Which database components are records

Transcription

1 Drexel University From the SelectedWorks of James Gross February 26, 2012 Which database components are records James Gross, Drexel University Available at:

2 Which database components are records James Gross Drexel University, INFO 755 Assignment #2, Position paper Dr. Miller Feb 26, 2012

3 2 Records are essential to any organization. Record managers have the task of managing the organization s records and information. Database systems allow record managers to better manage organizational records and their data. On occasion, questions arise as to what actually constitutes a record. In this short paper, we will identify and discuss which database components meet the definition of records, in the context of records management. We will consider the data in the database, the database itself, and the output from the database. This paper will briefly address the following: 1) identify which database components meet the definition of records, 2) select a position on which database components are records, and 3) assess the implications or challenges in regard to the management of databases and the data within. (1). Which database components are records: In order to intelligently discuss database components, I feel it is necessary to first (1a) briefly identify and examine those components of a typical database system and (1b) define and discuss what a record is. (1a) A database system is typically composed of 4 components. These components usually include data, hardware, software, and users or people. See a typical database flowchart (Image #1). An expanded version of this chart includes a fifth component, rules or procedures. (Images #2-4). Data is an important part of the database. Data can exist in various forms. It can be structured or unstructured. Many organizations generate, store, process, and retrieve data on a daily basis. Some structured forms include.txt,.doc,.docx, and.pdf files. Unstructured data usually consist of pieces of data stored in cells or tables. According to Bantin, information is not just data collected; rather it is data collected, organized, ordered and imbued with meaning and context (2008, p. 67). Hardware usually consists of data storage devices. It can be in the form of a hard disk, optical disk, or other media. (Image #5). Database software acts as a bridge between the database and the user. The software enables the records manager to insert, update, delete and retrieve data. Users or people may be employees, staff, or customers who access and utilize the database s information.

4 3 (1b).Definition of a record: Per ISO , Information and Documentation, Records Management, PART I, defines a record as, Information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business (Hamilton, 2011, p. 27); see also (Stephens, 2010, p. 29). A variation of this definition was suggested by Richard Cox, who stated that records are created because of legal, regulatory, professional best practices, and other reasons external to the organization (Cox, 2001, p. 32). Cox noted that one could summarize the concept of a record: records as evidence of transactions (Ibid, 2001, p.33). A third definition was suggested by Gingrich and Morris. They defined a document as a set of related data elements, including text and metadata, when taken as a whole in a business context, represents evidence of a business process or decision (Gingrich and Morris, 2006, p.31). They also stated that, all documents are considered to be records of some sort, as they provide evidence of a business process or decision (Ibid, 2006, p.31). (2). What database components are records: Gingrich and Morris defined data or data elements as, pieces of information that are related and collected to form the document (2006, p.31). In answering the question of which database components are a record, in the context of a record manager, I would say that it is the data component within the database, as well as the output from the database. To be more specific, within the data component, I will differentiate between two different types of data: (2a) unstructured data and (2b) structured data. (2a). Unstructured data: In addressing unstructured electronic data, I will refer to the following quote: [unstructured data] consist(s) of electronic information created or obtained by end users where the information is not stored in tables in a relational database system (Gingrich and Morris, 2006, p.31). As previously mentioned, unstructured electronic data can be in the form of:.doc files,.docx files,.pdf

5 4 files, or other documents created by users. I would characterize these types of data as meeting, in the context of the records manager, my definition of an unstructured electronic record. I would also include as unstructured, though I should point out that Dr. Miller, in his INFO755 class lecture notes, noted that has some database elements, to, from, subject, date, making a composite record of structured and unstructured data (Miller, 2011, pg. 2). In other words, based on the data elements, these records can serve as evidence of information. (2b). Structured data: According to Hamilton, databases contain information that can also be considered to be part of a record (Hamilton, 2011, p. 28). Per Hamilton, this information resides in logical elements within tables (Ibid, p.28). In the context of a records manager, I believe that the output of structured electronic data would meet the definition of a record. Structured data is stored in fields and rows in tables of a relational database. (Image #6). The data, once it is filtered or sorted (field or category) by the end user, would represent a newly created evidence of a transaction, or record. This would be referred to as output from a database. An example of a relational database, is an online database used by an alumni organization. Authorized users have the option of filtering results based on data fields consisting of name, address, chapter, etc. This is an example of output from such a database. (Image #7). It is structured data which can be manipulated with the use of software (by the user) to create a customized output of data. 3. Implications of my position for the management of databases and their data: Records managers have the responsibility for maintaining the databases of a company or organization. If there is a problem with the hardware, or software, it could adversely affect the integrity and reliability of the data. There are three important criteria to managing databases. These criteria include: (3a.) records status, (3b.) maintaining usability over time, and (3c.) the need to maintain hardcopy printouts or reports. (3a). Records status: As the records manager, I would have the responsibility to maintain and supervise

6 5 the organizations information. A key tool which I would use is the retention schedule. (Image #8). From the perspective of the records manager, data and files are meant to be retained as long as they are required for legal, organizational, or other needs. This is an aspect of the records life cycle.(image #9). Responsibility for record status and the disposition of records, while residing with the records manager, is really the culmination of dialog between department managers, management, and staff. This decision-making process may be influenced by regulatory, legal, corporate, or customer needs and requirements. But, it may also require an information audit.(image #10). Once the required retention period is over, the records can then be disposed of according to existing corporate policy. The electronic record retention schedule dictates the time frame for maintaining or disposing of records in a database. (Image #11). As Stephens noted, Although electronic records retention has not been widely practiced, it is an idea whose time has come (2010, p. 66). Three important aspects of record retention are: (a) authenticity, (b) integrity, and (c) reliability. (a).per Stephens, authenticity relates to whether the record has not been tampered since its creation, is genuine, and possesses proven reliability (Stephens, 2010, p. 99). (b.) Integrity of the data refers to it being complete and unaltered (Ibid, 2010, p. 100). (c.) and, reliability of the data refers to a record whose contents can be trusted as a full and accurate representation of the transactions, activities, or facts (Ibid, 2010, p.100). A key tool for record retention is metadata: Metadata is useful for identifying and retrieving the correct record. (Images #12-13).Sufficient metadata within a document is essential as it helps the records manger to categorize, classify, and index the records. Per Franks and Kunde, metadata serves as the backbone of electronic records management systems by providing identification of records, preserving their authenticity, and implementing retention and disposition requirements (2006, p.61). Gable noted that metadata can be used to show things not evident from the document s content alone (2009, p.29). The record retention status of data within a database, is dictated by the retention schedule. The retention

7 6 schedule should be regularly updated to reflect the correct status of a record or collection. This will help the record manager determine whether the record or collection should be retained, retired, or disposed of. Accurate metadata information within records can help with their management. Metadata information helps the record manager achieve authenticity, integrity, and reliability for record disposition. According to Gingrich and Morris, there are different risks associated with complying with the retention schedule. For the unstructured data, the data is decentralized among many users and there is the ever present risk of accidently destroying data (Gingrich and Morris, 2006, p. 34). For structured data, there are often access limits to working databases for data retention (Ibid, p. 34). An example of this use and control is filtered data from a database. (Image #7). An administrator has the ability to modify the data. (3b.) The need to maintain usability over time: There are two important aspects of usability: long term usability of hardware and software, and data archiving. Long-term usability: Jakob Nielson described usability as, a quality attribute that assesses how easy user interfaces are to use (Nielson, n.d.). Nielson also noted that utility and usability, both attributes of quality, are essential for the success of a database project (Ricardo, 2012, p. 586). The database manager has the responsibility to ensure that the database and its data will be accessible by users. The records manager also needs to ensure that the database will be viable over time. To achieve this goal, the records manager needs to be cognizant of user needs at the present, and incorporate flexibility in the system for future needs. Database systems usually go through a process where they are designed, created, and implemented. The ultimate test is whether the database meets user needs. An important aspect of database usability is its long term life expectancy. According to Stephens, the life expectancy of a storage medium is based on five factors. They include: (a) the quality of the media, (b) quality of the recorder used to write the media, (c)how often the data on the media is accessed, (d) how the media is handled, and (e) the storage conditions (Stephens, 2010, p. 237).

8 7 Another important aspect of the long-term usability of media, is the issue of technological obsolescence. The records manager needs to remain current with advances in media storage, even if it falls under IT departmental responsibility. Record managers need to ensure long-term access to the database data, even if the media will eventually be migrated to new media types. Record managers might also need to avail themselves of IT experts who have expertise in media migration. Example of storage formats (Image #14). Data archiving: The other important long term usability issue is data archiving. Ideally, this should involve both corporate and departmental input. Gingrich and Morris presented ten points for data archiving. Three of these points are: a) the records manager should analyze the business processes to help identify the interdependencies among the data elements, b) identify the organization s business transactions and categorize them so that each has predefined archiving constraints, and c) enforce data retention based on a published retention schedule (Gingrich and Morris, 2006, p.36). The records manager should use the record retention schedule to determine the status and priority of the relevant record group or series. The records manager, in conjunction with relevant departments, would use this input to determine the retention period for each record group. (3c.) A need to maintain hardcopies of records: A question was posed as to whether hardcopy printouts are needed. I think this would depend on the organization s needs and user requirements. Storage issues relating to databases and paper records typically involve institutional priorities, costs, convenience, and budgetary limitations. For instance, while it may be technically feasible to scan every textual page from each customer s records into a database, it might also be cheaper to simply place some of them in off-site storage or have the papers microfilmed. An example of an off-site storage of paper records (Image #15). Record managers also have the option of using off-site storage for electronic data. (Image #16). As I see it, the decision to utilize off-site storage, versus scanning the paper records, should be discussed in a group context, with the organizations management and legal team. Factors involved in this decision- making process should include whether the records must be digitally preserved to support business or

9 8 regulatory requirements, whether staff or customers require global access to the materials, and the technical and cost feasibility of converting the records. In conclusion, as Cisco and Strong noted: Records management is a fundamental activity in the information management value chain (1999, p. 5). As I see it, the management of records should not occur in a vacuum. The institutional or organizational records manager, in conjunction with staff feedback, should utilize a record retention schedule to help manage the organization s records. Information as to corporate record retention needs, as related to regulatory and legal requirements, should be utilized by the records manager in conjunction with the record retention schedule. Technical advances in media storage which compliment existing media backup plans, should be reviewed to determine whether their usage can contribute to a more efficient and risk-adverse environment for the organization s data. It is important for the records manager to strive to ensure that the organization s records contain sufficient metadata. Sufficiently encoded metadata records can simplify the record manager s efforts in ensuring that the organization s records are correctly maintained, retained, preserved, or destroyed in accordance with the organizations record-keeping requirements and needs (Franks and Kunde, p.56). This paper has examined and discussed aspects of structured and unstructured data within database components. We have examined how data, whether it is in a structured or unstructured form, is an important commodity to an organization. We have also looked at how metadata, contained within a record, is extremely helpful for the categorizing and sorting of records. Software which can help locate and retrieve specific records is a useful tool for record managers. And, maintaining and periodically backing up data is essential for the long-term viability of the data. As new data storage technologies emerge, it is imperative that the records manager keeps abreast of these advances. New data is being created on a daily basis. As this volume of data increases exponentially, there will be an even greater demand for tools to help categorize it, organize it, back it up, and retrieve it.

10 9 Images Image #1 (Source: Image #2 Database components Source:

11 10 Image #3 Database components. Source: Image #4 Database components. Source:

12 11 Image #5 Sample of data storage. Source: Image #6 Sample relational database Source:

13 12 Image #7 Sample of filtered data output from a structured database. Source: Sigma Alpha Rho Alumni Association, Membership Database, courtesy of James Gross. Image #8 Sample of record retention schedule. Source:

14 13 Image #9 Visual flow chart of information life cycle. Source: Stephens, D.O., (2010). Records management: Making the transition from paper to electronic, ARMA International, KS, p. 35. Image #10 Sample of an information audit flow-chart Source:

15 14 Image #11 Sample retention schedule Source: Image #12 Metadata example Source:

16 15 Image #13 Metadata example Source: Image #14 Chart of media storage format and suggested longevity Source: Rothenberg, J. (1995). Ensuring the longevity of digital document, Scientific American, 272 (1), p. 44.

17 16 Image #15 Image of federal record storage facilities Source: Image #16 Image of off-site electronic storage facilities Source:

18 17 References Bantin, P.C. (2008). Understanding data and information systems for recordkeeping. New York: Neil-Schulman. Cisco, S. L. & Strong, K.V. (1999). The value added information chain. The Information Management Journal, 33, 1, Cloonan M.V. & Sanett, S. (2002). Preservation strategies for electronic records: Where we are now- Obliquity and squint?, American Archivist, 65, 1, Cox, R. J. (2001). Managing records as evidence and information. Westport, Conn: Quorum books. Franks, P. & Kunde, N. (2006). Why metadata matters, The Information Management Journal, 40, 5, Gable, J. (2009). Examining metadata: Its role in e-discovery and the future of records managers, The Information Management Journal, 43, 5, Gingrich, L. L., & Morris, B. D. (2006). Retention and disposition of structured data: The next frontier for records managers. The Information Management Journal, 40, 2, Goyal, A. (2008) Database systems and its components, retrieved 2/20/2012 from: Hamilton, K. (2011). Structured data elements: Are they records?, The Information Management Journal, 45, 2, Miller, M. (2011). INFO755: Class 8- August 8-14, 2011 (Class handout), Drexel University.

19 18 Nielson, Jakob, (n.d.) Usability 101: Introduction to usability, retrieved 2/20/2012 from: Ricardo, C. M. (2012). Databases illuminated. Sudbury, MA: Jones & Bartlett Learning. Rothenberg, J. (1995). Ensuring the longevity of digital documents, Scientific American, Stephens, D. O. (2010). Records management: Making the transition from paper to electronic, Lenexa, Kan: ARMA.

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