This article should be read in conjunction with our earlier article US DoD publishes guidance on Technology planning for Electronic Records Management (ERM). Please read that article first if you haven't already done so, as this Part 2 provides some additional context and information.
Insights from the US DoD Records Management and IT teams.
An extremely informative and valuable webinar hosted by AIIM and including key members of the US DoD Records Management and IT staff provided clarity and insight on the new guidance document US DoD 8180.01 (See the article above for a summary). I believe the following insights are critical in order to understand the usage of the document, and also how it impacts on the Records and Information Management profession, and National Archives Regulatory authorities globally. NOTE. We have been saying many of these things for years, but the guidance documents puts everything into stark, blunt perspective.
- The most striking and (terrifying for some) thing to note about the guidance is that it replaces the DoD 5015.02-STD, “Electronic Records Management Software Applications Design Criteria Standard. This is big news as many National Archives and Records Management regulatory bodies rely on this as the gold standard. Any Electronic Records System which was certified against US DoD 5015-2 STD was deemed to have the necessary functional capability to protect records. The big challenge always was that the best system, with the best functionality, is useless if not implemented properly. 8180.01 moves beyond this focuses more on outputs. Please note that the DoDI 5015.02-2017 instruction is still in place and forms part of the implementation going forward. This is currently being revised.
- The relationship between IT, Records teams, procurement and Business is pivotal in implementing ERM. Understanding who the stakeholders are and ensuring that they are included in the design of systems up-front is absolutely essential. This is true Information Governance by design. What this means in essence, is the move away from records as an afterthought, to a more holistic approach, where records (and other) considerations are built into system and process design, up front. If anyone isn't fully conversant with the topic, here is further information on Information Governance.
- The happy distinction between structured and unstructured data which formed the basis for ECM for so many years no longer exists. AIIM have for years now being referring to Intelligent Information Management rather than ECM, and we need to take cognisance of the fact that this is a reality. Not only because of Privacy or data protection, but litigation, content search, e-discovery, knowledge management, all require that we look beyond electronic and paper records as we used to know them but must recognise that data in databases forms an integral part of the "records" or evidence of the activities of the organisation. The emphasis has moved away from dedicated records management systems to IT solutions.
- Whilst many industry pundits for years pushed for a single ECM repository, the reality is that this seldom exists as the single source of evidence. Transactional systems hold electronic records, collaboration environments such as Teams hold files, conversations and chats and all could be important. Content services emerged as a concept years ago, and AIIM's Intelligent Information Management moves us even further beyond that. The AIIM Information Governance certification (CIP) is valuable in helping understand what this new world looks like.
- Combined, the US DoDI 5015.2, 8180.01 and the US DoD data strategy, the focus is more on output, rather than functional requirements. Authoritative records are what matter, and these must be created, stored, used, shared, transferred and disposed correctly to ensure that they can be trusted. The emphasis is on data quality which emphasises that information, data, records, must be "Visible, Accessible, Understandable, Linked, Trustworthy, Interoperable, and Secure (VAULTIS)" and the pillars that need to in place include focus on Curation, Automation and Governance.
This is a major step forward and needs to be studied by all in the industry, especially, but not limited to those responsible for implementing national or corporate policy.
