Indiana University Electronic Records Project
Indiana University Electronic Records Project
- PURPOSE AND GOALS OF PROJECT
The Indiana University Archives is requesting funding in the amount of $174,911 for a two-year project on electronic records management. The purpose of the project is to continue and expand upon the work undertaken in 1995-1997 on an NHPRC-funded electronic records management project designed to implement and test 1) the Functional Requirements for Evidence in Recordkeeping model developed by David Bearman, Richard Cox, and the project personnel associated with the University of Pittsburgh Electronic Records Project; and 2) a methodology for applying the Pitt model developed by IU Archives and Information Technology staffs. The project is both a research and progra m development project. As a research project, the primary goals are to address a host of issues that relate to the application of the methodology, to the implementation of recommended changes to systems, and ultimately to the overall effectiveness of th e strategy and its ability to produce desired results and effect positive change. As a program development project, the primary goal is to integrate the Pitt recordkeeping requirements and the IU methodology for applying them into the standard set of pro cedures undertaken by the institution whenever an information system is created or modified.
- SIGNIFICANCE AND RELATIONSHIP TO NHPRC GOALS AND OBJECTIVES
This project meets one of the three top-priority goals of the NHPRC Strategic Plan:
"The NHPRC will enable the nation’s archivists, records managers, and documentary editors to overcome the obstacles and take advantage of the opportunities posed by electronic technologies by continuing to provide leadership in funding research-an d-development on appraising, preserving, disseminating, providing access to important documentary sources in electronic form." Moreover, the project directly addresses the following issues identified by NHPRC in Research Issues in Electronic Reco rds: what functions and data are required to manage electronic records in accordance with archival requirements, what are the technological and economic implications of capturing and retaining records in electronic form, how can software-dependent da ta objects be retained, how can metadata systems support electronic records management, what archival requirements have been addressed in systems development projects and why, what policies best address archival concerns, what functions and activities sho uld be present in electronic records programs, and what incentives can contribute to creator and user support for electronic records management concerns?
- Plan of Work for Grant Period
There are five sets of activities on which project staff will be actively engaged.
Partner with Internal Audit to conduct audits of electronic systems - Months 1-24: This is one of the highest priority activities of the project; consequently, all project staff will be actively involved in audit reviews. The expectation is th at with three staff members working on analyzing information systems, project personnel will complete twenty-five to thirty reviews of major information systems or sub-systems during the course of the project. Activities to be undertaken as part of the a udit review team include: developing business process models, reviewing information systems and describing how the systems are presently managing the business records, evaluating the systems using the Pitt Requirements, developing recommendations for impr oving the system, identifying strategies for implementing the changes, and finally participating in monitoring and follow-up activities.
PeopleSoft Applications -Months 1-24: During the next five years, IU’s Student Information and Human Resources systems will be converted to PeopleSoft applications, and project staff will be part of the analysis and design team. The first obje ctive will be to create business process models and identify records. Once this information is gathered, project staff will undertake the process of incorporating the Functional Requirements and Metadata Specifications into the design of the system. Fin ally, project staff will work with the team to develop strategies for incorporating recordkeeping requirements into the Student Information and Human Resources systems.
Work with a University Process Modeling and Information System Review Team - Months 1-24: This initiative began to take shape because a few of the people involved in modeling business processes noted that there were several groups on campus wor king independently on this activity. As a consequence, a group of modelers and system analysts have begun talking about a plan to standardize these efforts. This review team is about more than process modeling, however. Once the models are created, mem bers of the team will begin analyzing and evaluating the information systems using the process models as the point of departure. This analysis will be conducted from a variety of different perspectives, including business reengineering, auditing the syst em, and a review of specific transactions. The Archives project staff’s contribution will be reviewing the system from a recordkeeping perspective.
Assisting in the Design and Implementation of a Campus-wide Document Management System – Months 1-16: For the past year, Archives staff have been part of a team to review and select sophisticated, enterprise-wide document management software. The major project objectives in this area will be to participate on the systems analysis and design teams. The main contributions will be to define recordkeeping requirements, particularly as they relate to the definition of metadata, and to identify str ategies for implementing these requirements.
Creation of an Electronic Records Policy and of Guidelines for Managing Electronic Records – Months 1-24:Project staff are convinced the time is right to seek approval of campus-wide record policies and guidelines. In the craftin g these documents, the Project Director will work closely with the Committee of Data Stewards. The Data Stewards, comprised of individuals who have management responsibilities for defined segments of the institutional data base, are responsible for recom mending policies and establishing procedures and guidelines for University-wide data and information administration activities. Once approved by the Data Stewards, the documents will be sent to the Committee on Institutional Data (CID). The CID is compr ised of senior university officials, typically at the dean and director level, who have planning and policy-level responsibilities for data and information within their functional area. Once the documents are approved by the CID, they become official uni versity policy.
4. PRODUCTS/PUBLICATIONS TO BE COMPLETED DURING GRANT PERIOD
The project will produce the following publications.
- White paper on the costs of applying the IU Methodology – Is the overall strategy cost effective?
- White paper on the costs of implementing the Functional Requirements and Metadata Specifications.
- White paper on the effectiveness of the Pitt Model and the IU Methodology for applying it – Does the overall strategy produce the results and products required to effect positive change?
- White paper on strategies for integrating this model and methodology into the standard set of procedures undertaken by the institution whenever an information system is created or modified.
- White paper on the question of whether a core set of functional requirements and metadata specifications can be identified.
- White paper on the how the various partnerships worked, i.e., what each partner can contribute, how each profits from the union, and which partnerships proved most beneficial.
- IU Electronic Records Policy Statement and Guidelines for Managing Electronic Records
- Report outlining the comments and analysis contributed by the Advisory Group at the initial and wrap-up meetings.
- Articles on the project submitted to professional journals at the project mid-point and after the completion of the project.
- KEY PERSONNEL
Project Director: Philip Bantin, Director of University Archives
201 Bryan Hall, 107 South Indiana Avenue, Indiana University,
Bloomington, IN 47405-7000
Telephone: (812) 855-5897; Fax: (812) 855-8104; email@example.com
40% commitment each year
Project Archivist: To Be Hired With NHPRC Funding
100% commitment each year
Advisory Group: Rick Barry, David Bearman, Gerry Bernbom, Richard Cox, Fynette Eaton,
Margaret Hedstrom, Greg Hunter, John McDonald, Helen Samuels, Lee
Stout, David Wallace
Copyright 1998, The Trustees of Indiana University