Resources

Information Technology Resources for an Informed Retention Schedule  [Keeping Your Retention Schedules Evergreen:  How Your IT Department Can Help You Find the Gaps in Your Retention Schedules]

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By: Pari Swift and based on the 2023 presentation Mine the Gaps : Uncovering What You Don’t Know About Your Retention Schedule with Warren Bean, Zasio.

Are you ever shocked when you learn about a new type of record that your organization is maintaining? To uncover records series that may not be covered by your current retention schedules, leverage the work being done by your information technology department. Here are some IT resources that can help you uncover the gaps:

  • Software Procurement – Get involved in this process. As the records manager, you need to understand whether the software can adhere to your retention and disposition requirements. Additionally, being part of this process will inform you of what types of records and information will be put into the system. Often the vendor assessments offer a window into the purpose and function of the system. This will allow you, early in the process, to match those records to your retention schedule, or add a new series if the records are not already covered.
  • Privacy Officer – As part of their role to protect private information, privacy officers often evaluate information keeping systems, paper or electronic, to ensure that privacy laws are being followed and information is protected and secure. They need to know where sensitive data lives within the organization, so they should have a map or documentation that will shed light on potential records not yet covered by your retention schedule. Two of the tools that they use are the Privacy Threshold Analysis and Privacy Impact Analysis. These gather information about the type of information stored in a system, why it is collected, and how it will be used. This same information can shed light on the records that are already covered on a retention schedule and can be valuable in the records analysis process for determining retention.
  • Cyber Security – Similar to the privacy office, cybersecurity needs to know where data lives and what level of protection it needs. Much of the information that they gather about the records and information is the same as what records managers gather when doing a records analysis to describe a record series and determine retention.
  • Enterprise Architects – The purpose of enterprise architecture is to create a map or blueprint of the structure and operations of an organization, which should include a map of IT assets and an outline of business processes. You can use this information to learn more about what business processes exist and what records are created. Compare this information to what is in your retention schedule to learn whether further conversations about adding to or updating their retention schedules are necessary.
  • IT Backup Schedule – Your IT department most likely has a list of information systems as part of its backup process documentation. Are you aware of all the systems listed and what types of records or information they contain? If not, now you can work with the business unit using the system to ensure that the records are covered on your retention schedule.

These information technology resources are a starting point. They won’t give you all the information that you need to fully flesh out and develop a new record series.  You’ll still need to go to the department subject matter experts for that. What they will do is clue you in to what records might not be covered on your retention schedule so that you can reach out to the department to get them added. These resources may also provide some of the basic information that you need to know, thus saving you and the department valuable time by being able to skip ahead to the questions about the records not yet asked.

Use your IT resources to keep your retention schedules evergreen!

Digitizing Microfilm – Benefits and Drawbacks

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For many governmental departments and organizations, digital preservation has been a concern for the past several years. One such concern has been what to do with microfilm in the next five to ten years and should your microfilm records be digitized.

Benefits of Microfilm:

  • Microfilm can last up to 500 years if stored in the proper conditions;

  • Eye-readable – can view with a light source and a magnifying glass.

Drawbacks of Microfilm:

  • Large collection of records on microfilm and your microfilm is only for records preservation purposes, not for use. You don’t have “access copies” for many of these records that are on microfilm;

  • Limited physical storage space for microfilm;

  • Departments need access to records that are on microfilm but they do not have the machines to read the microfilm;

  • Some types of film are too expensive to create duplicate copies;

  • Don’t have the budget to store duplicate copies at an off-site location for disaster preparedness purposes;

  • An inventory of what is on the rolls of microfilm may not exist;

  • Parts for microfilm readers may/have become obsolete;

  • Have to train people on how to use the microfilm readers;

  • Microfilm may develop vinegar syndrome if you do not have an environmentally controlled space to store them properly.

Benefits of digitizing Microfilm:

  • Digital preservation preserves the digital record and creates an “access copy”;

  • Can migrate the format so that it will always be accessible;

  • Cloud-based storage and glacier storage. Glacier storage is a Cloud-based type of storage that is cheaper since these records do not need to be accessed however, they need to be preserved;

  • Search-Engine based (online platform) accessibility for certain digital preservation systems, the public and/or staff can access;

  • Continual 24/7 monitoring of digital records;

  • Will no longer have to store microfilm which will save space and money.

Drawbacks of Digitizing Microfilm:

  • Extensive project especially if you have a large microfilm collection – need to prioritize;

  • Limited time and staff to carry out project.

Elise Kelly
Multimedia Archivist, Greene County Records Center and Archives

“Hey Siri, manage my records:” the records management implications of emerging cognitive technologies

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Human decision-making is being supported or replaced by several emerging cognitive technologies, including Internet of Things, Robotic Process Automation, Machine Learning and Artificial Intelligence. Recently, the National Archives and Records Administration issued a white paper that provides a review and analysis of these cognitive technologies and their potential impact on records management.

The white paper focuses on the following emerging cognitive technologies:

Internet of Things: The Internet of Things, or IoT, refers to the billions of physical devices around the world that are now connected to the internet, collecting and sharing data. Devices like Alexa and Siri can be used to operate lights, lock doors, add calendar items, answer questions, and more. In 2016, the City of San Diego approved a plant to retrofit streetlights with processors and data storage to gather data and analytics to improve parking, traffic and safety.

Robotic Process Automation: Robotic Process Automation is a technology platform that enables a software robot (“bot”) to interact with applications. The white paper offers an example of a bot that assists members of the public asking for information about a topic. The bot opens a chat, scans the content, opens the agency’s reference request system, populates the requester’s contact information, makes a best guess at the purpose of the request, and provides resources to help the requester find the information they seek.

Machine Learning and Artificial Intelligence: Machine learning refers to a software programming technique that uses algorithms to autonomously improve decisions through analysis. Artificial intelligence is described as teaching machines to learn and solve problems so they can make yes or no decisions. The white paper discusses the use of these tools by governmental entities to classify emails to allow the public to search and more easily access certain government officials’ emails.

In addition to exploring the cultural and societal considerations associated with the use of cognitive technologies, the white paper explores the records management implications associated with their use and reminds readers of the following:

  • While the volume of data created by these technologies can be staggering, the data must be managed by agencies within a records management framework.
  • The length of retention continues to be driven by business needs and legal requirements.
  • These technologies may impact existing policies and standards, such as ensuring records management controls requirements for electronic information systems, and ensuring they adequately maintain the authenticity and integrity of records.

Although the white paper focuses primarily on federal records, it highlights the need for forethought from any public entity interested in incorporating these technologies into their business practices.