Records Management Capability Maturity Model

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Records ManagementCapability Maturity Model

• Edwin J. McCeney
• DOI Departmental Records Manager

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What is a Record?

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Records Disposal Act (1943)Federal Records Act
(1950)

• As defined by the 1943 Records Disposal Act, as
  amended
• (44 U.S.C. 3301), the term records
• includes all books papers, maps, photographs,
  machine readable materials, or other documentary
  materials, regardless of physical form or
  characteristics, made or received by an agency of
  the United States Government under Federal law or
  in connection with transaction of public business
  and preserved or appropriate for preservation by
  that agency or its legitimate successor as
  evidence of the organization, functions, policies
  decisions, procedures operations, or other
  activities of the Government or because of the
  informational value of data in them.

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Informal Records Definition

• Records are the evidence that you exist or have
  existed in a given role. In business, records
  document your processes. (note some exceptions
  (See 44USC for additional reference))

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Records Management is much easier IF you only
have ONE record!

• Records are
• Created by processes
• A part of nearly every process
• The official artifacts that represent the
  historical process
• One of the most important and lasting aspects of
  an organization
• Required by law (Sarbanes/Oxley, Federal Records
  Act)
• (But then, wouldnt it be record management?)

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Records ManagementCapability MaturityModel
(RM-CMM)

• Guiding the improvement process of records
  management in an organization
• Assesses the ability of an organization to
  support and implement new policy
• Evaluating the capability of service or product
  suppliers
• Provide a uniform method of measuring RM across
  the Federal Government

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RM-CMM FactorsShould be actionable through a
relationship with the previous RM-CMM
Level/Factor

• Records Behavior (Whats a record?)
• Records Policy, Procedure and Guidance
• 3. Record Format (Regardless of Media)
• 4. Records Inventory (Where are the records?)
• 5. Records Schedules (Legal Compliance)
• 6. Records Retirement (Leave at closing time?)
• 7. Records Storage/Retrieval (Can you find it?)
• 8. Vital Records (More Legal and EM Combo)
• 9. Records Training (Learning is continuous)
• 10. Records Management and Culture (SATT)

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Records Management Process Improvement

• Takes time (2-3 years between levels)
• Takes commitment of stakeholders, sponsors and
  champions
• Provides powerful returns in litigation (ESI and
  FRCP 12/06 amendments)
• Provides significant cost savings (e.g. search
  costs, storage)
• Feeds into the long term plans for Federal
  records (GIGO)

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Where could we go from here?

• Compelling
• Records management needs to be included
  (extended) in a business process improvement plan
• Ubiquitous
• Records extends to current high-profile areas
  such as cyber-security and privacy to protect the
  right stuff
• Challenging
• Records are the most complex aspect of systems
  management (e.g. migration, cross-association,
  ontology)

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QUESTIONS??

• Edwin J. McCeney
• DOI Departmental Records Manager
• Edwin_McCeney_at_ios.doi.gov

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Still not inspired to manage records?

• Records Management by Publicly Held Companies
• Sarbanes-Oxley Act (2002)
• Section 1102 Tampering With a Record or
  Otherwise Impeding an Official Proceeding
• Makes it a crime for any person to corruptly
  alter, destroy, mutilate, or conceal any document
  with the intent to impair the object's integrity
  or availability for use in an official proceeding
  or to otherwise obstruct, influence or impede any
  official proceeding is liable for up to 20 years
  in prison and a fine.

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Federal Records Management

• Criminal Penalties (18 U. S. C. 2071)
• Willful and unlawfully destroying, damaging or
  removing Federal records can be punished by a
  maximum of a 2000 fine, 3 years in Federal
  prison, or both for each offense.
• This action may include unauthorized records
  removal upon a persons retirement because
  worked on this for 30 years (e.g. scientific
  community).