Trends in Modernizing Records Management

Tara Combs – RM/IG Specialist, Alfresco

Trends in Modernizing Records Management

• NARA’s Universal Electronic Records Management Requirements

• Manage In Place• Cloud Adoption• Blockchain

How did we get here?

PAST FUTURE

AGILITY

Capture

ERMUsing technology to

radically improve the capture,

classification,improve responsiveness and non-repudiation of

recordsLeveraging RM technologies to take advantage of electronic records

managementConversion of paper

records to digital formats

Digital Transformation

NARA UERM Requirements

NARA – Universal Electronic Records Management Requirements

• Version 1.0 released on August 4th

• Use the Universal ERM requirements as a starting point when writing a Statement of Work or Performance Work Statement for ERM tools or services

• Working with GSA to develop a new Special Item Number under Schedule 36 for electronic records management services based on these requirements

• NARA envisions integrating these requirements into each of the shared services being developed by the Unified Shared Services Management office

NARA – Universal Electronic Records Management Requirements• Covers 6 Sections based on the lifecycle of electronic record

management– Capture– Maintenance and Use– Disposal– Transfer– Metadata– Reporting

• Vendors can self certify to all 6 sections or some of the sections• Look for ongoing information on NARA’s blog, https://records-

express.blogs.archives.gov/2017/08/04/universal-electronic-records-management-requirements/amp/

NARA’s Draft Strategic Plan

"By December 31, 2022, NARA will no longer accept transfers of permanent or temporary records in analog formats and will accept records only in electronic format and with appropriate metadata."

Manage In Place

Manage in Place

Manage In Place Benefits

• Centralized RM Policies – Manage File Plans, Retention Schedules, Dispositions and Holds from one single interface

• One Solution for Disparate Systems • Faster Implementations• Business Processes do not have to change• Better User Adoption• Security Models aren’t replicated

Manage In Place Considerations

– Leave in place, stub in the Central system– Stub in Place, move to the Central system– Synced Copies– Migrate to the Central System

• The system you are trying to manage records in place; social media, ECM, database

• Security Model• Federated Search

Cloud Adoption

Cloud Adoption for a Governance Solution

• Usability Drives Compliance

• Subscription Based Pricing Translates to a Low Cost of Entry

• Scalability Addresses Information Asset Explosion

• Upgrades Support Ongoing Compliance

• Integration Enables Control of Disparate Repositories - MIP

*DocumentStrategyArticlebyBrettClaffee

Cloud Adoption & Growth in Federal IT

• Federally operated data centers reduced from 10,584 to 7,500

since OMB’s “Cloud First” launch, with an additional 2,078 to be

closed in the next four years.

• Agency reported savings of $2.8 billion from 2011 to 2015

• 21 agencies claim to be planning an additional $5.4 billion in

savings from 2015 through 2019

“AgenciesMakingProgress,butPlannedSavingsGoalsNeedtoBeEstablished,”GAO,March2016

SecureReliableDurable

• Universal ERM Requirements– Req.ID 103 A record is considered usable of it

can be located, retrieved, presented, and interpreted.

• Amazon Glacier– 99.99% availability over a year– 99.999999999% Durability over a year– 10,000 objects stored, expect the loss of a

single object once every 10,000,000 years– Provides WORM storage with encryption

Amazon Glacier

Amazon GlacierAnnualCosts On-prem* S3 S3+S3IA S3+Glacier

Medium(10TB) $23,376 $2,826 $2,734 $1,075

Large(50TB) $44,880 $14,131 $13,670 $5,376

XL(300TB) $179,280 $81,715 $54,835 $31,334

XXL(12PB) $7,073,824 $3,170,893 $2,208,301 $1,245,708

CustomervaluefromsupportingAWSGlacier:1. ReduceTCO- Optimizearchivalstoragecostsforcustomers.$0.004/GB/month

2. Compliance- EnsuredataintegrityusingGlacierVault(WORM)

Blockchain

sphereon.com

"[the] field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintainingevidence of and information about business activities and transactions in the form of records”

ISO 15489-1:2001

Records Management

Blockchain provides Proof (Evidence) of Authenticity

• Registration of objects

• Unique electronic fingerprint (SHA-256 Hash)

• Timestamped

• Independently verifiable

BriefEmail

EmailUploadLetterFormVoice

Request

Process

Archive

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Client LetterEmail

Records on Blockchain are

• Immutable and unalterable

• Unique electronic fingerprint (SHA-256 Hash)

• Timestamped

• Independently verifiable and auditable

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records

#

Audit

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* Can be done Ad-hoc or as part of a process

Blockchain is the US Federal & State Governments• US Government Invests in Blockchain to Protect Healthcare Companies

from Hackers - The Office of the National Coordinator for Health Information Technology, https://news.healthcareguys.com/sub/us-government-invests-in-blockchain-to-protect-healthcare-companies-from-hackers/

• Office of Inspector General, USPS*– Streamline and Expand Existing Financial Services– Build and Manage the Internet of Postal Things– Validate and Authenticate User Identities– Streamline Ecommerce by Integrating Tracking, Customs, and Payment

Information• GSA - https://www.gsa.gov/portal/content/168102

*RARCReportNumberRARC-WP-16-011

Blockchain is the US Federal & State Governments• Fairfax County - FCEDA becomes first local organization to join fast-growing

Chamber of Digital Commerce which represents the digital asset and blockchain industry, http://www.fairfaxcountyeda.org/pressrelease/fceda-becomes-first-local-organization-join-fast-growing-chamber-digital-commerce

• Blockchain a 'Next Big Transformational Technology' in Government, five pilots by the state of Illinois, http://www.govtech.com/security/Blockchain-a-Next-Big-Transformational-Technology-in-Government.html

• Vermont Gives Blockchain Tech a Boost - asking a broad coalition of stakeholders to consider whether the technology could be used to help manage state records, http://www.govtech.com/state/Vermont-Gives-Blockchain-Tech-a-Boost.html

• Delaware Blockchain Initiative to Streamline Record-Keeping for Private Companies, https://bitcoinmagazine.com/articles/delaware-blockchain-initiative-to-streamline-record-keeping-for-private-companies-1462812187/

Summary

LooktoNARA'sUERMRequirementsasastartingpoint

ManageinPlace– Whatworksforyourorganization

ConsidertheCloudforCostSavings&UserAdoption

ManageinactiverecordsinAmazonGlacierforcostbenefits

BlockchainforNon-RepudiationofRecords