About us

Alison SkyrmeSpecial Collections Librarian Ryerson University Library & Archivesaskyrme@ryerson.ca@A_Skyrme

May YanER Discovery & Access Librarian Ryerson University Library and Archivesmay.yan@ryerson.ca@mayyan

The plan for the next hour….

● Why Records Management for ER?● The TERMS model for ER management● Quick and dirty intro to RM● Project Setup● Findings and suggestions● Next steps ● Questions?

Why are we concerned about records for Electronic Resources?● Electronic resources are managed in conjunction with providers, we have

limited control over the stability of the resources.● Electronic resources are vulnerable to loss

○ Need to investigate ownership/licensing terms○ Need to provide proof of ownership

● Regular review cycles for renewals require documentation● Complicated licensing and usage rights models => need to consult

documents● ILS doesn’t handle ER acquisitions well, some details are not recorded● Legal Requirements

Why a Records Management Approach?

● Systematic approach● Any institutional schedule that apply?● Review best practices ● Many librarians and staff in the process

○ ER Acquisitions Librarian○ ER Management Librarian○ ER Discovery & Access Librarian○ Copyright Librarian○ Acquisitions Technician○ Serials Technician

Need => Records Schedule

The tool to aid in the record management discussion.

Importance of the review

“Many procedures are not documented and rely on informal channels of communication” Adlington, 2006.

● Lack of institutional guidance (ie. under review)

Practicum Project created to analysis our electronic resources documentation and come up with a recommendation for records schedule.

The TERMS Model

Techniques for Electronic Resource Management

● Best Practices to guide ER Librarians● “Attempt to create an on-going and

continually developing set of management best practices for electronic resource management in libraries”

● Many of the processes applied to print acquisition are not sufficient

Emery, J., and Stone, G. (2013).

Records Management - Some definitions

Records Management: “The field of management responsible for establishing and implementing policies, systems, and procedures to capture, create, access, distribute, use, store, secure, retrieve, and ensure disposition of an organization’s records and information.”

Record: “Any recorded information, regardless of medium or characteristics, made or received by an organization in pursuance of legal obligations or in the transaction of business”

(ARMA, 2012)

Archival Preservation

Records Management Introduction

Retain or Destroy

Records Lifecycle

Storage & Maintenance

Use & Distribute

Create/Receive

Records Management Introduction

“Systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification system” (ISO RM Standard 15489-1:2001, S. 3.5)

● Functional classification: arrangement/classification based on the major responsibilities of the institution and further divided into activities within the functions, series of documents created during these activities and individual records in the series

Records Classification

FUNCTION ACTIVITY SERIES RECORDS

Records Management Introduction

● Function: E-Resources management ● Activities: based on the TERMS model

● Investigation● Acquisition● Implementation● Evaluation● Review● Cancel/Replacement

Records Classification

ER Management ACQUISITION INVOICES

Records Management Introduction

● Assists in the management of records ● Document that gives the length of time inactive records are retained before

destruction/archiving ● Provides rationale behind retention policy, direction and guidance on other

recordkeeping requirements ● Help ensure legal/fiscal retention requirements for all records are met ● Identify records requiring enhanced protection or control● Identify the record custodian for all multi-copy or official records

Records Retention Schedule

(Fischer, Laurie. 2006)

Records Management Introduction

● Reduce space dedicated to storage of active records by guiding the disposal of inactive, duplicate, or obsolete material

● Establish timeframes in which records are to be transferred on a scheduled basis from active to inactive storage areas

● Provide the go-ahead to purge unnecessary records from inactive records storage areas

(Fischer, Laurie. 2006)

Records Retention Schedule

Retention Schedule for Financial Management

Ryerson University (2016).

Records Review Strategy

● Background Research● Records survey interviews with ER staff ● Records inventory ● Classification, retention & recommendations● Feedback and Revision

Records Management

Results Interview Tool

Records Management Results Records Classification (draft)

Records Management Results Records Classification (draft)

Activity (TERMS): Acquire

Record Series Records Positions Format Description

E-resource invoices & receipts

E-Serials Renewal Invoice, New E-Serials Invoices, Approved Firm Order Invoices, Copy invoices for E-books, Non-standing order invoices, Direct invoices, Ebsco Vendor licences/invoices, Consortial invoices & Statements of Account, Confirmation of payment E-resources, Proof of payments, Receipts.

Serials Technicians, E-Resources Librarians, Serials Librarians, Head of Collections, Acquisitions Assistants

PDF, paper, Millennium record, Excel

Invoices and receipts for all all E-resources (serials and E-books) from all vendors, including renewals, new orders, subscriptions, Consortial, and direct orders.

Records Management Results Records Classification (draft)

Activity (TERMS): Evaluation & Access/Review

Record Series Records Positions Format Description

E-Resources title lists

Consortial, serial, and E-book title lists

E-resources Librarians, Head of Collections, Serials Technicians

Email, shared drive, Google drive

Lists of titles including changes sent via email, lists of titles as part of licences or separate files, vendor and consortial lists of serials.

Records Management Results Records Retention Schedule

RULA Retention Ryerson University Retention

Records Management Results Records Classification (draft)

Activity (TERMS): Acquire

Record Series Records Format Ryerson Retention RULA Retention

E-resource invoices & receipts

E-Serials Renewal Invoice, New E-Serials Invoices, Approved Firm Order Invoices, Copy invoices for E-books, Non-standing order invoices, Direct invoices, Ebsco Vendor licences/invoices, Consortial invoices & Statements of Account, Confirmation of payment E-resources, Proof of payments, Receipts.

PDF, paper, Millennium record, Excel

YEF+7 Indefinitely (perpetual access); YEF+7 expiring access

Records Management Results Records Classification (draft)

Activity (TERMS): Evaluation & Access/Review

Record Series Records Format Ryerson Retention RULA Retention

E-Resources title lists

Consortial, serial, and E-book title lists

Email, shared drive, Google drive

YEF+7 Indefinitely (perpetual access); YEF+7 expiring access

Selected Findings & Recommendations

Selected Findings & Recommendations

Records storage locations are inconsistent, no standardization in digital formats or naming protocols

Archival records should be digital (PDF) wherever possible. Centralize records in a shared, secure storage, preferably using a digital preservation system

(Archivematica), Purge locally stored records annually, include naming protocols in workflows

Selected Findings & Recommendations

Fully executed (countersigned) agreements are not always returned

Add receipt of executed documents to workflows where appropriate, and follow up with vendors

Selected Findings & Recommendations

Renew process is not scheduled for all resources, some E-serials renewals do not come in time for Finance to process the payments before service is interrupted.

Add ticklers to LMS for renewal that precede expiration by 60 days

Selected Findings & Recommendations

No scheduled confirmation of performance of perpetual access resources

Spot check perpetual access items annually, Records related to perpetual access resources should have an indefinite retention period

Selected Findings & Recommendations

Records stored on ILS are not accessible for download/preservation, records store on finance or consortia systems are not routinely harvested

Ensure transparent records retrieval is part of the review of new systems, schedule retrieval of available records

Selected Findings & Recommendations

Confirmation of payment is not sent by most vendors

Request receipts where required

Selected Findings & Recommendations

Siloing of the financial department / lack of transparency around payment procedures

Consider embedding a financial representative within the library

What worked/didn’t work

● Starting with individual workflows● Classification based on TERMS model

(functional classification, “big bucket” model)

● Creating a timeline for the project and holding project update meetings once a week

● University Records Manager was very helpful!

● Not communicating the need for the project in full prior to interview

● Undergoing the records review during the mid-summer months (June & July)

● Relying on the University’s retention schedule

✗✓

Planned Next Steps

Define User Requirements for an electronic records management system

Implement proof of concept system

Administration needs to make decisions as related to the schedule

Discuss records schedule & implementation plan with appropriate personnel for input

Revise classification & schedule as needed

Plan for implementation into workflow

References

Sources:

ARMA International. (2012). Glossary of Records and Information Management Terms, 4th ed. Overland Park, Kansas: ARMA International.

Bennick, A & Sitton, J.V. (2014). How to Conduct a Records Survey. Information Management. June 2014. (pp. 38-41).

Emery, Jill and Stone, Graham (2013) Techniques for Electronic Resource Management (TERMS): From Coping to Best Practices. In: 2014 AALL Annual Meeting and Conference, 12-15 July 2014, Henry B. Gonzalez Convention Center San Antonio, TX.

Fischer, Laurie. (2006). Condition critical: Developing records retention schedules. The information journal. P. 26-34.

International Standards Organization. (2001). ISO 1589-1:2001 Information and documentation - Records management.

Images adapted from:

Lyndon, Victor (Producer), & Kubrick, Stanley (Director). (1964). Dr. Strangelove: Or how I learned to stop worrying and love the bomb [Motion picture]. United States: Columbia Pictures.

Discussion

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