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Managing Records in 21st Century
Stories from the World Bank Group
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Challenges & Solutions
• Documents includes a wider range of content types - documents & reports, publications, communications, people & communities, knowledge, services,
• Documents may or may not be a Bank record - records derive from & are defined in association with Bank business processes
• Wide range of systems used to create & manage documents, including traditional ‘document management’ systems and new content management systems, user-created databases, web sites
• Records management functions are not programmed into all of the systems that manage documents
• Records management systems do not & cannot contain all records - needs to be some decentralized records management functionality in document management systems
• Integration issues at every point
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Content Types - Challenge
• Bank records as defined in a general records schedule cover all of the Bank’s business processes
• Bank records may take the form of: – ‘documents’ (program files, project files, lending records,
investment records, etc.), – publications (monographs, series & serials)– data (data sets, data models, statistical reports, ...)– communications (news, press releases, speeches, ...)– knowledge (discussions, collaborative spaces, Q&A sources,
FAQs, training materials, stories, lessons learned, best practices)
– services (referral services, procurement, translation, ...)– people & communities (experts, staff profiles, organizational
affiliations & partnerships, ....)– collections (databases, web sites, container files,....)
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Content Types - Challenge
• These types of records are not created in a single document management system
• They are created in xx’s of systems• Each system has its own business processes & its own business-
related metadata• Challenge is to:
– identify & capture all of the Bank’s records in each of these systems
– ensure that the coverage of the records retention & dispositioning schedules is complete
– ensure that there is a plan in place to preserve the records either in source system or in the centralized archiving system
• Current task highlights gaps in this area - working on designing a system to implement the Bank’s Information Disclosure policy - challenge is to ‘find’ the records that the Board has decided can be disclosed
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Content Type Solution
• Bank Standard definitions of content types - superclass of types that maps all individual document types used in source systems
• Bank Standard Metadata attributes - function as a superclass of attributes to which source system metadata is mapped
• Four types of metadata attributes - identification/distinction, search/browse, use management, compliant document management
• Metadata Warehouse - thin layer of metadata extracted from source systems
• Serves as primary access point for:– Whole Bank search– information disclosure to world– triggering actions across source systems
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Document Management Challenge
• Bank’s document management systems include:– IRIS (mix new & traditional document management)– IRAMS (traditional archive system)– Lotus Notes email & collaborative workspaces (new)– Websphere/Vignette content management system (new)– Access databases & Notes project libraries (new)– SAP Financial System, Business Warehouse data cubes (new)– Statistical databases (new)– Loan accounting system (new)– Legal department’s databases (new)– Network directories & personal workstation directories (new)– Procurement ordering systems (new)– Translation systems (new)
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Document Management - Challenge
• Each system has its own:– philosphy regarding content management– types of metadata different metadata management tools– content management capabilities– access methods
• Need to be able to define fundamental document management capabilities to ensure that they are available in all source systems
• Current standards pertain primarily to traditional print content - final versions
• Challenge is to apply document management principles to all of these systems
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Document Management Solution
• Integrate the functionality with as little impact as possible to staff - simply unrealistic to expect that all 11,xxx Bank staff will become document & records managers
• Ensure that Bank Standard Metadata for identification/distinction, use management, & compliant document management are implemented in some form in all source systems
• Harmonize variations in document management approaches at the Metadata Warehouse level - harmonization of values across systems, across time
• Implement centralized good Data Governance practices - making core metadata values available for download & use by any source system
• Disaggregate metadata & content - data structures used to describe file rooms represented as metadata
• Complex file level relationships should be maintained as reference structures
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Records Management Challenge
• Everyone who creates content that is considered a Bank record now needs to be aware of that fact - regardless of whether its a web page, a print memo or a formal email communication to a Bank client country
• Systems ‘expire’ content periodically - content is lost if the retention policies are not engineered into the functions when the systems are implemented
• So much content is created electronically - system managers will tend to ‘flush’ content automatically just to manage storage space
• Only way to prevent loss of institutional records is to make an attempt to define records upon creation, rather than at the time of ‘disposal’
• Series need to be defined in a way that facilitates application when a document is created - by the time the retention timeline is triggered, the content could be long gone!!
• Need to re-examine our approach to defining record series
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Records Management Solution
• Programmatic approach to defining records at the time they are created in their source systems
– business rules engine created outside of the source systems but interacting with source systems
– business rules triggered by -- content type, originating unit, business process
• Highlights need for an organization wide business function/process/task taxonomy
• Err on the side of capturing more rather than less• Appraisal takes a different form when records are identified
upon creation rather than upon appraisal
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Records Storage Challenge
• Peter Van Garderen’s paper describes the challenges & our proposed solution
• Moving towards a centrally audited and managed solution, if not a single source capture and storage solution
• Source systems will take on responsibility for performing records management & preservation functions
• Records management systems have to have the functional capabilities of other source systems because we expect to continue to access the metadata & the content
• No longer just storage systems - remain access systems
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Bank’s Proposed Solution
• Metadata as ‘middleware’ for managing the points of integration
• Metadata warehouse as– high level metadata management tool– Foundation for deep search– Supports content management functions such as
retentioning & dispositioning, disclosure decision recording & discovery, harmonization of data values
• Design sources for Bank standard metadata– GILS, Dublin Core, ISAD(G), PROV, TEI, EAD,
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Purpose of Bank Metadata
Agent Country Authorized By
Record Identifier
Title Region Rights Management
Disposal Status
Date Abstract/ Summary
Access Rights
Disposal Review Date
Format Keywords Location Management History
Publisher Subject- Sector- Theme- Topic
Use History Retention Schedule/Mandate
Language Business Function
Disclosure Status
Preservation History
Version Aggregation Level
Series Name & Series #
Relation
Content Type
Identification/ Distinction
Search & Browse
Use ManagementCompliant Document Management
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Big Picture
Warehouse of Core Metadata
JOLIS IRIS SAPLotus Notes
WebContentMgmt.System
PeopleSoft
System
Office of
PublisherCatalog
ISG ServiceCatalog
GeneralServices
Dept.Catalog
Automated Concept Extraction, Categorization & Summarization Tools
WBG ThesaurusPortal Profiling Tools & APIs Search Engine
IRAMS