Records Mgmt Domain-Technology Reference Model vs 2.0

8.1 Introduction and Background

Records Management focuses primarily on records created, received, and used by the Department of the Interior in the conduct of official business. It is the Department's policy to properly identify record keeping requirements and to effectively and efficiently manage needed records throughout their life cycle (i.e., creation, use and maintenance, and disposition).

Records are documentary materials that are created or received that (1) provide evidence of an agency’s organization, functions, policies, decisions, procedures, and operations, or (2) contain information of value. Records may be on paper, film, tape, disk, or other physical form. They may be generated manually, electronically, or by other means. Documents, in contrast, can be any information set down in any physical form or characteristic. A document may or may not meet the definition of a record.

Failure to adhere to proper records management policies and procedures can result in the Department 1) losing valuable historical information and 2) being exposed to costly litigation and fines. A good place to begin to learn of the many aspects governing records management would be http://www.doi.gov/ocio/records.

Among the many responsibilities of a proper records management program is cooperating with other areas of the organization in developing policies and guidance on the application of technology to records management. The focus of the Interior Enterprise Architecture is on providing guidance for IT issues and initiatives that are Interior-wide or multi-bureau in scope.

If used correctly, the Interior Enterprise Architecture will act as a catalyst for those looking to capitalize on its contents and better understand the full meaning of its guidance. This understanding will permit IT personnel to better engage the non-IT organization in discussions around tradeoffs and priorities within the proper governance structure (e.g., Management Initiatives Team (MIT), Information Technology Management Council (ITMC)). The Interior Enterprise Architecture is not intended to be the “last word” (e.g., some automated checklist for product selection). It is intended to be one of the “first words” to assure that Interior’s mission priorities and its IT priorities remain closely aligned.

Because Interior is incorporating the OMB’s Federal Enterprise Architecture (FEA) models, the technical guidance provided by the subject area experts within a domain spans both the Service Component Reference Model (SRM) as well as the Technical Reference Model (TRM). For the Records management domain, the SRM elements are as follows:

Service Domain(s): The Digital Asset Services Domain defines the set of capabilities that support the generation, management, and distribution of intellectual capital and electronic media across the business and extended enterprise.

Service Type(s): Document Management – defines the set of capabilities that control the capture and maintenance of an organization's documents and files.

Records Management - defines the set of capabilities to support the storage, protection, archiving, classification and retirement of documents and information identified as records.

Component(s): Classification – defines the set of capabilities that support the categorization of documents.

Document Imaging and OCR - defines the set of capabilities that support the scanning of documents.

Document Revisions - defines the set of capabilities that support the versioning and editing of content and documents.

Document Review and Approval - defines the set of capabilities that support the editing and commendation of documents before releasing them.

Indexing - defines the set of capabilities that support the rapid retrieval of documents through a structured numbering construct.

Library / Storage - defines the set of capabilities that support document and data warehousing and archiving.

Document (Record) Classification - defines the set of capabilities that support the categorization of documents, both electronic and physical.

Document Retirement (Record Retention & Disposition) - defines the set of capabilities that support the termination or cancellation of those documents used by an organization and its stakeholders.

Record Linking / Association (Record Indexing) - defines the set of capabilities that support the correlation between logical data and information sets.

These SRM service elements are likewise supported by Interior’s IT (technical) infrastructure (e.g., servers, networks). Within this infrastructure are individual TRM components for which this domain team is providing guidance. The graphic below outlines those TRM elements for this domain that support the service needs of the SRM.

Additionally, it’s doubtful that a single domain chapter from the TRM can be used to address a substantive issue. More realistically, a few architecture domains may need to be reviewed when addressing an important IT decision. For example, if Interior was considering the creation of a new Interior-wide Electronic Document Management System capability, then the TRM chapters like Information Security, Infrastructure and Applications Development might all need to be reviewed along with this chapter on Records management.

8.2 Architectural Principles

The principles listed below provide guidance for the design and selection of technology components that will support the Records management technology needs of Interior-wide IT initiatives.

Principle 1: Business Re-engineering
	Business process reengineering projects will explicitly incorporate records management requirements. Rationale: Ensures that records are managed and protected appropriately. Work processes, activities, and associated business rules will be well understood and documented.

Principle 2: Information is an Interior asset
	Information is valued as an Interior asset to accelerate decision-making, improve management, and increase accountability. Rationale: The value of information is not realized if it is held in isolated pockets. Information must be shared to maximize effective decision-making across lines of business and with partners. Information is necessary for decision making to support accelerated business process cycles. Increased access leads to improved integrity and relevance of data.

Principle 3: Data and Information Stewardship
	Data and information must be managed and maintained as a stewardship responsibility to support the mission of the department. Rationale: Data is a resource important to the accomplishment of Interior’s work. In its broadest sense, it is information including items like electronic and paper records, emails, film, etc. Like natural resources, data needs stewards who are responsible for its valuation, preservation, security, access and utilization across Interior and with the public. Data stewards will promote common business rules, which would facilitate information sharing and improve data integrity.

Principle 4: Integration/ Interoperability
	Systems must be designed, acquired, developed, or enhanced such that data and processes can be effectively managed. Rationale: Ensures more accurate information. Managed data and processes lead to better decision-making and accountability.

Principle 5: Reuse before you buy and buy before you build
	In considering system requirements (e.g., new functionality), we should look to reuse existing components before we buy. If no components exist, purchased solutions (e.g., COTS or GOTS) should be explored before we build. Rationale: Complies with OMB Circular A-130, the Privacy Act of 1974, the Government Information Systems Reform Act, and National Archives and Records Administration (NARA) guidelines. The more you’re “like” everyone else (e.g., same standard, same systems), the easier it is to share with others. System development is not a primary mission of Interior.

Principle 6: Security, Privacy and Confidentiality
	IT systems should be designed and implemented in accordance with security, confidentiality and privacy legislation and policies to assure appropriate information availability. Rationale: Helps safeguard confidential and proprietary information. Enhances public trust. Enhances the proper stewardship over information. Enhances the integrity of the information. Complies with the Computer Security Act, the Privacy Act of 1974, and OMB Circular A-130.

Principle 7: Continuity of Operations Planning (COOP)
	An assessment of business continuation and recovery requirements is mandatory when acquiring, developing, enhancing or outsourcing systems. Based on that assessment, appropriate disaster recovery and business continuity planning, design, testing and maintenance will take place. Rationale: Customers and partners have heightened awareness of the need for systems availability. Any significant visible loss of system availability and stability could negatively impact our mission and legal responsibilities. Application systems and data are valuable organization assets that must be protected.

Principle 8: Information Access
	Easy and timely access to data and information is the rule rather than the exception without security, privacy and confidentiality being compromised. Rationale: Productivity, decision-making, and customer service all benefit from easy, direct, and timely availability of information. In accordance with the Paperwork Reduction Act (PRA, PL 104-13), employees and the public should have efficient, effective, and economical access to Government information. Information should be attainable in the appropriate place, time, format and context. The Rehabilitation Act of 1998 requires executive agencies to develop, acquire and use information technology that is accessible to individuals with disabilities. Under E-FOIA bureaus and offices are required to make records that are frequently requested under the FOIA available for public inspection. Further, records created on or after November 1, 1996 must be available via the Internet or other electronic means. The Government Paperwork Elimination Act requires agencies to incorporate privacy protections when developing electronic processes. Beyond the legal requirements, easy and timely access to data and information makes sound business sense.

Principle 9: Compliance
	Records/document management solutions will comply with the Department of Defense (DOD) 5015.2-STD. (Design Criteria Standard for Electronic Records Management Software Applications- November 1997). Rationale: Avoids dependence on weak vendors. Enables greater use of commercial-off-the-shelf solutions. Complies with National Archives and Records Administration (NARA).

Principle 10: Enterprise Management
	Electronic records management systems (ERMS) and electronic document management systems (EDMS) will be managed on an enterprise-wide basis. Rationale: Independent solutions are costly and redundant Interoperability is enhanced.
Principle 11: Unified Records Strategy
	Electronic records management systems (ERMS) and electronic document management systems (EDMS) will follow a unified department-wide strategy. Rationale: Independent solutions are costly and redundant Interoperability is enhanced.

Principle 12: Electronic Records Capture
	All vital records will be captured electronically and managed with the agency’s COOP. Rationale: Ensures ready access to vital records

8.3 Technology Components

The Records management domain has one technology component. It is Other Applications. This component refers to software applications that do not fit in any of the other software categories contained within the Federal Enterprise Architecture models.

The classifications for any products or standards within this domain are:

Life Cycle Definition/

Classifications Meaning

Preferred Product/standard of choice; support available; recommended.

Contained Develop solutions using these standards or products only if there are no suitable alternatives categorized as preferred; if a preferred product is available that will meet the requirements, plans should be developed to move from contained to preferred as soon as practical.

Obsolete Being phased out; (e.g., vendor support ending); plans should be developed to rapidly phase out and replace (often to avoid substantial risks).

Research Product/standard to be used in conjunction with technology research efforts only (e.g., testing, pilots).

Rejected Product/standard has been evaluated and found not to meet technical architecture needs.

8.3.1 Other Applications

This component refers to software applications that do not fit in any of the other software categories contained within the Federal Enterprise Architecture models. Subcomponents of this section are Document management workflow, Document management E-Records, and Document management tracking.

Document management workflow:

Use of the ICA Correspondence Tracking System (CTS) (version > 1.10A) is classified as Contained.

Use of the Documentum Enterprise Document management (version >=5.2) is classified as Contained.

Use of the EIStream ViewStar (version >= 5.1) is classified as Contained.

Use of the Vredenberg Highview is classified as Contained.

Document management E-Records:

Use of FileNet Panagon (version > =5.2) is classified as Contained.

Use of the Vredenberg Highview is classified as Contained.

Use of the Documentum Foremost (version >=2.6.5) is classified as Contained.

Document management tracking:

Use of Optimal Solutions and Technologies (OST) Electronic FOIA Tracking System (EFTS) (version >=1.0) is classified as Preferred.

8.4 Select Best Practices

The Domain Principles, because they are derived from Interior’s business direction and strategies, provide the primary direction and guidance around technology decisions within this domain. Additional benefit may sometimes be obtained by reviewing Select Best Practices. These reflect the valuable insights from either domain team members’ experiences or other public sector organizations.

SRM Focused

Select

Best Practice 1: Classification – For electronic records classification, an initial quality assurance process is crucial. Comment on classifications (both document and record): the need for recognition of a classification process anomaly. Specifically, that the definition of a Federal record (as found in 44 U.S.C. 3301) tells us that many of the documents we have (in whatever format) are already "records", whether or not we have as yet classified them as such. Also, see Administrative Procedure Act (APA): 5 U.S.C. 551-702.

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Best Practice 2: Scanning – Select the lowest scanning resolution that makes the documents readable. Use standard file image data types.

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Best Practice 3: Document Versioning – Version control by date, author, subject and classification should be the minimum information maintained.

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Best Practice 4: Digital Signatures – To use automated workflow, digital signatures and or assigned keys are required.

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Best Practice 5: Indexing – Barcodes, OCR indexing wherever possible. Attempt to use the minimum set of indexes that you can get everyone to agree on (e.g. don't over index).

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Best Practice 6: NARA – Use media that is approved by NARA (CD-ROM, Optical WORM) provide for near online storage capabilities for large image sets. Include your imaging systems in your COOP and DRP plans see 36 CFR 1228.270..

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Best Practice 7: Integration – Any electronic document management system is integrated with the records management system.

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Best Practice 8: Records Scheduling- Assure that agency record schedule is up-to-date, is used to classify and is regularly updated.

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Best Practice 9: File Plans Index- Each bureau should have a complete and up-to-date index of organizational file plans and a records retention/disposition schedule.

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Best Practice 10: Quality Assurance- For electronic records classification, an initial quality assurance process is crucial.

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Best Practice 11: Records Inventory- For the development of a file plan, an initial records inventory baseline is required.

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Best Practice 12: Clearance Process- Each bureau must include a records management component in their formal exit clearance process (includes paper and electronic records).

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Best Practice 13: Migration Strategy- For electronic records management systems, a migration strategy for media and formats is developed.

TRM Focused

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Best Practice 14: Application Server- The ability to make the application server used for Records management a "Closed" (e.g., limited access) environment.

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Best Practice 15: Storage R&D- Trade studies of storage media are conducted regularly to stay abreast of changes in the storage environment that is the core of electronic records management.

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Best Practice 16: Inkjet Printers- Inkjet printed documents are never used as official records (e.g., use laserjets).

8.5 Contributors

The quality of the Interior-wide guidance provided within this TRM chapter is a reflection of the efforts of the Records management technologies Domain team. The members of the team are:

Organization Name

Bureau of Land Management Ted Weir

Bureau of Reclamation Yvonne Rodriguez

James Judd

Minerals Management Service Jim Browning

National Business Center Pam Quallich

National Park Service Michael Grimes

Office of Special Trust Sharon Michel

Office of Surface Mining Michael Wright

US Fish and Wildlife Service Johnny Hunt

US Geological Survey John Faundeen

Chapter 8. Records Management Architecture

Principle 2: Information is an Interior asset

Principle 3: Data and Information Stewardship

Principle 10: Enterprise Management