Annotated Outline Part 5

PART 5 – TECHNOLOGY

Organizations use information technologies to create, retrieve, store and distribute records and other information assets. The RIM professional also uses information technologies to manage the life cycle of records including capture, organization, conversion, preservation and implementation of disposition. The RIM professional should understand the characteristics, capabilities and limitations of these technologies to participate effectively in their selection and utilization and to incorporate RIM functionality and methodologies into existing systems when possible. Part 5 includes topics such as the systems planning and selection, architecture and infrastructure, life cycle management, imaging technologies, programs and applications.
  1. SYSTEM LIFE CYCLE
    1. Basic Concepts. The RIM professional should know the principal components of the systems development life cycle (SDLC) process, the activities related to the phases and the role of the RIM professional. This should include knowledge of the:
      • Variety and uses of different systems development methodology such as waterfall, spiral, parallel, rapid application development (RAD), agile and prototyping
      • Benefits of using project management for information systems development
      • Purpose, importance and the benefits of compliance to internal, national, international, industry specific and joint voluntary standards that impact information management, technology and systems such as ISO, ANSI and IEEE
      • The effect of business globalization and the impact of related standards
      • The common standard acronyms of computer technology such as XML, SGML, SCSI, SQL and HTML
    2. Planning Systems. The RIM professional knows that business processes can be improved and problems examined and solved through analysis and systems development and implementation. The RIM professional should be able to make decisions such as:
      • Determining the scope of the project
      • Determining who should be involved in planning system development and implementation
      • Who to form strategic partnerships with
      • Establishing resource allocation, budget and funding
      • Assessing the needs and requirements of users and stakeholders
      • Determining where and how technology can enhance productivity or add RIM functionality
      • Weighing the benefits of outsourcing vs. in-house development
      • Testing, piloting and evaluating the system
      • Planning and managing migrations and conversions
      The RIM professional should know:
      • The purpose and components of a systems requirements analysis and how to measure possible solutions
      • The criteria used in evaluating system performance and how quantitative and qualitative methods can be used
      • How to perform workflow analysis and how it is used to understand, automate and streamline processes and to introduce technology
      • The concepts and purpose of benchmarking
      • The terms data dictionaries, data elements and data structure
      The RIM professional should know how to evaluate and select vendors and products and the evaluation methods commonly used such as scoring and weighting. This includes the development of requirements and the evaluation of responses to RFIs, RFQs, RFPs and project proposals.
    3. Developing and Implementing Systems. Understand the requirements and roles of the various people who develop and implement RIM systems. Know the importance of establishing partnerships with stakeholders, IT and legal and how to obtain support and funding. Understand the role of the RIM professional in:
      • Identifying the requirements of stakeholders, customers and users and developing the strategies to meet them
      • Defining, gathering and complying with requirements pertaining to external regulations and internal policies
      • Defining and implementing record classification, retention, preservation and disposition
      • Using prototypes, pilot projects, phased implementation, parallel implementation and the importance of piloting and testing a system
      • Addressing factors that can affect data quality and system performance
    4. Operating and Administering Systems. Be able to discuss the role and responsibilities of the:
      • System administrators regarding operation, maintenance, changes, troubleshooting, controlling and monitoring security and access
      • RIM professional in operations and maintenance activities such as storage management, software updates and monitoring compliance, data integrity and effectiveness
      • System users in operational activities
      The RIM professional should understand:
      • Techniques and planning for back-ups and business continuity plans in case of disasters or emergencies
      • The methods of training system users using computer-based methods such as tutorials distance learning and web-based online courses, classroom instruction, documentation and books and handouts
      • The importance of maintaining system and user documentation updates and version control
      • How an evaluation of system performance and human input into the system can improve data quality, system performance and compliance
      • The purpose and methods of collecting feedback
    5. Upgrading, Refreshing, Retiring and Deactivating Systems. The RIM professional should know how to manage projects to upgrade, refresh, retire, deactivate or decommission a system. Understand the need for gathering requirements, designing a plan, developing procedures, conducting training, validating processes and data quality and documenting final decisions and activities performed.
  2. ARCHITECTURE AND INFRASTRUCTURE
    1. System Architecture. The RIM manager should understand and may be involved in the design, evaluation and planning of basic components of a computer system and its architecture. The RIM manager should understand:
      • How systems vary in scale, number of users, access and geographic coverage
      • The use and management of data and information within the system
      • How the data flows between system components
      • The effects of hardware and software integration, connectivity and interoperability
      • How systems are designed, organized, optimized and when a system could benefit from mirroring or clustering
      • The use of turnkey, commercial off-the-shelf (COTS) and custom systems
      • The RIM professional should understand telecommunications and related data transmission technologies including the:
        • Difference between analog and digital data
        • Characteristics and uses of voice mail, fax and video and teleconferencing
        • Purpose, types, components and structure of networks that allow data sharing
        • Use of communication protocols such as TCPIP and standards such as Electronic Data Interchange (EDI)
      LANs and WANs are an integral part of systems architecture. The RIM professional should be able to:
      • Differentiate between the related features and purposes
      • Explain the differences between computer and network operating systems
      • Explain how servers are operated, used and shared
      • Distinguish between name-based and IP-based servers
      • Describe various data storage methods including on-line, off-line and archiving
      • Understand options and use of a shared disk filing system in a storage area network or Redundant Array of Independent Disks (RAID)
      The RIM professional should know about the internet and intranets and:
      • Describe the differences, capabilities and limitations
      • Understand related terms such as homepages, URLs, webmasters, gateways, firewalls and other controls
      • Explain how web pages are structured, accessed, maintained, updated, version controlled, secured and linked within and between other websites
      • Explain user interfaces and how a web page is used for providing information or as a portal
    2. Devices The RIM professional should be able to:
      • Identify the variety and use of devices used with computer systems such as servers and printers
      • Distinguish between the purpose and function of devices used in a personal or single-user system and those in an enterprise system
      • Explain how personal devices function and how they communicate with enterprise or shared systems
      • Describe the features and uses of personal devices such as cell phones, smart devices, tablets, PDAs (e.g., blackberries), laptops, desktop PCs, portable storage devices and other peripherals
      • Discuss how wireless devices, servers, mainframe computers, printers, networks and applications can be shared through the use of networks, modems and routers
    3. Security/Accessibility. Understand the objectives of computer security including the protection of information from theft, loss, corruption, or natural disaster. Other important considerations are adhering to privacy and other regulations. The RIM professional should understand threats to a computer system and data and understand:
      • The methods of defining, monitoring and maintaining different levels of accessibility, types of controls
      • The preventative security protection methods including access control, encryption, data masking and hardware-based mechanisms
      • How to balance meeting data security, privacy and confidentiality requirements while maintaining service and usability
      • Industry and global security requirements that may need extra controls, audit trails and compliance reporting
      • Techniques for making computers and data accessible to people with physical conditions that may limit their use of computers
    4. Data Management. In order to manage electronic information, the RIM professional participates in the development, execution and supervision of plans, practices, policies and programs that control, process, maintain and protect the value of data and information assets. The RIM professional should understand:
      • The basic process of creating computer programs and the different types and levels of programming, such as machine language, high-level languages and interactive programs
      • What the common office automation programs are, how they operate and their principal features
      • The role of software programs to perform business functions, manage operations, generate and maintain data
      • The various and common types of software and its uses
      • The type, purpose and role of operating systems, utilities and diagnostics
      The RIM professional understands the:
      • Use of data and software to serve different purposes
      • Different methods by which data can be shared to serve multiple users, including shared drives, shared tools and other shared electronic spaces or document rooms
      • Role of a database administrator in maintaining data quality while meeting the needs of users
      • Difference between duplicating and sharing data and the management and retention consequences
    5. Data Storage. The RIM professional should be able to:
      • List the characteristics and uses for optical disks, CDs, DVDs, USB flash drive, storage area networks (SANs), RAID storage devices, magnetic disks and magnetic tapes
      • Recognize the environmental conditions that are optimal for storage of data using the different methods
      • Distinguish between primary and secondary storage
      • List the advantages and disadvantages of preserving data in its native format, proprietary formats, or de facto standard formats
      • Discuss the pros and cons of storing documents in their native formats vs. open standard formats and the related effects on searchability and usability
      • Understand the uses of and manage working, back-up, archival and storage copies of files and data
      • Understand older, historic data storage methods, formats and media, know methods and manage the safe transfer of data to new media
      The RIM professional should be able to:
      • Describe types of backups including disk mirroring or RAID 1 for replicating logical disk volumes onto separate physical hard disks in real time to ensure continuous availability and access
      • Understand the purpose, advantages, disadvantages and types of controls needed when storing data in different repositories including cloud storage, storage area networks (SANs), electronic document rooms, file servers and detached storage devices
      • Describe malfunctions of storage devices and media and how data can be restored Define hotsites and coldsites
      • Understand the use of reciprocal agreements in data storage
  3. LIFE CYCLE MANAGEMENT
    1. Records Creation. Be able to explain the concepts of authenticity, reliability, integrity and usability as defined in ISO 15489, their impact on RIM and the techniques available to ensure that records have these characteristics
    2. Capture: The RIM professional recognizes that data can be obtained from varied sources of capture and describe the characteristics, requirements and implications of each. The RIM professional should know:
      • Data capture methods such as scanned images, keyed data entry, electronic recording devices, networks (by using packet analyzers/sniffers) and other computers (timeshare, mainframe, minicomputers and PCs)
      • Hardware, configurations and combinations for data input and how the data will be stored and used
      • Features of keyboards, touch screens, voice recognition, handwriting recognition, scanners, barcode readers, video recorders, wireless devices, scientific and medical instruments
      • Whether data is to be captured, migrated, or converted
      • How to determine whether data is readable and accessible
      • The metadata to be captured at records creation and throughout its life cycle for authentic and reliable records
      • How files are created, structured, accessed and stored
      • The variety of formats for text, image, data, or sound files and their characteristics
      • About digital encoding of records, its use and impact
      • How files are compressed, encrypted, decompressed and unencrypted
      • How to access data in legacy systems and capture it into new systems through the process of conversion or migration. This might include checking the data quality and determining remedial efforts
    3. Organizing Records and Data. The RIM professional recognizes that completeness, accuracy, organization and classification of data and records is important to the success of a system and understands:
      • The processes by which data can be indexed and classified using keywords, taxonomies, or metadata
      • The technologies, standards and practices for applying and binding metadata to documents and digital objects
      • How to use manual and automated methods such as auto-declaration and auto-categorization to classify data and capture record status and series
      • How to validate data correctness and adherence to standards and requirements
      • The technology and techniques used to select, collect and organize data in a meaningful way for the users and for the organization
      • The technology, reasons and uses for data mapping between structured and unstructured information resources
    4. Active Management. The RIM manager should understand:
      • How data can be processed in batch or real time modes and how it can be retrieved and manipulated through sorting, filtering, calculating and generating reports
      • The purpose and methods of tagging metadata (XML, HTML, SGML)
      • How information and data can be maintained and distributed as output in electronic forms, including COLD, COM, digital photographs, videos, x-rays and sound recordings
      • The importance of and methods of version control
      • How retrieval tools, such as indexes and search engines, work and are used for accessibility
      • The role of indexing, structured searches, text retrieval, natural language processing, Boolean searches and data tagging
      • The different metrics to measure the success of a search, including recall and precision
      • How methods such as RFID and barcoding can assist in tracking and monitoring the location of physical information
      • How audit and history files are used to verify the integrity of data and records and to track chain of custody
    5. Preservation issues. The RIM professional knows that records need to be available and accessible, possibly in different degrees, for their entire life cycle. Preservation is necessary for those records determined to have long-­term value, historical significance or relevance to litigation or other legal matters. A RIM professional understands:
      • Strategic plans are made for protecting and sometimes migrating or converting data to meet long-term retention or hold requirements for a portion of or the entire life cycle
      • The necessity of planning for the possibility of converting the data while maintaining its integrity, readability and usability
      • The options and methods available to preserve various current and legacy formats
      • The role of metadata in ensuring a complete and accurate history of the preservation of records over time
      • That a software patch, upgrades and updates are important to optimize the use of data, to better manage the data and sometimes for aiding in backward compatibility
      • The advantages and disadvantages of preservation techniques including recopying, data conversions, data and systems migrations, emulation, metadata encapsulation and other methods
      • The major problems that affect the preservation of electronic, magnetic, digital and optical media
      • The effects of storage methods, media and recording format on the potential for short-term, intermediate term and long- term archival storage and media life expectancy
      • Media stability is essential for reliable recording and playback of data. There are effects from wear, corrosion, handling and environmental conditions on electronic, magnetic, digital and optical media
      • The processes used to reverse or halt the further deterioration of records in any media
    6. Data/System Disposition. The RIM professional should know:
      • The roles and responsibilities of the system owner, IT support staff, business owner, legal, the records manager and others when computer systems are discontinued
      • The technical processes necessary for the ensuring and maintaining authenticity, reliability, integrity and usability of the data or records from discontinued systems
      • That the destruction of data is based on data properties, storage media type and security requirements
      • The cost factors and, the environmental, security and confidentiality concerns for each destruction method
      • The various destruction methods such as shredding, recycling, maceration, pulverization, pulping, erasing, degaussing and over writing
      • Which destruction methods ensure complete destruction and which methods allow for the possibility of data restoration
      • The difference between deleting index pointers to data and deleting the actual data with the goal of complete irretrievability
      • That several copies of a specific record may exist and be sure to include all locations and references when destroyed
      • The importance of implementing date-based, event-based and contingent dispositions in systems using manual or automated techniques
      • The importance of a defensible and documented process
      • What metadata about records destroyed should be maintained as evidence of their destruction
    7. System Recovery. The RIM professional should know, understand and plan for what to do in the event of a disaster when data is damaged or destroyed. This might include:
      • Knowing the procedures associated with recovery of records damaged by water, fire, smoke, chemicals or unintentional deletion
      • Creating a disaster recovery plan including immediate, short-term and long-term recovery procedures and contacts
      • Having vendors selected and contracted
  4. IMAGING TECHNOLOGIES
    1. The RIM professional may encounter and have to convert microfilm or use it for long-term preservation. Know and understand:
      • The standards established by the American National Standards Institute (ANSI) and Association of Image and Information Management (AIIM) for producing, processing and storing microfilm
      • The microfilm formats, features and common usage of each
      • Commonly used equipment and supplies; types of film, cameras, processors, duplicators, readers, printers and hybrid systems
      • The various types of readers and reader-printers that are used and how to select a reader
      • How to match the reader’s magnification powers with the film’s reduction ratio
      • The technology used for indexing, searching and image retrieval and COM equipment configurations
      • The methods of indexing such as manual and automated indexing, blips, counters, sequential numbering and microfiche indexes
      • The basics of image quality, controls and tests and why they are important. For example; how to measure density (D-Min and D-Max) and resolution
      • The film developing processes, factors that affect the processing and what steps are necessary to ensure film quality including the Methylene Blue Test
      • The storage methods and maintenance of master and duplicate microfilm
      • How light, humidity, temperature and chemicals can adversely affect the long-term storage of microfilm
    2. The RIM professional should know reprographics and copying equipment including:
      • Industry standards pertaining to copying and reprographics equipment. Review how industry guidelines and market leaders may influence equipment design
      • Selection criteria and how to evaluate copying requirements and profile copying activities. Know how to complete a cost justification analysis that may include cost per copy, total copy, project savings, maintenance, power consumption, change-back options, etc.
      • What computerized reprographics is and be able to identify functions of intelligent copiers. Be aware of hybrid technologies, such as phototypesetting and systems that digitize input, print output and scan microfilm. Know the use of multifunction systems that combine duplicate office functions such as printing, faxing, copying and scanning
      • The types of printers and duplicators and their use. Review desktop publishing and its effect on office technology and printers. Know the types of non-electronic duplicators and their requirements for intermediary masters. Be able to recommend the different duplicators based upon quality and quantity requirements
      • The types of copiers, such as personal, convenience, copy center, color, etc. Be able to describe the use and variety of features. Compare the applications of analog versus digital networked copiers. Review specialty copiers, such as blueline, diazo and oversize copiers
    3. Imaging Systems. The RIM professional is often involved with imaging systems and should know and understand:
      • How to determine user requirements including workflow (transaction processing and image enabling) and storage (retrieval and reference only), PC-networked and stand-alone systems
      • The industry standards for image formatting and recording
      • That use and impact of proprietary equipment and hazards of obsolescence
      • How to assess selection criteria such as data transfer rate, disk access time, seek time, media tolerance, error corrections, estimated drive life, resolution, data compression ratios, system costs, etc.
      • Explain the processes for document preparation, capturing the image and appropriate metadata; choosing software (including OCR and ICR); using templates; indexing, storing or converting files to various formats; and burning or transmitting images to storage media
      • The primary types of optical disks and which can be updated and/or erased and how to choose the optimum media for any record type. Know the most common size platters for each type of optical disk and have an understanding of the capacity in terms of both mega or gigabytes of information and corresponding pages of recorded information per disk
      • The types of scanners, the meaning of drop-out color and throughput and methods of recording such as single session, incremental, or multi-session
      • The use of hybrid systems, such as scan-on-demand micrographics, simultaneous scanning to microfilm and optical disks, aperture card scanning and COLD
      • The types of drives and peripherals, why electronic imaging systems require both magnetic and optical drives
      • The use of high-resolution monitors and other acceptable monitor resolutions. Explain display dpi, its relationship to the scanned image and refresh rate
      • Image output options, such as output to laser printers and fax machines
      • How to select storage devices and locations such as on-line, near-line and off-line storage and how they affect access. Describe remote libraries, jukeboxes and expansion units
  5. PROGRAMS AND APPLICATIONS
      The RIM professional should have a broad understanding of the various types of programs and applications that create, receive, store and manage records. The RIM professional is often called upon to evaluate and choose software and manage the information generated by or held within a system or application. Understand the purpose of the various types of programs and applications.
      1. Databases. The RIM professional should be able to:
        • Understand the characteristics of hierarchical, relational, network, entity and object-oriented databases and their uses. Explain how each is organized and operated and the RIM issues that they present
        • Explain the role of the database management system in controlling and managing data and metadata including data integrity, access and security
      2. Decision Support Systems. The RIM professional should be able to:
        • Identify the different categories of decision support systems including artificial intelligence, business intelligence, data mining, data warehousing and data analytics
        • Explain their uses, patterns and statistics for further decision making
        • Understand how the types of decision support systems work including model-driven, knowledge-driven, data-driven, communications-driven and document-driven function
        • Explain the purpose of and differences between operational data systems, data warehouses and data marts
        • Identify the RIM issues with each type of decision support system and the approaches for addressing them
      3. Content Management. The RIM professional should be able to:
        • Define content management, identify and explain components such as document management, records management, workflow and case management
        • Know the characteristics and functions of each, describe how they relate and work with each other and how they affect RIM requirements
      4. Business Process Management (BPM). The RIM professional should be able to:
        • Describe business process components, workflow and mapping methods and tools, their uses and importance for problem diagnostics and securing ongoing effective and efficient operations
        • Explain how BPM can be used as a method to support and request process changes
      5. Communications. The RIM professional should be able to:
        • Explain the technologies underlying e-mail, instant messaging, voicemail, blogs, microblogs, texting and related applications
        • Identify their characteristics, how they store and manage information and the RIM implications of each
      6. Collaboration. The RIM professional should be able to:
        • Identify the types, components and functionality of collaboration software
        • Understand how collaboration software manages information including metadata management, storage management, access controls and similar topics
        • Discuss the RIM implications of using collaboration software and the approaches to managing records in a collaborative environment.
      7. Web. The RIM professional should be able to understand and discuss:
        • The characteristics of Web 1.0 and 2.0 and explain how they differ
        • Web 2.0 capabilities including blogs, wikis and other tools for collaboration and participation
        • How websites and portals function and the differences between them
        • The RIM challenges and considerations for an organization posed by Web 2.0 and the importance and approaches to addressing them