# Presentation: 109815

## Case File Solutions

**Records Management Questions**
**RACO May 12, 2005**

## Overview of the Presentation

- Preliminaries
- A short story
- How case management can help
- Issues we need to face
- Breaking the paper paradigm
- Steps toward a solution

- Unclassified

## Disclaimer

- The contents of this presentation are my own opinions and do not necessarily reflect the positions of DOJ, the FBI, or my management and colleagues, my legal offices (past or present), etc.
- Based on nearly 30 years of experience in the field.

- Unclassified

## Mike’s Biases

- It’s not the records that are authentic, reliable, etc. – it’s the system
- The easiest way to do records management (RM) is to embed it in the work process
- All case management applications are essentially RM systems.
- The less people know that it’s RM the more they likely they are to do it.
- RM needs to make alliances to succeed

- Unclassified

## A Bit of Context

- FBI’s Records Management Division
- Major Initiatives
- Central Records Complex
- Bureau-wide records inventory
- Reengineering of policy documents
- Document scanning facility (DocLab)
- Electronic recordkeeping certification
- Cooperation with OCIO

- Unclassified

## A Short Story

- In a recent court case we located 4 pertinent FD-302s after we had turned over “all pertinent materials.”
- Two were edits to correct interview dates.
- Two minor ones had been charged out.
- No harm but embarrassing
- Our recordkeeping system was called into question.

- Unclassified

## How Can Records/Case Management Help?

- All documents are captured in the system and managed there
- No charge outs
- Edited documents are linked
- You know you have everything
- You have approved business rules for management of the records
- Dispositions can be implemented

- Unclassified

## What Are the Issues?

- What is the role of records management?
- Why is process reengineering important?
- Setting business rules
- Does the record change?
- What is it?
- What all is it?
- Does it change?
- How do we maintain an authoritative record?

- Unclassified

## What is the Role of      Records Management?

- What is the role of records management in case management?
- Case management as a subset of life cycle records management
- Records management as the file room at the end of the line
- The records management service layer
- The records management life cycle

- Unclassified

## Reengineering the Process

- All pertinent documentation is created in the system
- Setting the business rules
- What documentation is created?
- How it is routed?
- Who signs?
- The fate of drafts, changes, comments
- The need for partnerships

- Unclassified

## Does the Record Change?

- Traditionally the end product
- New types of records
- Drafts and edits
- Audit logs
- Approvals / comments
- RMA creates records too
- Different from paper case files
- New records exist and are controlled
- New records are used

- Unclassified

## Maintaining an     Authoritative Record

- Control of the contents from creation onward within the scope of the application and according to proper business rules
- Digital signature?
- System controls and audits
- The cost of maintenance over time

- Unclassified

## Lessons Learned 

- “It ain’t over til it’s over”
- Good records management is a process not a product
- Records management needs partners
- Good ideas don’t implement themselves
- Records management must
- Work invisibly
- Benefit visibly

- Unclassified

## Michael L. Miller

**Chief, Records Automation Section**
**Federal Bureau of Investigation**
**Records Management Division**
- _[mmille10@leo.gov](mailto:mmille10@fbi.gov)__       202.324.7234_