electronic records – the sequel

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Electronic Records – The Sequel Arian D. Ravanbakhsh, NARA NACRC Conference July 14, 2007 Richmond, VA

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Electronic Records – The Sequel. Arian D. Ravanbakhsh, NARA NACRC Conference July 14, 2007 Richmond, VA. Outline. Re(over)view Getting RM and IT to work together Best Practices Contact Information. Today’s Environment. - PowerPoint PPT Presentation

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Page 1: Electronic Records –  The Sequel

Electronic Records – The Sequel

Arian D. Ravanbakhsh, NARANACRC Conference

July 14, 2007Richmond, VA

Page 2: Electronic Records –  The Sequel

Outline

1. Re(over)view2. Getting RM and IT to work

together3. Best Practices4. Contact Information

Page 3: Electronic Records –  The Sequel

Today’s Environment

Our documents have become increasingly digital—and will become still more so

This increase in digital documents has created a new environment with new challenges for records management, including: Media life limitations Software dependency Migration Sharing/distribution Security

Page 4: Electronic Records –  The Sequel

File Format Considerations

Long-term access requirements should be a critical criterion for file format selection

Technology-neutral file formats are a must for long-term retention

Avoid proprietary, single-vendor products

Page 5: Electronic Records –  The Sequel

Sustainability Factors

Formats should be sustainable over the long term. That is, be: Non-proprietary and openly documented In widespread use Self-Documenting (e.g. XML) Can be opened, read, and accessed using

readily-available software tools

Page 6: Electronic Records –  The Sequel

Barriers to Success

The realities of the current relationships between the IT and RM worlds…

Page 7: Electronic Records –  The Sequel

Barriers

IT builds the system—but does not manage the content

RM manages content—but the system may be lacking some necessary tools

Page 8: Electronic Records –  The Sequel

Common Barriers

1. Records are not managed as business assets.

2. RM is not viewed as critical in business process.

3. There is a lack of training, tools, and guidance for staff.

4. RM and IT disciplines are poorly integrated in agencies/companies

Page 9: Electronic Records –  The Sequel

Solutions

Integrate RM and IT Ensure that electronic records can be

located, shared, and accessed agency-wide Records and information, as well as tools,

must be managed by RM and IT working together

Page 10: Electronic Records –  The Sequel

RM Staff Must… Understand how technologies affect electronic

records Know that they are key players Realize that records management requires

technological skills and understanding far beyond document tracking

Page 11: Electronic Records –  The Sequel

RM Staff Skills Process mapping Analytical thinking Speaking IT’s language Managing projects Familiarity with the Systems Development Life

Cycle

Page 12: Electronic Records –  The Sequel

Points where RM and IT intersect

IT systems development Capital planning, IT architecture, and

strategic planning Implementation of electronic signature

technologies Transfer of permanent electronic records

to archival custody E-mail Electronic recordkeeping

Page 13: Electronic Records –  The Sequel

Systems Development Life Cycle

ConceptDevelopment

RequirementsDefinition

PreliminaryDesign Detail

DesignDevelopment

Integration &System Test

Development &Acceptance

Production

Product Plan

PhaseDeliverables

Testbeds and prototypesTo next phase

Pilots

To nextphase

Production and evolutionary releasesAnotherPhase?

Retirement &Roll Over

No

New PhasePlanning

Yes

Based on needs identified in BPD and approved in CPCPIncludes creation points for records

Page 14: Electronic Records –  The Sequel

SDLC Phases

Product Plan and Initiation Phase Concept Phase Requirements Definition Preliminary and Detailed Design, Development Integration and System Test, Development,

and Acceptance Production and Upgrades, or Retirement and

Rollover

Page 15: Electronic Records –  The Sequel

Bottom Line

Records Management must start at the earliest possible stage in the SDLC.

Page 16: Electronic Records –  The Sequel

Evaluating a CPIC Proposal

Declare documentary materials as records Capture records in a secure repository Organize records for efficient retrieval Limit access to records to authorized users Preserve records for their entire lifecycle Allow for disposition of records based on

approved agency schedules

Page 17: Electronic Records –  The Sequel

DoD 5015.2

Design criteria standard for electronic records management software applications (RMA)

Includes mandatory and nonmandatory requirements

Provides minimum RM requirements Fluid document

Always being updated

Page 18: Electronic Records –  The Sequel

DOD Standard 5015.2

DoD Standard 5015.2 does the following: Sets forth the mandatory baseline requirements

for RMA software used by DoD components Also covers more detailed requirements, such as:

Accommodating dates and date logic Implementing standard data

(metadata/taxonomy) Backward compatibility Accessibility

Page 19: Electronic Records –  The Sequel

Beyond DoD 5015.2

1. Determine ERM scope.2. Review infrastructure/IT architecture.3. Review agency records and information

resources, management guidance, and directives.

4. Review additional standards.5. Review requirements.6. Classify requirements.7. Involve stakeholders in review.

Page 20: Electronic Records –  The Sequel

Beyond DoD 5015.2 (cont’d.)

1. Determine ERM scope. Ask what the system will and will not manage:

E-mail Paper Office automation software Web content Electronic forms

Identify and consult with stakeholders Review existing systems to determine:

What system creates or contains records? What types of records? What legacy systems will be integrated or migrated?

Page 21: Electronic Records –  The Sequel

Beyond DoD 5015.2 (cont’d.)

2. Review infrastructure/IT architecture.Find out about:

Network servers and system software Security Desktop applications Standard desktop configuration

At what level will the system be administered?

Page 22: Electronic Records –  The Sequel

Beyond DoD 5015.2 (cont’d.)

3. Review agency records and information resources, management guidance, and directives.

RM policies IRM policies Security policies Disposition and

retention schedules

Page 23: Electronic Records –  The Sequel

Beyond DoD 5015.2 (cont’d.)

4. Review additional standards. Reach beyond your agency

for best practices Model Requirements for the

Management of Electronic Records (MoReq)

AIIM Standards Committee on Integrating Records Management and Document Management Requirements

Reports by Doculabs on ERM, EDM, and ECM systems

ISO 15489-1: Information and Documentation—Records Management

Page 24: Electronic Records –  The Sequel

Beyond DoD 5015.2 (cont’d.)

5. Review requirements Does it:

Describe a system functionality? Express a single idea? Map clearly to specific organizational goals? Map directly to business processes or policies? Describe user’s needs?

Is it: Testable? Too vague? Too implementation-dependent?

Page 25: Electronic Records –  The Sequel

Beyond DoD 5015.2 (cont’d.)

6. Classify requirements. Assess the functionality of each additional requirement

as to whether:

The system cannot function without it It provides significant savings in time or resources It smoothes the path for the end user It provides the Records Manager with useful tools It reduces risks to future access to the information

Page 26: Electronic Records –  The Sequel

Beyond DoD 5015.2 (cont’d.)

7. Involve stakeholders in review.

Page 27: Electronic Records –  The Sequel

Beyond DoD 5015.2 (cont’d.)

This step-by-step approach will allow agencies to develop requirements that:

Support business process Make best use of resources Harmonize with current system Produce system with tangible benefits

Page 28: Electronic Records –  The Sequel

Selected Best Practices

Australian Work Process Standard Center for Technology & Government Minnesota State Archives USPTO FBI CIA

Page 29: Electronic Records –  The Sequel

Australian AS 5090-2003

Work Process Analysis for Recordkeeping AS 5090-2003 Moves the focus of RM to the work process

and argues that recordkeeping should be a natural, integral part of the work process, rather than a separate activity

Page 30: Electronic Records –  The Sequel

SUNY-Albany: Center for Technology in Government: Models for Action Tool

Requirement elicitation questions to ensure that recordkeeping requirements are identified

The Australian Work Process Standard

and the Models for Action Tool are both flexible and scalable methodologies

Page 31: Electronic Records –  The Sequel

The Minnesota State Archives:Trustworthy Information Systems Handbook

Contains a checklist of criteria to consider when designing a system, but also includes questions which elicit process-specific information

Result is a clear, usable guide for IT or project management staff, which can be used even in weak RM environments

Page 32: Electronic Records –  The Sequel

USPTO Electronic Records Management Technical Standard and Guidelines

Requires that systems developers fill out a comprehensive recordkeeping checklist as part of the standard Systems Development Life Cycle

Has a clear outline of the roles and responsibilities of the various players, as well as placement of the electronic records management activities in the Systems Development Life Cycle

Page 33: Electronic Records –  The Sequel

The FBI Electronic Recordkeeping Certification Manual

FBI and CIA have well-elaborated electronic recordkeeping certification processes in place RM staff have authority to approve system design at

each of several major Systems Development Life Cycle control gates

The FBI’s Manual outlines four possible paths to certification, asking system owners to choose one during the project’s first phase Manual then outlines the process for certification for

both new and legacy systems

Page 34: Electronic Records –  The Sequel

The FBI Electronic Recordkeeping Certification Manual (cont’d.)

Manual provides details on doing a project recordkeeping risk assessment, and includes sample tests and expected results for each of the ERK assessment criteria

All of these features are unique and make its documentation so thorough that an inexperienced system owner could figure out exactly how the process works

Page 35: Electronic Records –  The Sequel

CIA’s Electronic Recordkeeping System (ERKS) Requirements

CIA now has a brief ERKS Certification Guide, including an overview of the process’s purpose and steps with a short list of requirements

CIA requires an Information Management Plan for each system to document all of the processes and procedures that will be used, to ensure that records are managed appropriately through creation, maintenance, use, and disposition Plan also includes a description of the system, system

records, and a traceability matrix for the ERKS requirements

Page 36: Electronic Records –  The Sequel

On the Web: http://toolkit.archives.gov

Is a portal for various products and resources that provide guidance for managing e-records

Provides summary descriptions for quick searching as well as the full document

Includes resources and tools developed by NARA and other organizations

Can be searched by topic, occupation, organization that created the tool, or key word within the descriptive text

Page 37: Electronic Records –  The Sequel

Questions/Contact Information

Arian D. RavanbakhshIT Policy Specialist

National Archives and Records Administration, Office of Modern Records Programs (NWM)

(301) [email protected]

The views and opinions expressed in this presentation are my own and do not represent any official view of NARA or the US Federal

Government.