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Proposed EDMS/ERMS APPLICATION STANDARDS a.k.a. ELECTRONIC DOCUMENT MANAGEMENT SYSTEM (EDMS)
ELECTRONIC RECORDS MANAGEMENT SYSTEM (ERMS)
Developed byThe State Records Center &
Archives, The State Library &
The EDMS Project Team
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Agenda Executive Branch ECM Project
Overview Executive Summary
EDMS/ERMS Integration with ITEA SRCA Vision
EDMS/ERMS Standards & Guidelines Multiple Disciplines Interoperability and Metadata
Benefits of EDMS/ERMS Integration with ITEA
Next Steps
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NM ECM Project Overview Three agencies, HSD, TRD & SRCA
submitted project requests for funding document & records management in 2003-2004 State CIO combined these requests into a
multi-agency project due to their obvious synergies
Multi-agency Executive Steering Committee (ESC) structure oversees the project
Both the AOC JID and the ITC require continuing communication between the Judicial and Executive Branch ECM Projects
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Strategic Objectives Lower the Cost of Government Improve Service Delivery to Constituents Enterprise Model
Define an ECM strategy that supports all content types and formats over the entire life cycle
Centralized Electronic Records Repository Integrated approach for the capture, maintenance, storage,
access, disposition and preservation of electronic records Business Process Management
Content, documents and document management are inherent within Agency business processes. Reengineering the business processes in State Government is fundamental to implementing ECM
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Tactical Objectives Two current tactical projects:
HSD Child Support Payments Capture and image payments and manage Child
Support paper documents MVD Citations
Capture MVD Citations, payments and manage paper documents
Improve ability to access and retrieve records: Find documents in 3 – 5 seconds Instead of 3 – 5 days
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Executive SummaryProposed EDMS/ERMS Guidelines are: A framework that overlays, or cross-cuts,
the inter-related Information Technology Enterprise Architecture (ITEA)
A framework for incorporating statutory records management requirements and sound records management principles
seamlessly into agency work processes enterprise architectures information systems
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Executive SummaryAgencies should use the proposed
EDMS/ERMS Guidelines: In conjunction with the NM ITEA
As the common State-wide framework For identifying records management (RM)
requirements To identify RM requirements and
Link them to their information technologies Link them to their business processes
To educate all state employees in their records management responsibilities
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Executive SummaryAgencies should use the proposed
EDMS/ERMS Guidelines: Build RM requirements into agency IT
governance processes for planning IT funding enterprise architecture business process design the systems development life cycle
To establish a concise and coherent body of records management resources that places this information in the proper context within the ITEA
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EDMS/ERMS & the ITEA
text
Constituent Services
Business Domains
ERMS - Records Management & the Centralized Electronic Records Repository
Government OperationsEducationResource
ManagementJustice
EDMS/ERMS Interrelation to the ITEA
Agency Strategic Architectures
Enterprise Business Architectures
EDMS - Electronic Document Management Systems
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Federal Enterprise Architecture Records Management Profile
Federal Enterprise Architecture Records Management Profile Version 1.0
Initial Public Release Sponsored By: National Archives and Records
Administration Office of Management and Budget,
Architecture and Infrastructure Committee Federal Chief Information Officers Council
December 15, 2005
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Potential Consequences of Inadequately Managing Records
Inability to retrieve business critical information
Increased costs of doing business Caused by inefficiencies Due to disparate/inaccessible data
Failure to comply with statutory or regulatory retention and disposition requirements
Reduced ability to comply with Court orders & other litigation Imperatives requiring access to existing information
Inability to respond promptly to inquiries
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Potential Consequences of Inadequately Managing Records
Consequences of a failure vary depending upon the circumstances, but could range from minor to catastrophic: Inefficient service to state constituents Regulatory fines and penalties, which have
recently reached eight figure amounts Civil litigation consequences, such as increased
litigation costs and fines Vicarious liability for responsible senior
management Criminal liability for agencies and individuals
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Intended Audience The following individuals should use
these EDMS/ERMS Guidelines to support effective decision-making : Chief Information Officers (CIO) Executive Management, Directors,
Deputy Directors Records Liaison Officers (RLO) Program/Project Managers General Counsels (GC)
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SCRA Vision Centralized Electronic Records Repository
integrated Electronic Document Management Systems & an Electronic Records Management System (ERMS)
a comprehensive, systematic, and dynamic means for preserving virtually any kind of electronic record
free from dependence specific hardware or software Benefits
Make it easy for state agencies and constituents to find the records they want easy for the SRCA to deliver those records in any format suited to the users' needs
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Centralized ElectronicRecords Repository Aligned with the IT Enterprise Architecture
Data Model for the Centralized Electronic Records Repository
General Administration
General Personnel
Administration
General Education
Local Government
Records common to all state agencies,
correspondence, annual reports
General Financial
General Medical
Constituent Services
Government OperationsEducationResource
ManagementJustice
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Multiple Disciplines The EDMS/ERMS Guidelines builds upon
multiple disciplines as a foundation: Library Science Records Management Business Process Management
Process Mapping Information Technology
Enterprise Architecture Data Modeling
Metadata and XML
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Public Record defined A Public Record is Content
regardless of physical form or characteristics - Made or received by any agency in pursuance of law
or in connection with the transaction of public business
And preserved, or appropriate for preservation, by the agency or its legitimate successor
As evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government;
For government responsiveness and accountability to state constituents;
To preserve the rights of citizens; Or because of the informational and historical value of data
contained therein.
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Records Management Records Management is the
systematic control of Public Records from creation or receipt, through processing, distribution, maintenance and retrieval, to their ultimate disposition.
The preservation, retrieval and non-alteration of Public Records -
for the purpose of auditing or potential litigation
Statutory requirement that every executive is responsible for within each State Agency.
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Implementing EDMS/ERMSProject Initiation
and Funding
Analyze Records Management
Practices
Perform Business Process
Reengineering
Develop metadata
Realize improved constituent services,
compliance with records regulations and
real cost savings
Implement ECM (aka EDMS/ERMS) Solutions
Imaging System Plan
ECM (aka EDMS/ERMS) Project Management
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Analyze Agency Records Series
Initiate Records Series Inventory and Records Management
Practices Survey
· Conduct detailed onsite surveys with Agency staff
· Complete “Program Records Series Inventory (Form B)”
Create Pre-Survey Report:· Statutes· NMAC Rules · Website· Org chart· Unit size and budget
· Revise NMAC Rules as necessary
· Present to SRCA Review Committee
Provide Recommendations for Improved Records Management
Practices & Amended Record Retention
Schedule
· Present updated NMAC Rules to the Commission of Public Records
· Approval of updated NMAC Rules· File Rule with Administrative Law
Division as Law
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Imaging System Plan – File with SRCA
Initiate Microphotography System planning· Contact Electronic Records
Management Bureau, SRCA
Managerial Planning· Facility· Policies & Procedures· Future Migration· Records Storage· Disaster Recovery
SRCA Approval for Agency Imaging System
Agency produces Microphotography Systems Plan
Pre-requisite:Records Management Analysis and Inventory
System Description· Goals· Fiscal· Programmatic· Managerial· Other: technological, legal, etc.
System Specifications· Imaging Hardware· Software· Operational
documentation
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The Drive to Share Information
Next step in government IT development: Moving information across institutional
boundaries between states across executive agencies and to private entities from courts to executive agencies, and between courts
The drive to share information depends on: how successful the State is in framing the policy the available technology
Two interrelated concepts facilitate this effort:
Enterprise Architecture (EA) Service-Oriented Architecture (SOA)
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InteroperabilityThe challenge for NM State agencies: Embrace the opportunities of EA
and SOA technologies To enhance the quality of executive,
legislative and judicial information sharing
As an explicit objective of their systems development
EA & SOA support interoperability
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Interoperability Defined Interoperability has different meanings
depending on the context: Information Technology – “the ability of
independently developed and fielded applications that execute on heterogeneous computer platforms to communicate with one another and to exchange and use information (content, format, and semantics).”
Public safety – “the ability for public safety agencies and public services to talk to one another via radio communication systems and/or share information with one another accurately, on demand, in real time, when needed, and when authorized.”
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Federal E-Gov Architecture Guidance (Common Reference Model)
“XML provides a critical foundation for E-Gov data architectures.
“XML is emerging as the Industry and Government standard for moving and sharing information.
“XML provides an opportunity for Federal Lines of Business to define and standardize XML schemas for their functions and for interactions with other Lines of Business and external entities such as State and Local Governments or Industry.
“Particularly powerful where Lines of Business can leverage emerging industry standards, or join with State and Local Governments to define joint XML schemas that provide data interoperability across tiers of government.
“All E-Gov Initiatives should define and implement an approach for using XML.”
E-Gov Architecture Guidance (Common Reference Model) Draft – Version 2.0, Interagency FEA Working Group, July 25, 2002 http://www.cio.gov/archive/E-Gov_Guidance_July_25_Final_Draft_2_0a.pdf
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NASCIO Recommendations “A common vocabulary is needed to
facilitate cross boundary information exchange.
“Extensible Markup Language (XML) has become the de facto standard for government data sharing. “The Global Justice XML Data Model (GJXDM) is
the standard being widely implemented by government agencies at all levels for inter-organizational communication and data sharing of public safety and criminal justice information.”
Connecting the Silos: Using Governance Models to Achieve Data Integration, NASCIO Research Brief, Interoperability and Integration Committee , June 2005 (Updated November 2005), page 3https://www.nascio.org/nascioCommittees/interoperability
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JXDM Defined JXDM – The Justice XML Data Model (JXDM) was
developed by the U.S. Department of Justice's (DOJ) Office of Justice Programs (OJP), together with the Global Justice Information Sharing Initiative (Global).
The purpose is to increase the ability of justice and public safety communities to share justice information at all levels laying the foundation for local, state, and national justice interoperability.
The DOJ began developing the requirements for the justice data model in 1998.
Document Management System Interoperability -- The Need, The Answer: A White Paper for Federal Agency CIOs and IT Architects, February 1998 (Department of Justice)http://www.cio.gov/archive/dms_interoperability_feb_1998.html
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GLOBAL definedGlobal - The Global Justice Information Sharing
Initiative (Global) mission: the efficient sharing of data among justice
entities at the very heart of modern public safety and law
enforcement. Advises the U.S. Attorney General on justice information
sharing and integration initiatives Created to support the broad scale exchange of pertinent
justice and public safety information Promotes standards-based electronic information exchange to
provide the justice community with timely, accurate, complete, and accessible information
in a secure and trusted environment
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GJXDM Defined Global JXDM - a comprehensive product that
includes a data model a data dictionary and an XML schema
The Global JXDM is an XML standard designed specifically for criminal
justice information exchanges providing law enforcement, public safety agencies,
prosecutors, public defenders & the judicial branch with a tool to effectively share data & information.
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GJXDM Defined Removes the burden from agencies to
independently create exchange standards because of its extensibility more flexibility to deal with unique
agency requirements and changes Global JXDM enables interoperability
through the use of a common vocabulary that is understood system to system
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Developing Metadata- Process Diagram
· Initiate process - meet with EDMS/SRCA staff
· Agency analyzes current business process
· Resulting in data model
EDMS/SRCA staff cross references Common Tables · Agency inputs from SME· Output – ensure all
metadata is captured· Agency ownership· National Standards
Agreement on Agency specific tables:· Accuracy· Comprehensive· Extensible
Approval by· EDMS metadata
review committee· SRCA/EDMS staff· Agency staff
Cross referenceagency metadata for interoperability
Pre-requisites:· BPR· Records
Management Analysis
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Metadata Standards for ECMAgenda Definitions:
Metadata Data Dictionary Data Model XML Interoperability
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Metadata Defined “Metadata” means "data about data"; it is
information that describes another set of data. Example is a library catalog card
Contains data about the contents and location of a book: It is data about the data in the book referred to by the card.
Metadata is structured information that describes and/or enables finding, managing, controlling, understanding or preserving other information over time.
In a records management context, metadata are data describing the context, content and structure of records and their management through time.
As such metadata are structured or semi-structured information that enables the creation, registration, classification, access, preservation and disposition of records through time and within and across domains.
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Data Dictionary Defined A data dictionary is a set of metadata that
contains definitions and representations of data elements. Amongst other things, a data dictionary holds the following information:
Precise definition of data elements Usernames, roles and privileges General database structure
A data dictionary supports consistency between data items across different tables. For example, several tables may hold telephone numbers, using a data dictionary the format of this telephone number field will be consistent.
Data dictionaries are one step along a pathway of creating precise semantic definitions for an organization.
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Data Dictionary Example Telephone Number
field label field name nulls type key references list field notes
TELEPHONE_ID yes serial PK n/a noPrimary key for the telephone table.
PARTY_ID no Integer FKparty. PARTY_ID no
Foreign key into the party table
phoneNumber no varchar (30) n/a n/a no n/a
phoneType no varchar (20) n/a n/a closed closed list
Field Definition: This is the type of telephone: home, work, fax, cell, secretary, other.Phone Type
Phone Number Field Definition: Telephone number.
ID Field Definition: Database generated identifier assigned to each unique telephone contact record.
Party Field Definition: This is the 'link' between a PARTY and an entry in the TELEPHONE table.
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Data Model Defined A data model is a model that
describes in an abstract way how data is represented in a business organization, an information system or a database management system.
Data models include complex relationships between data elements
A data model shows how data of a specific business function is organized logically
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Data Model Example Telephone Number
TELEPHONE_IDPARTY-ID
PhoneType
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Data Model ExampleMVD Conceptual Data Model – by subject area
DriverLicenseDriverLicense
CustomerCustomer VehicleVehicle
InsuranceInsurance
LiensLiens
RegistrationsRegistrations
TitlesTitles
PlatePlate
CitationsCitations
DriverTest
DriverTest
AccountsAccounts DealersDealers
AddressAddress
InventoryInventory
DistributionDistributionOrganizationOrganization
StaffStaff
CashDrawerCashDrawer
Suspensions,Restrictions,Violations
Suspensions,Restrictions,Violations
DocumentImaging
DocumentImaging
DocumentWorkflowDocumentWorkflow
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XML Defined XML – Extensible Markup Language (XML)
is a programming language devised for the web environment.
XML was designed to describe data and to focus on what data is. XML does not DO anything.
XML was created to structure, store and to send information.
XML is the most common standard for web programming
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XML Example Telephone Number<?xml version=“1.0” encoding=“utf-16”?><XS:schema xmlns:ns)=“http://NMDA_Schemas.NMDA_Telephone_Record”
“http://NMDA_Schemas.NMDA_Telephone_Record: xmlns:b=“ http://schemas.microsoft.com/BixTalk/2003” elementFormDefault=“unqualified: targetTelephone=http://NMDA_Schemas.NMDA_Telephone_ID version=“0.2” <xs:import schemaLocation=“.\NMDA_Telephone_ID.xsd” Telephone=http://NMDA_Schemas.NMDA_Telephone/>
<xs:annotation><xs:appinfo><b:references><b:reference targetTeleponeRecord=“http://NMDA_Schemas.NMDA_Telephone_Record:/>
</b:references></xs:appinfo><xs:annotation><xs:Telephone_ID name=“TelephoneID”></xs:annotaiton><xs:documentation> Database generated identifier assigned to each unique telephone contact record.>/xs:documentation>
</xs:annotation><xs:complexPARTYID>
<xs:documentation>This is the ’link’ between the party and the entry in the telephone table<xs:documentation>
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Data Dictionary & Data Model
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Common Administrative Metadata
Metadata common to all agencies The Metadata Standards have been
organized into five tables: Table 1: Access Control/Rights/Redaction; Table 2: Retention/Disposition Instructions; Table 3: History or Audit Trail; Table 4: Document/Records Description, and
Document/Record Content; Table 5: Agency Specific metadata
These common metadata elements capture information needed to adequately administer content and documents
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Common Administrative Metadata Table 1:
Access Control /Rights/Redaction: Security Classification Rights – (to read, write, change, delete)
Table 2: Retention and Disposition:
Retention Schedule Disposal Notification Flag Record Series Number (NMAC Number)
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Common Administrative Metadata
Table 3: History or Audit Trail
Date accessed Preservation and migration history Hardware Software
Table 4: Document / Record Description
Author/Creator/Originator Date Created Key words (for searching) Retention Record Series Number
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Agency Specific Metadata Table 5:
Agency Specific Metadata for Discovery These elements capture information
contained in the content or document that support retrieval and searching.
Record Type Description Subject(s) Person(s) Date(s)
See NM Court Workflow Design
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Next Steps
Developing NMAC Rules for EDMS/ERMS Application Standards, plus the Whitepaper
Updated Timeline - September Application Domain Team Review
and Approval