Putting Records First RMSC

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Putting Records First Records Management
Services Records Management Service Components
Program National Archives and Records
Administration Daryll Prescott
December 2006
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Making the Transition to Tomorrow
Records Management
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RMSRequirements Development Project

• Records Management Services (RMS)

• What is an RMS?
• Software-based services that support the
  creation, management, transfer, and destruction
  of electronic records within a computing
  environment.

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RMSRequirements Development Project

• Records Management Services (RMS)
• Initial Operating Concepts
• Front end of the business process
• Conformance with FEA
• Supports ERA and works with/out RMAs
• Captures context of creation and relationship to
  other records at the point of creation
• Information about the record is carried forward
  through the lifecycle
• Establishes a baseline against which authenticity
  can be validated over time

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RMSRequirements Development Project

• Objective
• To facilitate the acquisition of RMS that
  provide interoperable RM functionality in any
  agency system that creates/manages electronic
  records by
• Identifying, documenting, normalizing, and
  socializing those core RM stakeholder
  requirements that services can support
• Aligning with the OMBs FEA reference models,
  profiles, and component registry program CORE.gov
• Leveraging industry interest in the RMS business
  case

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RMSRequirements Development Project

• Collaboration
• 18 Federal agencies NARA
• Nine IT vendors and two universities
• 11 NARA subject matter experts representing four
  offices
• Use state-of-the-art collaborative technology
• Offsite meetings led by experienced facilitators
• Managed by NARA Program Office

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RMS 18 Participating Agencies NARA

• 9 sessions in 2005
• 1 session in 2006

• GSA
• Homeland Security
• Social Security Administration
• Housing Urban Development
• Justice
• Interior
• Energy
• NASA

• Treasury
• EPA
• Labor
• Agriculture
• Commerce
• DoD/OSD
• Veterans Affairs
• State
• Transportation
• HHS

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RMSScope and Constraints

• View Point
• Records Management Activities
• Return on Investment Constraint
• RM activities used the most often
• RM activities used by government
  employees/business processes
• In Scope
• From Receipt, Identification, Declaration of a
  record
• To Disposition of a record
• Out of Scope
• Document creation (what makes up a
  document/record and how, who, and why it was
  created)
• Security, privacy, etc.
• Systems maintenance
• How it is stored and what it is stored on
  storage media
• Format e.g. .doc, PDF, TIFF
• System management backup and recovery

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RMS Requirements Development Project - Results

• Nine Session Reports in 2005
• Two Technical Reports 2005
• One RFI to industry 2005
• December 7 IPT Report

• Identified seven RM functions for electronic
  servicing
• Functional Requirements and Attributes
• IDEF0 and Unified Modeling Language views
• Ready for next steps

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RMS Requirements Development Project - Results

• Identified seven RM functions for electronic
  servicing
• Functional Requirements and Attributes
• IDEF0 and Unified Modeling Language views
• Ready for next steps

September 7, 2006 updates December 7, 2005 report
and Incorporates Program Office Technical reports
of March and June of 2006 All 19 agencies
participated
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Making the Transition to TomorrowInteragency
Project Team RMS Report

• Seven RM services across the record life cycle

• Case File
• Disposition
• Reference

• Record Capture
• Provenance
• Category
• Authenticity

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RM Services and the Record Life Cycle
Temporary/Permanent Records
Unscheduled Records
Record Capture Provenance Category Case
File Authenticity
Reference
Disposition
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Making the Transition to TomorrowInteragency
Project Team RMS Report

• Example Provenance Service

• Agency_Official_Name_Current
• Agency_Official_Name_Current_Date

• Agency_Official_Name_superordinate a8)_Current
• Agency_Official_Name_(superordinate
  8)_Current_Date
• Recordkeeper_Current
• Recordkeeper_Current_Date

• Agency_Official_Name_Previous(n)
• Agency_Official_Name_Previous_Date(n)

• Agency_Official_Name_Previous(n1)
• Agency_Official_Name_Previous_Date(n1)

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Making the Transition to TomorrowInteragency
Project Team RMS Report

• Example Disposition Service

• Disposition_Authority_Current
• Disposition_Authority_Current_Date
• Disposition_Instruction_Current
• Disposition_Instruction_Current_Date

• Disposition_Authority_Suspend(n)
• Disposition_Authority_Suspend_Date(n)

• Disposition_Authority_Suspend_Revocation(n)
• Disposition_Authority_Suspend_Revocation_Associati
  on(n)
• Disposition_Authority_Suspend_Revocation_Date(n)

• Record_Scheduled_Transfer_Available
• Record_Scheduled_Destruction_Available
• Disposition_Action_History
• Disposition_Action_History_Date

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Current Activities
RMSC Program Office at NARA

• Working with
• Object
• Management
• Group industry
• specification for
• RMS
• RFP in progress
• CY2008
• publication

• Wednesday - November 29, 2006 submitted package
  to
• CORE.gov
• Providing continued
• support to agencies
• Support integration
• into NARA Work
• Plans
• OMG GovDTF

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Making the Transition to TomorrowPutting
Records First

• Benefits of RMS
• Allows the management of records to begin much
  earlier in the business process
• Built into agencys enterprise architecture
• From users perspective, RMS are minimally
  intrusive, and often transparent
• Provide a hook to downstream management tools
  such as ERA
• Supported by industry through OMG

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Records Management Putting Records First
Regulated Industry Examples
FDA Guidance for Industry, 2003 (Electronic
Records Electronic Signatures Scope and
Application) Sarbanes-Oxley Act of 2002 Health
Insurance Portability and Accountability Act of
1996 Occupational Safety and Health Act of
1970 (3245-09R, Recordkeeping Handbook) Rule
2-06, Securities Exchange Act of 1934 (Retention
of Records Relevant to Audits and Reviews)
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Today Records Management in the Records
Lifecycle
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Records Lifecycle
Creation Use.
Disposition.
Value Span
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Tomorrow Records Management in the Records
Lifecycle
Records Lifecycle
Creation Use.
Disposition.
Value Span
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Questions?
Ken Hawkins RMSC Project Manager ERA Program
(NHE) ken.hawkins_at_nara.gov301-837-1798
Daryll R. Prescott Program Director RMSC Program
Office daryll.prescott_at_nara.gov 301-837-0974
Additional Informationhttp//www.archives.gov/era
/rms/