Fewer storage cabinets = reduced equipment costs
• Improved file integrity
• Images cannot be separated or misplaced like sheets of paper can
• Improved productivity
• Fast retrieval from automated systems
• Vital archival records protection
• Low-cost reproduction and duplication
• Admissible (in most cases) as evidence in court

Limitations

• User resistance
• Cost of purchasing and operating
• Turn-around time need to produce micro-images
• Original records inaccessible during preparation and filming
• Impractical for records that are frequently modified

Future of microforms

• Microfilm takes up about 2% as much space as equivalent paper records
• Permanence of from 100 to 500 years
• Can be read with human eye; not totally dependent on specific hardware/software for access
• Legality is well established

Active records management

Active records management http://web.archive.org/web/20041224152322/http://xnet.rrc.mb.ca/recmgmt/chapter5.htm

Active records management

Active records facilities

• About 25% of all records are classified as active
• These records are used in daily operation of the organization and must be organized for rapid retrieval of information
• Fast turnaround time from request to retrieval of information met by having active records housed near people who need it

Distribution of records status

• 10% long term
• 25% active
• 30% inactive
• 35% useless
• 40% of an organization’s records classified as inactive (30% inactive + 10% long term which are usually inactive)

Types of active records storage systems

• Centralized
• Provides for the housing of all active records in one location within the organization
• Decentralized
• Provides for the housing of active records of each major department/office within that area
• Combination
• Allows many departments to maintain their own records under a centralized system of control

Centralized system

• Advantageous in terms of:
• Providing consistency in procedures
• Identifying responsibility and accountability
• Keeping related records together
• Training new clerical personnel
• Providing uniform service to all departments
• Minimizing duplicate records
• Providing better utilization of space, equipment and personnel
• Allowing greater security of records
• Providing one-stop retrieval of records
• Large organizations may find this system inefficient 
• Placing records in a location convenient to all departments virtually impossible
• More appropriate for smaller organizations

Decentralized system

• Provides immediate access for each department
• Managers may prefer because it gives them access and control over their own records
• Problems include:
• Lack of uniformity in total records system
• All related records not housed together
• Duplicated records
• Duplicate or underutilized equipment
• Lack of security

Combination system

• Combines decentralized files under centralized control
• Responsibility is given to Records Manager
• Typical records:
• Personnel and payroll
• Credit and financial and sales
• Uniform system of storage and retrieval
• Minimization of misfiles, lost records
• Minimization of duplicate records
• Provides for centralized purchasing, which results in better cost efficiency
• Facilitates records movement according to records retention and disposition schedules
• Provides the structure to assist managers in administering the records management program
• Problems of not having related records housed together; lack of flexibility resulting from uniform organization-wide procedures
• Combination system now chosen more often than other two
• In general, records storage system selected should be one that most closely fits the needs of the particular organization, its subunits and its personnel

Space planning

• Active records are located in prime office space so area must be planned for maximum efficiency at minimum cost
• Consideration must be given to weight of storage equipment and stress on floor
• Consideration must be given to the layout design of the storage units

Floor load capacity

• Floor load capacity = The weight of the records and equipment that a floor can safely accommodate
• Nonproductive weight: empty weight of equipment
• Productive weight: contents
• To determine floor load capacity, multiply pounds per square foot a floor can stand by square feet of available floor space
• Productive weight calculated as: records weight (capacity x record weight per filing inch) / hardware weight + record weight
• With floor load capacity and productive weight calculated quantity of equipment needed to house records can be determined

Design layout

• Choice of cabinets will depend on organizational needs, storage system, available storage space and floor load capacity
• Typical arrangements for decentralized system are Island, From Wall, Along Wall
• Guidelines for efficient layout include:
• Avoid opening cabinets into traffic isle
• For non traffic aisle allow four feet for each drawer opening and for one records clerk
• Allow four feet for each drawer opening and each records clerk where cabinets on each side of the aisle open facing each other
• Various arrangements for centralized system
• Aisle space
• 3’ minimum, 4’ if open into aisle
• 5.5’ for cabinet opening + passageway
• 8’ if cabinets open face to face and passageway is required
• Cross aisles every 25’ if rows are too long

Equipment selection criteria

• Ergonomic considerations
• Design, lighting, colour, acoustics, security, safety, accessibility
• Storage and retrieval requirements
• Space requirements
• Compare floor space ratio
• Floor space ratios represent the storage capacity per square foot of floor space occupied by the storage equipment
• Security requirements
• Equipment costs
• Operation costs
• Include costs of personnel to store and retrieve information, cost of compatible supplies, maintenance costs, cost of space to house equipment
• Number of people regularly accessing records
• Physical characteristics of records
• Equipment compatibility

Selection criteria for supplies

• Efficiency
• Special features e.g. preprinted folders for alphabetic, numeric or alphanumeric systems
• Colour coded folders, labels, etc.
• Quality
• Determined by weight or type of material used in construction
• Economy
• Purchasing cheapest item not always most economical move
• Environmental considerations
• Barriers to recycling
• Plastic strips, metal reinforcements, certain colours

Active file organization

• Active files in a manual filing system are normally stored in filing cabinets
• The type of filing cabinet chosen is important
• Lateral
• Require less aisle space (c. 13”) than vertical (c. 25”)
• Most new equipment purchases are lateral cabinets
• Vertical (conventional)
• Recommended for personal use, paper files in smaller work spaces
• Fire-Proof cabinets may be considered
• Certain components must be used to organize these filing cabinets
• Guides
• File folders
• Guides
• Heavy pressboard or cardboard used to separate the file drawer into sections, act as guideposts
• Primary
• Used to begin major divisions
• Special
• Highlight frequently used sections
• Tab
• A projection used to identify contents
• Caption
• Part of the tab that identifies range of records to be stored behind guide
• Label
• Self-adhesive strip affixed to tab of guide

File folders

• Containers used to store correspondence in the files
• General
• Used to store all documents in that division of the file for which there is no other folder to store the document
• Individual
• Used to store correspondence to and from or about one individual person or company
• Special
• Used to store correspondence concerning a special subject or topic

How long must you keep your business records?

How long must you keep your business records? by Dr. Mark Langemo http://web.archive.org/web/20041231224355/http://xnet.rrc.mb.ca/recmgmt/articles/chapter4-how-long.htm