For Official Use Only Records Management: Essential Key to Content Management and eDiscovery Elizabeth L. (Bette) Fugitt, Ed.D. Unit Chief, Records Management Applications Unit Records Automation Section Records Management Division Federal Bureau of Investigation

Slide 2 For Official Use OnlyUnclassified The Start of the Challenge I have it all right here.... Somewhere...

Slide 3 For Official Use OnlyUnclassified And now I have it electronically! Personal Computers NETWORKSNETWORKS Miscellaneous Storage Devices

Slide 4 For Official Use OnlyUnclassified The Technology Argument: Key Word Search Solves the Search and Locate Challenge

Slide 5 For Official Use OnlyUnclassified Not Necessarily... Early Childhood Education Diet and NutritionAnimal Husbandry

Slide 6 For Official Use OnlyUnclassified My Context Might (or Might Not) Equal Your Context My Label Might (or Might Not) Match Your Label The Argument: I’m (We’re) Different! My Content Might (or Might Not) Equal Your Content

Slide 7 For Official Use OnlyUnclassified Federal Information Technology is Not Using a Vital Resource Authentic, Valid, and Accessible Federal Records

Slide 8 For Official Use OnlyUnclassified Believe it or not - Federal Records Schedules n Link Information Categories Directly to Agency Business n Identify Intended Customers n Identify Intended Business Purpose of Information n Are Required to Use Terms from the Federal Register Thesaurus Title 1 CFR Part § Identification of subjects in agency regulations

Slide 9 For Official Use OnlyUnclassified Federal Electronic Records Management Requires Identification of: n Office of Origin n File Code n Key Words for Retrieval n Addressee (if any) n Signator n Author n Date n Authorized Disposition (coded or otherwise), and n Security Classification (if applicable) See Chapter 36 of the Code of Federal Regulations

Slide 10 For Official Use OnlyUnclassified Records Management Metadata n Can Support Efficient Information Retrieval in a Structured, Reliable and Meaningful Way n Can Provide Logical Links Between Subject Matter and Context of Creation n Can Support Interoperability Strategies in Diverse Technical and Business Environments n Can Support Successful Migration of Business Information from One Environment to Another

Slide 11 For Official Use OnlyUnclassified Architecture: Preparing for Meta Data 1. Put existing file plan / disposition authorities into a data base 2. Correlate file categories to business functions 3. Identify organizational owners of business functions 4. Make business owners responsible for: A. Crosswalk of file categories to common taxonomy B. Identification of security and access restrictions

Slide 12 For Official Use OnlyUnclassified Architecture: Inserting Metadata - The Business Process 1.Author/Owner - Prepares, or Receives, and Saves Electronic Information 2.Records Management Software - Scans Information and Proposes Information Category and Record Status 3.Author/Owner - Confirms Information Properties 4.IT System - Appends Metadata, Organizes, Sorts, Controls Access, Retrieves, Retires Information Based Upon Business Rules

Slide 13 For Official Use OnlyUnclassified Architecture: Program the Search Tools 1. To Identify the Credentials of the Customer 2. To Categorize Response by Common Topic Areas by Using Appended Metadata First in Response to Query 3. To Give the Customer the Option of Using the Categorized Response to Query or to Receive the Full List in Reverse Chronological Order

Slide 14 For Official Use OnlyUnclassified Architecture: Use of a Thesaurus A thesaurus provides sufficient entry points to allow users to navigate from terms that are not to be used to the preferred terminology adopted by the organization. ISO/TR :2001(E) §

Slide 15 For Official Use OnlyUnclassified Architecture: Finding the Common Topic Areas Agency A ADP Plans N1-AA-88-2 WO: P- 10 years R, ES, & A: T -3 months Agency A ADP Plans N1-AA-88-2 WO: P- 10 years R, ES, & A: T -3 months Agency C 9. Budget Requests NC1-CC-80-1, Item 9. T – 4 years Agency C 9. Budget Requests NC1-CC-80-1, Item 9. T – 4 years Agency B 2009-A2 Budget Form. & Presentation NC1-BB-75-1 T – 3 years Agency B 2009-A2 Budget Form. & Presentation NC1-BB-75-1 T – 3 years Business Topic: Information Technology Budget Federal Register Codes: 17 Science & Technology, Computer Technology; 08 Government, Accounting

Slide 16 For Official Use OnlyUnclassified The Federal Government is Already Required To Properly Tag Its Electronic Information (See 36 CFR ) To Correlate its Business Topics to the Federal Register Thesaurus as Part of the Records Scheduling Process (See 1 CFR Part § 18.20) Why not use our existing information infrastructure to help us manage and locate our electronic information?

Slide 17 For Official Use OnlyUnclassified Use Existing Resources to Save Time and Money! Crosswalk authorized agency file categories to common terms from the Federal Register Thesaurus Use those common terms to organize response to query This will provide the user both Context and Content in response to query!

Slide 18 For Official Use OnlyUnclassified What Does This Have to Do With eDiscovery? A categorized response to query: n Facilitates review by putting electronic information into context Identification of distributing and receiving organizations Identification of authors by name and position Identification of intended recipients n Facilitates prompt elimination of unrelated or duplicative response to query

Slide 19 For Official Use OnlyUnclassified Practical Information Management Requires a Team Approach. Program StaffEnter the metadata and are responsible for the accuracy, authenticity, and timeliness of the information. Crosswalk program files to the corporate taxonomy. Records ManagersProvide records schedules and file plans; assist Program Staff with the crosswalk to the corporate taxonomy. Reference LibrariansUpdate the corporate taxonomy and facilitate location of information IT StaffProgram the search tools and records management software. Set access controls in place.

Slide 20 For Official Use OnlyUnclassified CREDIT An Existing Approach – Not a New One Metadata Templates Explanation of Metadata Simple Subject Tree Programming of Search Tool Washington State Library’s Find It Web Site: If You Want Your Information to be Found

For Official Use Only Questions?