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Developing a Standards-Based Records Management Program

Developing a Standards-Based Records Management Program. Frank McGovern Product Marketing Engineer. Agenda. Trends and Challenges in RM Defining and Positioning RM Overview of Relevant RM Standards Using ISO 15489 Key Take-Aways. Records Management Trends.

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Developing a Standards-Based Records Management Program

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  1. Developing a Standards-Based Records Management Program Frank McGovernProduct Marketing Engineer

  2. Agenda • Trends and Challenges in RM • Defining and Positioning RM • Overview of Relevant RM Standards • Using ISO 15489 • Key Take-Aways

  3. Records Management Trends • Decline in number of staff specializing in filing • Investment in Software functionality that creates records is growing • Mission critical records are often not sharable, retrievable or useable • Copies proliferate; data conflicts or is unreliable • Email often replaces phone conversations, meetings and formal written communication • Instant Messaging increasingly replaces email • Litigation and discovery costs skyrocketing • Authenticity is questioned • Premature destruction NARA

  4. The Challenge of Electronic Records • Authenticity – Over Time • Variety – 4,800+ Different Types of E-Record Formats • Complexity – Increasingly Sophisticated Formats • Volume – Vast Quantities of Records • Obsolescence – Constantly Changing Technology • User Expectations –Evolving, Unrelenting NARA

  5. Effective Records Management: • Simultaneous attention to People, Process and Technology • Integrating Records Management into an Organization’s Business Processes and IT Governance and Applications NARA

  6. Defining a Record • Recorded information • Made or received by an organization • Regarding legal obligations or transactions • Evidence of operations • Has value requiring retention for a specific period of time • Regardless of recording format, medium or characteristics

  7. Characteristics of a Record • Authenticity – It is what is says it is. • Reliability – It can be trusted as a full and accurate representation of the transactions or facts. • Integrity – It is complete and unaltered. • Usability – It can be located, retrieved, presented and interpreted ISO 15489

  8. RM from 10,000 Feet • Supports event and time based retention rules • Structured file plan organizes records and manages, enforces complex policies/rules • Enables legal holds, facilitates audit and electronic evidence discovery • All processes are audited and managed • Ensures record authenticity, integrity and contextual relationships

  9. RM from 10,000 Feet • Preserves records over time and ensures reliability • Ensures record access, retrieval and usefulness • Prevents unauthorized deletion • Ensures timely disposition and complete record expungement • Ensures privacy and record security policy management • Supports physical records

  10. Records Management Standards • DoD Standard 5015.2 • ISO Standard 15489 • ANSI/ARMA 9-2004 • VERS • DOMEA • MOREQ

  11. DoD 5015.2 • RM Software Certification and Testing Program • DoD certification required for software sales to Department of Defense, National Archives and Records Administration (NARA), federal government agencies • De facto industry standard • Key Sections • Definitions • Mandatory Requirements • General • Detailed • Non-Mandatory Features • Requirements defined by the Acquiring Organizations • Other Useful Features • Classified (Secret) Records

  12. Impact of DoD 5015.2 Standard • Adoption and recognition by vendor community • 50+ Vendors/Products Currently Certified • Standalone (RM only) • Product pairings (RM + ECM Suite) • Multiple Versions (Certification valid for 2 years) • Multiple Environments (Oracle/MS SQL/DB2) • 45 Vendors/Products Scheduled • Mandatory for most government opportunities • Mandatory/highly desirable for most Fortune 1000 Companies and others • FileNet Records Manager is certified (Chapter 2)

  13. ISO Standard 15489 • Information and Documentation, Records Management • Part I – General • Part II – Guidelines • Important standard, gaining momentum throughout world • Framework for records program design in many industries

  14. Key Points • Principles of Records Management Programs • Determining which records should be created • Deciding form and structure • Metadata requirements • Retrieval requirements • How to organize records • Assessing risks • Preserving records • Complying with legal and regulatory requirements • Security • Records retention • Improvement opportunities

  15. Impact • UK National Archives has formally adopted ISO 15489 • Embraced in many UK FOI deployments • Foundation for US NARA’s Strategic Redesign of RM • Adopted by Australian Federal Government • Used by Auditor General to monitor Government performance • Translated in many Languages • Recognized by ARMA • Basis of FileNet’s RM Best Practices

  16. MOREQ (European Union) • Model Requirements for the Management of Electronic Records • Focus on the functional requirements for electronic records management systems—390 requirements • Key areas: • Classification Schemes • Controls and Security • Retention and Disposal • Capturing Records • Referencing • Searching, Retrieval, and Rendering • Administrative Functions

  17. ANSI/ARMA 9-2004 – Email Standard • Requirements for Managing Electronic Messages as Records • Describes • Retention and Disposition IAW Records Retention Schedule • Acceptable Use • Access and Retrieval • Appropriate Security Measures • Network Security • Protection of Confidential Information • Identification and Protection of Vital Records • Remote Access • Back-Up • Metadata Capture • Audit Trails • Anti-Virus Protection • No certification program

  18. VERS Standard (Australia) • Victorian Electronic Records Strategy • Generic, extensible standard • Works with existing recordkeeping and business practices • Ensures records preservation • Enable viewing of records in the future, regardless of systems that created them • Specifies methods to capture records from desktop and business systems • Specifies ways to capture meta data • Preserves contextual relationships • Details audit trail methodologies so that changes to records are detectable

  19. DOMEA (Germany) • Document Management and Electronic Archiving • RM for case files • Governs • Completeness, integrity and authenticity of official records, to guard against official documents being altered, changed, removed, destroyed or deleted. • The records principle of public administration, i.e., documents are organized in subject files. • Maintenance of adequate and proper documentation for accountability and lawfulness of administrative procedures.

  20. RM Standards Summary RM STANDARDS *Formal Certification Programs

  21. ISO 15489 - Part 1 General • Applies to the management of records, in all formats or media, created or received by any public or private organization in the conduct of its activities, or any individual with a duty to create and maintain records • Provides guidance on determining the responsibilities of organizations for records and records policies, procedures, systems and processes • Provides guidance on records management in support of a quality process framework to comply with other ISO standards • Provides guidance on the design and implementation of a records system

  22. ISO 15489 – Part 2 Guideline • Provides guidance on implementing the policies and procedures in Part 1 • Developing Policies and Procedures • Formulating Records Management Strategies • Designing the Records Management Program Elements • Implementing the Solution • Establishing Processes and Controls • Programs to Monitor and Audit the Program • Training the Organization of RM Policies and Procedures

  23. Steps to Sound Records Management • Develop/Review Policies and Responsibilities • Strategic Planning, Program Design and Implementation • Develop Records Processes and Controls • Monitoring and Auditing Requirements • Planning and Executing Training Programs

  24. Develop/Review Policies and Responsibilities • Develop Records Management Policy Statements • Documents Policies and Procedures Performed in the Normal Course of Business • Authorized by Highest Level in the Organization • Define Responsibilities and Program Authorities • Requires Employees to Declare Records • Ensure Records Created as Part of the Process • Provide Transparent or Easy Access • Provide Protection of Records • Enforces Records Disposition Policies

  25. Strategic Planning, Program Design and Implementation Step A: Conduct preliminary investigation Step B: Analyze business activity Step C: Identify requirements for records Step E: Identify strategies to satisfy requirements Step F: Design records system Policy Design Standards Implementation Step D: Assess existing systems Step H: Conduct post-implementation review Step G: Implement records systems

  26. Strategic Planning, Program Design and Implementation • Conduct Preliminary Investigation • Analyze Business Activities and Processes • Identify Records Requirements • Assess Existing Systems • Develop Strategies for Meeting Records Requirements • Design the Records System • Implement the Records System • Perform Post-Implementation Review

  27. Develop Records Processes and Controls • Instruments of Control • Classification Scheme Based on Business Processes • Disposition Processes • Security and Access Controls • Analyze Regulatory Requirements • Perform Risk Analysis • Identify Employ and User Permissions • Classify Business Activities • Create Thesaurus, Glossary • Establish Records Disposition Authority • Determine Documents/Objects to Classify as Records • Develop Retention Schedules

  28. Develop Records Processes and Controls • Capture • Registration • Classification • Access and security classification • Identification of disposition status • Storage • Use and tracking • Implementation of disposition

  29. Monitoring and Auditing Requirements • Identify Requirements for Compliance Auditing • Determine what Evidential Weight is Necessary • Develop Performance Metrics and Monitoring and Reporting Processes

  30. Policies, Controls and Process Evidence and Proof Auditing and Monitoring CA Database Protection Act Basel II SOX Patriot Act HIPAA Business and Messaging Apps Records Management

  31. Auditing and Monitoring August 2004 Industry Advisory Council White Paper

  32. Auditing and Monitoring August 2004 Industry Advisory Council White Paper

  33. Auditing and Monitoring August 2004 Industry Advisory Council White Paper

  34. Auditing and Monitoring August 2004 Industry Advisory Council White Paper

  35. Planning and Executing Training Programs • Identify Records Management Training Requirements for the Organization • Determine the Personnel that Must be Trained • Managers, including senior managers, • Employees, • Contractors, • Volunteers, • Other personnel who have a responsibility to create or use records • Provide Records Management Professionals Training • Determine Training Methods • Evaluate Effectiveness of Training

  36. Key Take-Aways • Records Management is a journey • RM Software applications are tools, not a substitute for policy • The ISO Standard 15489 serves as an excellent model for an RM program

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