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Got Technology? Technology Got Records Management (RM)?

Got Technology? Technology Got Records Management (RM)?. Daryll Prescott August 18, 2010. Records Management 101. All records are documents Not all documents are records Records are Received or created in the context of business activity Provide the evidence of work

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Got Technology? Technology Got Records Management (RM)?

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  1. Got Technology?Technology Got Records Management (RM)? Daryll Prescott August 18, 2010

  2. Records Management 101 • All records are documents • Not all documents are records • Records are • Received or created in the context of business activity • Provide the evidence of work • Required because of business >OR< regulatory reasons (OSHA, IRS, etc.,) • Federal agencies are regulated by federal agencies just like industry requiring records be created and managed 2 of 28

  3. More Records Management 101 • Documents envy records • Why? • Records hang around with other records like them –their “buddies” • They keep their buddies until disposition • Documents can be destroyed at will • Records are controlled and can only be destroyed with appropriate authority, and process 3 of 28

  4. Context for Real Use Today • Diplomatics – the study of old official documents that determine their age and authenticity • Similarities across cultures and time • Property, tax, land use, etc. • Authenticity – Also sometimes known as lineage, pedigree 4 of 28

  5. Lets Talk About the Past Paper WorldWhy did it work and why didn’t youever think about it? • Centrally controlled – administrator, secretary • File cabinet controlled and locked • This was Authenticity • Reliability – who, what, why... • Provenance – the authority (juridical person) that received or created the record 5 of 28

  6. Do you Remember?What did it look like? • Had to ask for the record from someone • Physical Control • Sign-out Card • Suspense date to return • Receiver identified • Had annotations • Records associated to records through their record category 6 of 28

  7. What was then is missing now These are category 1045a paper records for calendar year 1982, exactly the same as 1045a records from 1981 and that will be the same as 1045a records in 1983 Electronic environments don't “expose” these attributes, however they may be there in one form or another 7 of 28

  8. Constructs of RM not being identified in operational technologies today • Reliability: The document is captured immediately. Who, what, when, where, and why are captured along with the context in which it was created/received • Authenticity: The quality or condition of being trustworthy or genuine into the future • Provenance: • The juridical person that received or created the record • Recordkeeper – the person responsible for keeping the authenticity of the record over time 8 of 28

  9. Constructs of RM not being identified in operational technologies today • Secretaries/Administrators traded for computers • Records manager positions removed • Those that survived • Often not included in technology decisions • Kept in the universe of paper • Lets Muddy the Water More • Archive (RM) v. archive (IT) • Document (RM) v. document (object) (IT) • Record (RM) v. record (IT) 9 of 28

  10. 1940’s – Today: What about technology? • Absent RM requirements at acquisition • Absent RM during management • Sometimes considered at decommissioning • First electronic RM standards didn’t show up until the mid to late 1990’s • By edict or because of an unwillingness to deal with or pay for functionality everything was “out of scope” for RM requirements 10 of 28

  11. Today and tomorrow • RM requirements at acquisition • Higher emphasis on doing RM at the front end • Not during use • Not at decommissioning or retirement • Utilize industry standards that meet U.S. Law • Understand current functionality • Does the system do RM but by another name? • Systems functions = RM functions? 11 of 28

  12. “Not Records” – Right / Wrong? • System backup and Disaster recovery • May become the records of the organization • Subject to RM requirements? • Just because someone states there’s no records doesn’t make it a reality • If decisions are being made? Probably a record • Wiki pages area a good example where wiki tools are used to collaborate and make decisions • Data – maybe, maybe not, depends… • Corollary to above: Being an email doesn’t make it a record 12 of 28

  13. U.S. Government Laws and Policies: These define records creation, management, and disposition • HIPAA • SEC 17a • FDA Title 21 CFR 11 • Patriot Act • Sarbanes-Oxly 13 of 28

  14. U.S. Government Laws and Policies: These define records creation, management, and disposition • Require records be • Captured • Managed • Dispositioned • Made available and accessible over time • Clearly indicate the consequences of not performing records management • Fines • Being shut down 14 of 28

  15. Some Federal Laws and Policiesaffecting technology • 44 U.S.C. records management • 36 C.F.R. records management • OMB Circular A–130 • OMB Letter to Agency Chief Information Officers, March 31, 2008 • The Privacy Act • The Freedom of Information Act 15 of 28

  16. Where to look for help with recordsmanagement requirements and solutions • DoD 5015.2 v3 • Others with RM or RM-like Requirements • MoReq2 • AS ISO 15489 • EU Markets in Financial Instruments Directive • Dublin Core 16 of 28

  17. What do they have in common? • Targeted core RM activities • Written for current electronic environments and systems in mind • Developed with full knowledge and understanding of today’s technologies But How About Tomorrows? 17 of 28

  18. For U.S. Agencies – Two AnswersAvailable Today • Functional based solution: DoD 5015.2 STD • DoD 5015.2 Applications are certified by the Joint Interoperability Test Command against the 5015.2 test standards • Services based solution: OMG Specification for Records Management Services • They are not mutually exclusive, they can work together • OMG Specification provides both functional requirements and UML for development, acquisition, and evaluation of solutions 18 of 28

  19. Comparative Viewpoint of DoD 5015.2and OMG RMS • 5015.2 • Application that controls the management of the records • Certified by DoD • Proven track record since 1997 • OMG RMS • Acquired at many different levels within the environment or system • Used to identify current functionality without additional costs that do records management • Supports service oriented environments • Is compatible with DoD 5015.2 19 of 28

  20. U.S. Government and the OMG 20 of 28

  21. RECORD CAPTURE SERVICE • PROVENANCE SERVICE • ESTABLISH AND UPDATE FUNCTIONS • RECORD KEEPER AND RECORD KEEPER UPDATE FUNCTIONS • CATEGORY SERVICE • ESTABLISH AND UPDATE FUNCTIONS • AUTHENTICITY SERVICE • ESTABLISH AN VALIDATE FUNCTIONS 21 of 28

  22. CASE FILE SERVICE • CASE FILE PART FUNCTION • DISPOSITION SERVICE • ESTABLSIH AND UPDATE FUNCTIONS • SUSPEND FUNCTION • REINSTATE FUNCTION • ENABLE TRANSFER FUNCTION • ENABLE DESTRUCTION FUNCTION • REFERENCE SERVICE • ASSOCIATE FUNCTION • DISASSOCIATE FUNCTION 22 of 28

  23. 18 Agency and NARA Vision • Records Management Services just like: • Time • Date • Human interface (keyboard, mouse, mike, etc) • Audio services Applications use these services so application don’t have to provide them 23 of 28

  24. 18 Agency and NARA VisionCreate, Receive, and Manage at O/S:Application level Service called to execute disposition Record is kept in environment created or received. Audit service called to verify authenticity Disposition service called to assign record category, disposition Application calls RM services just like date, time, human interface… 24 of 28

  25. Technology and Records Management:Future • RM functionality is native as a service in the • Receiving, or • Creating electronic system • Move towards environment based • Records Management, but not • Away from application based RM Solutions • Systems have RM-like functions • Identify them • Leverage them • Declare RM compliance 25 of 28

  26. How to be good at records management • Know the difference between permanent, temporary, and long term temporary? • Always ask “Is it a record?” • If it’s a record what is its disposition? • How does the disposition affect your budget, current and future technologies? • Don’t play the name game. Is it being called an object, document, data, or some other descriptor in order to avoid records management requirements? 26 of 28

  27. What will the Future of Records Management Look Like? Hopefully not… 27 of 28 Hello Dave…

  28. Daryll Prescott 703.608.0424 drp@tethersend.com 28 of 28

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