CRM Prep Workshop Part V

Facilities, Equipment, Supplies & Technology

CRM Exam – Part V

• Introduction

• Summary of areas covered

• Detailed area-by-area discussion

• Additional resources

Eight Distinct Areas of Coverage

• Micrographics• Reprographics• Imaging Systems• Systems• Records Creation• Data Management• Data/Systems Disposition• Preservation, Recovery and Destruction

Techniques

Micrographics

• Miniaturized photographic reproductions

• Different types of cameras, film available

• Film has different life expectancies based on base, emulsion, proper storage

• Different form factors available including microfilm, microfiche

Reprographics

• Reproduction of materials, typically to paper

• Management of reproductions

• True copies and convenience copies

• Cost!

Imaging Systems

• Conversion of paper and/or film to digital

• Includes preparation, capture, quality control, and indexing

• Consists of hardware (scanner, storage device(s)) and software (images, indexes, database)

Systems

• RM is a business discipline – more than just hardware and software

• Systems and process analysis

• Requirements definition

• Roles and responsibilities

• Project management

• Implementation and follow-up

Records Creation

• Records come in a variety of media and formats

• Records stored in a variety of systems

• Records can be classified and indexed manually or using software

• Metadata and quality controls are vital

Data Management

• RM must understand how systems are designed and managed

• Requires some understanding of telecommunications, networking, storage, security, and other IT concepts

• RM must work with IT to set up appropriate storage methodologies and audit effectiveness of program

Data/Systems Disposition

• RM can and should influence retention and destruction of electronic information

• Software available to manage physical and electronic records

• Difficult to disposition systems effectively

Preservation, Recovery and Destruction

• Special steps required to keep records for long periods

• Environmental considerations

• Issues particular to electronic records

• Disaster recovery plan must address all records

• Different destruction techniques available for different formats, media

A Note on Standards

• Formal standards– Rigorous standards process– XML, ISO 15489, ANSI/ARMA standards

• Informal standards– Market-driven– PDF, Microsoft Office

• Why standards?

Micrographics

• Standards

• Equipment and supplies

• Methods and systems

• Quality controls

• Storage

Standards

• Numerous standards available through AIIM, ANSI, NISO, ISO– Filming– Cameras and readers– Jackets and aperture cards– Quality control and inspection for deterioration– Exhaustive list at http://www.microfilm.net.au/?

microfilm_standards

• Film-based Imaging Association:http://www.aiim.org/fbia

Equipment and Supplies

• Cameras– Planetary, rotary, scanner

• Film technologies– Silver halide, diazo, vesicular

• Film formats– 16mm, 35mm, microfiche– Aperture cards– Jacketed microfilm

Equipment and Supplies

• Readers– Reader vs. reader/printers– Magnification: full, partial, oversize

• Indexing and searching– Computer-assisted retrieval (CAR)

• Computer output to microfiche (COM)

• Processors and development

Methods and Systems

• Indexing methods– Blips– Sequential numbering and odometers– Microfiche indexes– Barcodes

• Size and orientation

Quality Controls

• If users can’t read the images, they won’t use them!

• Start with high-quality originals

• Test for density – D-Min and D-Max

• Film development process and QC

• Methylene Blue test (ISO 18917)

Storage

• Life expectancy (LE)

• Storage containers

• Environmental considerations– Light– Temperature– Humidity– Other environmental contaminants

Reprographics

• Standards

• Selection Criteria

• Printers and duplicators

• Copiers

• Computerized reprographics

Standards

• Copier/reprographic equipment

• Industry guidelines– Acceptable usage– Quality– Reproduction management

Selection Criteria

• Copying requirements

• Cost justification analysis

• Vendor selection criteria– In-house vs. outsource– Reliability vs. price vs. quality

Printers and Duplicators

• Ink-jet

• Laser

• Solid-ink

• Dye-sublimation

• Special-purpose/deprecated:– Impact/dot-matrix– Thermal printers– Daisy-wheel

Copiers

• Personal, convenience, production

• Copy center

• Specialty copiers– Blueline– Diazo– Oversize

Computerized Reprographics

• Phototypesetting

• Digitizing

• Multi-function devices– Scan, copy– Fax, email, print, send to network location– Lightweight indexing

• Microfilm scanners

Imaging Systems

• Standards

• Selection criteria

• Media

• Recording and processing

• Drives and peripherals

• Storage devices

Standards

• Numerous standards for image formats– TIFF, PDF, JPEG, GIF

• Some standards for media

• Technology changes rapidly

• Digital preservation a major issue

Selection Criteria

• Requirements for system– Imaging, workflow/BPM, document

management, content management, etc.

• Desktop vs. client/server applications

• Appropriate scanners, formats and storage media based on requirements

• Records management

Media

• Optical disks– CD, DVD, magneto-optical, WORM, other– Sizes, speeds, capacities– Write-once vs. rewritable

• Selecting the right media type

Recording and Processing

• Scanners– Flatbed, sheet feed, overhead– Simplex vs. duplex, dropout colors– Speeds and ratings

• Image processing techniques

Recording and Processing

• Optical recording processes

• Hybrid systems– Digital archival writers– Aperture card scanning– COLD/ERM

Drives and Peripherals

• Magnetic vs. optical drives

• Monitors and image readability– Resolution and refresh rate– Size and flip speed

• Output options– Fax– Email– Paper/film

Storage Devices

• Online vs. near-line vs. offline storage

• Libraries

• How to identify storage requirements

Systems

• Basic concepts

• Organizing

• Directing

• Controlling

Basic Concepts

• Planning

• Standards

• Business rules and workflow

• Evaluation of vendors

• Implementation

• Administration

Organizing

• Collaboration with IT, business, legal

• Address customer needs through analysis and requirements definition

• Identify roles and responsibilities

• Make the business case for funding

Directing

• Train users– Different training required by role, experience– Different mechanisms available

• Documentation– Initial documentation – content and format– Updates to system, processes, roles

Controlling

• Evaluate system performance

• Evaluate compliance to policies, procedures, standards

• Quality control and audits

• Mechanisms for gathering feedback

System Architecture

• Assess choices for system components and architecture

• Identify basic computer components– CPU, desktop peripherals, servers, network

• Identify hardware and software integration issues– Updates and technology obsolescence– Interoperability

Devices

• Input devices– Keyboard, mouse, handwriting recognition– Scanner, barcode reader, RFID reader– Scientific/medical devices– Video/audio recorders

• Metadata requirements and capture techniques

Applications

• Data sources– Data entry– Capture and extraction– Direct computer-to-computer transfer

• Common file formats– Standard vs. proprietary– Textual vs. image vs. rich media

• Metadata

Applications

• Data quality tools and processes

• Documenting data collection

• Managing data over time

Capture

• Structured vs. unstructured data

• Data capture

• Legacy data– Legacy data repositories– Deprecated systems– File shares

Organizing Data

• Categorization and classification– Classification structures– Records series/file plan

• Taxonomies

• Data validation

Data Management

• System architecture

• Devices

• Programs, software, and applications

• Security/accessibility

• Data use

• Data storage

System Architecture

• Definitions– Telecommunications– Networking and the Internet– Common electronic file formats and

applications

• Key architectural considerations– Scope and scale of system– Centralized vs. decentralized– Deployment models

Personal Devices

• Desktop computer

• Laptop

• Local peripherals

• Smart phones

• PDAs

Enterprise Devices

• Mainframes and minicomputers

• Servers

• Networks

• Enterprise/shared peripherals– Printers– Storage libraries

Programs, Software, and Applications

• Operating systems

• Network operating systems

• Databases

• Data mining

• Data warehousing

Programs, Software, and Applications

• ECM• WCM• EDMS• ERMS• BPM• Email/Instant messaging• Collaborative tools• Recordkeeping considerations

Security/Accessibility

• Access rights

• Balancing access rights vs. user needs

• Computer system threats

• Computer system defenses

• Physical security

• Digital security and integrity

Data Use

• Distribution– Shared drives– Electronic document rooms– Hard copy

• Manipulation and processing• Search and retrieval

– Recall vs. precision– Search techniques and considerations

• Output

Data Storage

• Methods of storage– Classes of storage– Primary vs. secondary storage

• Backup

• Hot sites

• Proprietary vs. standard formats

• Storage vs. working copies

Data/System Disposition

• Applying the retention schedule

• Preservation issues

• Data repositories

Applying the Retention Schedule

• Apply the retention schedule to all records regardless of format or media– Preservation– Disposition– Vital records

• Recordkeeping software– Physical records– Electronic records

Preservation Issues

• Digital preservation issues– Media– Hardware– Software

• Software maintenance and upgrades

• System migration

• Destruction requirements

Data Repositories

• Data repositories vs. other approaches– Proprietary vs. standard vs. open

• Native formats vs. standard formats

Preservation, Recovery, and Destruction

• Preservation

• Recovery

• Destruction

Preservation

• Preservation methods– Electronic and digital considerations

• Conditions which can damage records

• Metadata and preservation

Recovery

• Immediate

• Short term

• Long term

• Disaster recovery planning

• Recovery procedures – Water– Fire– Smoke/chemicals

Destruction

• Physical destruction methods– Shredding, recycling, maceration,

pulverization, pulping

• Electronic destruction methods– Media: shredding, recycling, pulverization– Digital: Erasing, overwriting, digital shredding

• Considerations: cost, environmental, security

• Electronic records and stub metadata