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Electronic Records Management with Technologies COMP 7780 1 Electronic Records Management with Technologies COMP 7780 1

Outline Databases and Data Warehouse Collating Sequence Issues Electronic Record Management Storage Media Technologies Outline Databases and Data Warehouse Collating Sequence Issues Electronic Record Management Storage Media Technologies Record Imaging

Using Databases Using Databases

Using Databases are organized for rapid search and retrieval (Relational) Databases have objects: ◦ Using Databases are organized for rapid search and retrieval (Relational) Databases have objects: ◦ Tables (store data) ◦ Forms ◦ Queries ◦ Reports

Database Table (MS Access) Fields are arranged in columns Records are arranged in rows Database Table (MS Access) Fields are arranged in columns Records are arranged in rows

Data Hierarchy in Relational DB Data Hierarchy in Relational DB

Finding Information in DB Use the Find feature ◦ Can be used on any Finding Information in DB Use the Find feature ◦ Can be used on any field ◦ Partial names can be used Query by Example (QBE) ◦ Choose fields ◦ Choose sorting order: ascending or descending Structured Query Language (SQL)

Query in Design View Query in Design View

Query Results Table Query Results Table

MS Access Report MS Access Report

Relations and Multi-table Query Real power of relational DB … Relations and Multi-table Query Real power of relational DB …

Example DB Schema Unified Modeling Language Class Diagram notation Example DB Schema Unified Modeling Language Class Diagram notation

Databases and E-Commerce HTML (Hyper. Text Markup Language) is the language browsers interpret and Databases and E-Commerce HTML (Hyper. Text Markup Language) is the language browsers interpret and display. Web Server receives instructions from coding on the form. The coding opens the database and returns or adds information to it.

Data Warehouses Data warehouse: Stores data used to make decisions ◦ Obtained periodically from Data Warehouses Data warehouse: Stores data used to make decisions ◦ Obtained periodically from transaction databases ◦ Snapshot of situation at specific time ◦ Different from operational databases Customer data is most common type of data housed ◦ Corporate use transcends reporting internal data to business intelligence today

Data Warehouses (2) Metadata ◦ The part of the warehouse that defines the data Data Warehouses (2) Metadata ◦ The part of the warehouse that defines the data Explains meaning of each data element and sets standards e. g. to reconcile data from legacy systems Quality data ◦ The cleaning process to adhere to metadata standards The older the data the more suspect its quality Datamart ◦ A subset of data pulled off the warehouse for a specific group of users Faster search time and lower costs

Data Warehouses (3) Five steps in a data warehousing project: 1. 2. 3. 4. Data Warehouses (3) Five steps in a data warehousing project: 1. 2. 3. 4. 5. Define the business uses of the data Create the data model for the warehouse Cleanse the data to ensure data quality Select the user tools Monitor usage and system performance

Example Data Warehouse Schema Example Data Warehouse Schema

How Computers Sort Text Data Character Standards ◦ The first 128 characters of the How Computers Sort Text Data Character Standards ◦ The first 128 characters of the possible 256 are assigned specific numeric values. ◦ ASCII (American Standard Code for Information Interchange) Values Chart lists the value for spaces, symbols, number and lowercase and uppercase letter.

Collating Sequence Issues Collating Sequence Issues

ASCII Values Chart ASCII Values Chart

Usage Note 1: Case Sensitivity Many computer applications ignore upper and lowercase letters. Default Usage Note 1: Case Sensitivity Many computer applications ignore upper and lowercase letters. Default settings for Word and Excel treat the letters the same whether lower or uppercase.

Usage Note 2: Extended ASCII Characters Due to the original IBM PC Different code Usage Note 2: Extended ASCII Characters Due to the original IBM PC Different code pages for different languages English ordering ignore diacritics (é ê ë è )

Usage Note 3: Collating Sequence of Other Countries Diacritics ◦ marks over and around Usage Note 3: Collating Sequence of Other Countries Diacritics ◦ marks over and around letters ◦ For sorting purposes the characters may be considered to be the same letter in most languages. English, French, German ◦ May be treated as different letters in some other languages. Turkish dictionaries treat o and ö as different letters, and oyun comes before öbür. Similiary, Digraph (e. g. ß = ss in German) or Trigraph treated as either multiple letters (majority) or one letter in different languages. In several languages the rules have changed over time. ◦ older dictionaries may use a different order than modern ones. See: http: //en. wikipedia. org/wiki/Collating_sequence

Encoding Systems for Eastern Languages Two-byte encoding systems Simplified Chinese characters GB (mainland China) Encoding Systems for Eastern Languages Two-byte encoding systems Simplified Chinese characters GB (mainland China) Traditional Chinese characters Big-5 (Hong Kong and Taiwan) Japanese JIS, Shift-JIS, EUC-JIS, New-JIS Korean KSC

Using Unicode Char Big 5 Unicode Worldwide Character Standard International Standards Organization (ISO) ISO Using Unicode Char Big 5 Unicode Worldwide Character Standard International Standards Organization (ISO) ISO 10646 4 byte (32 bit) per character Include all major characters set + 4, 914 dialect characters approved by the Hong Kong government ISO 10646

Applying Indexing Rules to Computer Applications Follow Rules 1– 10 from Chapters 2– 4 Applying Indexing Rules to Computer Applications Follow Rules 1– 10 from Chapters 2– 4 Key indexing units in mixed case with no punctuation Spell out all symbols Format numbers for proper sorting

Rule 5: Titles and Suffixes Numeric suffixes (I, II) are filed before alphabetic suffixes Rule 5: Titles and Suffixes Numeric suffixes (I, II) are filed before alphabetic suffixes (CPA, Jr. , Sr. ).

Comparison of Sort Order for Suffixes Comparison of Sort Order for Suffixes

Rule 7: Numbers in Business Names Numbers written as digits are keyed so that Rule 7: Numbers in Business Names Numbers written as digits are keyed so that all numbers have an equal number of digits and align on the right. Add (adequate) leading zeros Another way: use numeric fields in DB

Comparison of Sorted Numbers with and without Leading Zeros Comparison of Sorted Numbers with and without Leading Zeros

Electronic Record Management Electronic Record Management

Electronic Record Life Cycle Create and Save Distribution and Use Maintenance Disposition Electronic Record Life Cycle Create and Save Distribution and Use Maintenance Disposition

Creation and Storage Electronic files are created in applications. The file is created when Creation and Storage Electronic files are created in applications. The file is created when it is saved with a filename and stored on a computer drive. Folder structure ◦ Broad and shallow ◦ Use meaningful names Filenames—use meaningful names

Use and Distribution Electronic documents distribution ◦ printed and sent through regular mail ◦ Use and Distribution Electronic documents distribution ◦ printed and sent through regular mail ◦ attached to an e-mail ◦ available on the organization’s intranet ◦ available on shared drive on the LAN ◦ published on Websites / blogs …

Maintenance Electronic files are maintained through ◦ Move ◦ Copy ◦ Back up ◦ Maintenance Electronic files are maintained through ◦ Move ◦ Copy ◦ Back up ◦ Restore Synchronization problem ◦ PC and mobile devices (PDA / phone…) ◦ Home / office / laptop PC ◦ PC and servers / web / DB / host …

Disposition Electronic records disposition ◦ Data migration to archive ◦ Delete after retention period Disposition Electronic records disposition ◦ Data migration to archive ◦ Delete after retention period

Storage Media Technologies Storage Media Technologies

Relationship Between Electronic and Image Records Electronic record—a record stored on electronic storage media Relationship Between Electronic and Image Records Electronic record—a record stored on electronic storage media that can be readily accessed or changed. ◦ A machine-readable record—digitized and coded information that must be translated by a computer or other equipment before it can be understood. Image record—a digital or photographic representation of a record on any medium such as microfilm or optical disk.

Electronic Media Magnetic media—magnetically coated materials used by computers for data storage. Optical media—high-density Electronic Media Magnetic media—magnetically coated materials used by computers for data storage. Optical media—high-density information storage medium where digitally encoded information is both written and read with a laser.

Magnetic Media Floppy disk or diskette Hard disk Magnetic tape Redundant array of independent Magnetic Media Floppy disk or diskette Hard disk Magnetic tape Redundant array of independent disks (RAID) Videotape Removable / USB hard disk

Optical Media Basic 1 x Speed (Mbit/s) Approximate Maximum Speed Capacity Speed (Mbit/s) Multiples(×) Optical Media Basic 1 x Speed (Mbit/s) Approximate Maximum Speed Capacity Speed (Mbit/s) Multiples(×) Read only media Read/ Write media 1 st generation: CD 1. 17 56× 65. 62 650/700 MB 2 nd generation: DVD 10. 55 20× 232. 10 4. 7 -17 GB 4. 7/8. 5 GB 36 12× 432 25 -100 GB 25/50 GB 3 rd generation: BD Read-Only, Record Once (-R), Read-Write (-RW) All removable from drive

Advantages of Removable Data Storage Devices Can be stored in locked cabinets, vaults, or Advantages of Removable Data Storage Devices Can be stored in locked cabinets, vaults, or other secure locations Can be used in other computer systems with compatible drives Can be used to back up conventional hard drives and to restore electronic records if a removable drive fails Can be used with an identical device if a removable drive fails

Data Input Computer keyboard Scanner Bar code scanner RFID scanner Optical character recognition (OCR) Data Input Computer keyboard Scanner Bar code scanner RFID scanner Optical character recognition (OCR) Fax machine Handheld devices Removable disks Mobile communication devices Push technology

Storage and Retrieval Procedures Indexing electronic records involves assigning identifier codes or filenames and Storage and Retrieval Procedures Indexing electronic records involves assigning identifier codes or filenames and using keywords, or using directories and subdirectories Retrieving involves identifying categories and subcategories of electronic records and directories and subdirectories where they may be stored

Label Information — Removable Data Storage Devices Department, unit, or organization that created the Label Information — Removable Data Storage Devices Department, unit, or organization that created the records Name of records series Inclusive dates, numeric series, or other identifying information Type of computer used to create the records Software name and version used to create the records

Label Information — Centralized Data Processing Facilities Complete listing of files contained on the Label Information — Centralized Data Processing Facilities Complete listing of files contained on the medium Manufacture date for the medium Security precautions and access restrictions Type of copy—working or storage Any special attributes of the medium

Retention and Disposition Duplicate records Media compatibility and stability Access E-mail records Active records Retention and Disposition Duplicate records Media compatibility and stability Access E-mail records Active records storage Inactive records storage and archives

Disposition of Electronic Records Medium Disposition Magnetic disks Delete file(s) from disk and overwrite Disposition of Electronic Records Medium Disposition Magnetic disks Delete file(s) from disk and overwrite space with new information Magnetic tapes Restore all files to hard disk, delete selected files, write remaining files to tape CD-ROM disks Restore all files to hard drive, delete selected files, write remaining files to new CD-ROM, and shred original CD-ROM CD-RW, CD Restore files to hard drive, delete selected -R disks files, rewrite remaining files to same disk

Records Safety Adopt protective measures for hardware, software, and media Convert records on magnetic Records Safety Adopt protective measures for hardware, software, and media Convert records on magnetic media to hard copy, optical disks, or microforms for longterm storage Protect against loss of files Take measures to prevent computer viruses

Records Security policy and checks Security measures Data protection Security for faxed documents E-mail Records Security policy and checks Security measures Data protection Security for faxed documents E-mail retention policies

Record Imaging Record Imaging

Image Media Microform—the collective term for all microimages such as microfilm, microfiche, aperture card, Image Media Microform—the collective term for all microimages such as microfilm, microfiche, aperture card, and microfilm jacket Micrographics—the technology by which recorded information can be quickly reduced to a microform, stored conveniently, and then easily retrieved for reference and use

Types of Microforms Roll microfilm Microfiche Microfilm jacket Aperture card Computer-output microform or microfilm Types of Microforms Roll microfilm Microfiche Microfilm jacket Aperture card Computer-output microform or microfilm (COM)

Stages of an Image System Preparation ◦ Prepare records for imaging Processing ◦ ◦ Stages of an Image System Preparation ◦ Prepare records for imaging Processing ◦ ◦ Index and code records Microfilm or scan records Process microfilm Make duplicate copies for use Continued on next slide

Stages of an Image System Use ◦ ◦ Store records Retrieve records View/read records Stages of an Image System Use ◦ ◦ Store records Retrieve records View/read records Print hard copy (optional) Continued from previous slide

Commercial Imaging Services Microfilming Processing Duplicating Inspecting and testing Loading and labeling cartridges Producing Commercial Imaging Services Microfilming Processing Duplicating Inspecting and testing Loading and labeling cartridges Producing microfilm jackets and aperture cards Scanning microforms Storing master copies of vital records

Microform Storage Recommendations Store storage and working copies in vertical, upright position Avoid stacking Microform Storage Recommendations Store storage and working copies in vertical, upright position Avoid stacking microforms Use drawer cabinets for reels and cartridges Store microfilm reels and cartridges in boxes Store cartridges in carousels partitioned for boxes Continued on next slide

Microform Storage Recommendations Store flat microforms in drawer cabinets, separated by tabbed dividers Store Microform Storage Recommendations Store flat microforms in drawer cabinets, separated by tabbed dividers Store microforms upright in open or closed trays for desktop use or place into cabinets for security Use microform storage panels with pockets to insert microfiche or microfilm jackets (optional). Continued from previous slide

Storage Environment Recommendations Prohibit eating, drinking, and smoking in microform work areas. Keep containers Storage Environment Recommendations Prohibit eating, drinking, and smoking in microform work areas. Keep containers and equipment clean. Maintain maximum temperature no greater than 77°F; relative humidity from 20– 50%; variations no more than 10% a day. Store microform storage copies in a fire-resistant room or vault. Store duplicate vital microforms in another location. Continued on next slide

Storage Environment Recommendations Store microform storage copies in drawer cabinets or shelving units with Storage Environment Recommendations Store microform storage copies in drawer cabinets or shelving units with doors. Use air-conditioning or airfiltration system. Use acid-free film reels, storage boxes, and paper enclosures or attachments. Remove deteriorating microforms from storage. Replace with duplicate copies. Use safety and security protection; limit access; protect from damage or loss. Continued from previous slide

Microform Display Devices Microform reader Single-purpose reader Multipurpose reader Stationary reader Microform viewer Microform Microform Display Devices Microform reader Single-purpose reader Multipurpose reader Stationary reader Microform viewer Microform projector Reader/printer Universal reader/printer Reader/Scanner Microfilm drive (M drive)

Retention Guidelines Type of Record Retention Guidelines Records kept for three Keep as paper Retention Guidelines Type of Record Retention Guidelines Records kept for three Keep as paper records or on years or less magnetic or optical disk storage Records kept for 7 to 15 years Vital and archival records Consider optical disk storage or microfilm Keep on microfilm Multiple copies Multi-site (off-site) backup

Software Tracks and manages paper, electronic, and image records Increases rapid access to records Software Tracks and manages paper, electronic, and image records Increases rapid access to records Reduces number of misplaced records Maintains records indexes, charge-out files, and retention and destruction records

Questions? Dickson K. W. Chiu dicksonchiu@ieee. org Questions? Dickson K. W. Chiu [email protected] org

Class Discussion (1) Backup and Media Reliability ◦ ◦ Personal experience in losing data Class Discussion (1) Backup and Media Reliability ◦ ◦ Personal experience in losing data due to media failure due to operational / software mistakes virus / hackers … Remedy: personal / company experience in doing backup

Class Discussion (2) Losing track of information You did have the information / file Class Discussion (2) Losing track of information You did have the information / file but you spent much time in finding it. Why? Any remedy experience?