Electronic Records – The Sequel

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

2. Outline • Re(over)view • Getting RM and IT to work together • Best Practices • Contact Information

3. 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

4. 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

5. 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

6. Barriers to Success The realities of the current relationships between the IT and RM worlds…

7. Barriers IT builds the system—but does not manage the content RM manages content—but the system may be lacking some necessary tools

8. Common Barriers • Records are not managed as business assets. • RM is not viewed as critical in business process. • There is a lack of training, tools, and guidance for staff. • RM and IT disciplines are poorly integrated in agencies/companies

9. 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

10. 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

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

12. Points where RM and IT intersect • IT systems development • Capital planning, IT architecture, andstrategic planning • Implementation of electronic signature technologies • Transfer of permanent electronic records to archival custody • E-mail • Electronic recordkeeping

13. Systems Development Life Cycle

14. 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

15. Bottom Line • Records Management must start at the earliest possible stage in the SDLC.

16. 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

17. 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

18. 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

19. Beyond DoD 5015.2 • Determine ERM scope. • Review infrastructure/IT architecture. • Review agency records and information resources, management guidance, and directives. • Review additional standards. • Review requirements. • Classify requirements. • Involve stakeholders in review.

20. 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?

21. 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?

22. Beyond DoD 5015.2 (cont’d.) 3. Review agency records and information resources, management guidance, and directives. • RM policies • IRM policies • Security policies • Disposition andretention schedules

23. 4. Review additional standards. Reach beyond your agencyfor 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 Beyond DoD 5015.2 (cont’d.)

24. 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?

25. 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 mandatory optional

26. Beyond DoD 5015.2 (cont’d.) 7. Involve stakeholders in review.

27. 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

28. Selected Best Practices • Australian Work Process Standard • Center for Technology & Government • Minnesota State Archives • USPTO • FBI • CIA

29. 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

30. 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

31. 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

32. 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

33. 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

34. 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

35. 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

36. 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

37. Questions/Contact Information Arian D. Ravanbakhsh IT Policy Specialist National Archives and Records Administration, Office of Modern Records Programs (NWM) (301) 837-2086 arian.ravanbakhsh@nara.gov 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.