Attachment_10_-_Records_Management_Service_Components_(RMSC).docx
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- Attached to
- SEC OneIT On-Ramping Federal contract opportunity
- Solicitation number
- 50310219R0016
- Issued by
- Securities and Exchange Commission
About this file
This document outlines nine Records Management Service Components (RMSC) required by the Securities and Exchange Commission. The components include Capture Record, Assign Disposition, Categorize Record, Search Repository, Retrieve Record, Ensure Authenticity, Associate Record, Execute Disposition, and a global requirement for all components to make attribute data available for output purposes such as printing, viewing, saving, reporting, auditing. Each component lists functional requirements specifying capabilities for assigning attributes, applying schemas and business rules, querying records, populating disposition information, validating actions, and completing record destruction or transfer. The related federal contract opportunity is solicitation number 50310219R0016 for SEC OneIT On-Ramping services.
Records Management Service Components
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RECORDS MANAGEMENT SERVICE COMPONENTS (RMSC)
| REQUIREMENTS |
| RMSC Name Definition |
| Functional Requirements |
| 1. Capture Record Capture information with associated attributes in an electronic system. |
| 1.1 The Capture Record Component shall provide the capability to assign Descriptor attributes in a consistent format to the incoming record creating a Controlled Agency Information Resource. |
1.2 The Capture Record Component shall populate a Legal Custodian Attribute of the Record when it is captured.
| 2. Assign Disposition Using an established disposition authority, assign the disposition schedule, item number, and disposition instructions to the record. |
| 2.1 The Assign Disposition Component shall provide the capability to accept a Categorized Record and, using an Approved Record Schedule, populate attributes (e.g. schedule number, schedule item number, disposition act, disposition date, review date, name of scheduler, date of scheduling) for the record, producing a Scheduled |
| 3. Categorize Record Utilizing agency business rules, assign an appropriate descriptive label to the records to facilitate management in an electronic system. |
| 3.1 The Categorize Record Component shall provide the capability to allow Authorized Users (e.g. individuals, organizations, or applications) to categorize a Record to produce a Categorized Record. |
3.2 The Categorize Record Component shall provide the capability to allow Authorized Users (e.g. individuals, organizations, or applications) to re-categorize a previous Categorized Record to produce a Re-categorized Record.
3.3 The Categorize Record Component shall provide the capability to apply the Authorized Categorization Schema to an Uncategorized Record to produce a Categorized or Re-categorized record with populated attributes such as; category, name of categorizer, and categorization date.
3.4 The Categorize Record Component shall provide the capability to apply the related Business Rules to an Uncategorized Record to produce a Categorized or Re-categorized Record with added Categorization attributes (to include category, name of categorizer, and categorization date).
| 4. Search Repository Query all or selected system repositories of records (transitory, temporary, and permanent) across the enterprise for content and/or attributes, in order to determine the existence and location of matching records. |
| 4.1 The Search Repository Component shall provide the capability to accept a User Query, apply the Query Criteria to the universe of available records, producing a List of Matching Records. |
| 5. Retrieve Record Using the search results, allow for the selective display of the full record and/or associated attributes for an authorized purpose. |
| 5.1 The Retrieve Record Component shall provide the capability to use a Records Retrieval Tool to provide the Records and/or associated authorized attributes identified by the Search Repository Component consistent with access authorization |
6. Ensure Authenticity Ensure the acceptability of a record as genuine, based on its characteristics such as structure, content, and context.
6.1 The Ensure Authenticity Component shall populate an Original Authenticity Indicator attribute for a newly Captured Record.
6.2 The Ensure Authenticity Component shall compare the Original Authenticity Indicator with the Current Authenticity Indicator attribute each time a record is accessed and, when there is a discrepancy, produce a Discrepancy attribute.
| 7. Associate Record Provide the capability to associate a record used in creating a record through a Record Association attribute. |
| 7.1 The Associate Record Component shall provide the capability to associate a Record with another Record by populating a Record |
Associations attribute creating a record association.
8. Execute Disposition Implement destruction, transfer, or continued retention of a record in accordance with the established disposition authority. After validation that the disposition action is valid, execute the disposition action, and record the transaction.
8.1 The Execute Disposition Component shall provide the capability to populate Successor Legal Custodian attribute(s) of the Categorized Record when a Legal Custodian transfer occurs.
(NOTE: A record can have more than one Successor Legal Custodian attributes).
8.2 The Execute Disposition Component will populate the Suspend Disposition attribute when a Suspend Disposition Intervention occurs. (NOTE: A record can have one or more Suspend Disposition attributes).
8.3 The Execute Disposition Component will provide the capability to assign a "null value" to the Suspend Disposition attribute to allow the assigned disposition to be carried out on the Categorized Record.
8.4 The Execute Disposition Component shall validate the Disposition Action, Disposition Date, and Suspend Disposition attributes using the Approved Disposition Schedule and populate a Validated Disposition attribute.
8.5 The Execute Disposition Component shall provide the capability to locate a Scheduled Record and its attributes approved for destruction using the populated Validated Disposition attribute producing an Identified Disposable Record.
8.6 The Execute Disposition Component will take a Scheduled Record approved for destruction and destroy the record, populating the Disposition Complete attribute.
8.7 The Execute Disposition Component shall provide the capability to locate a record and its attributes approved for transfer using the populated Validated Disposition attribute producing an Identified Transferable Record.
8.8 The Execute Disposition Component will take a Scheduled Record approved for transfer and transfers the record, populating Disposition Complete attribute.
8.9 The Execute Disposition Component shall provide the capability to populate the Disposition Action History attribute that produces Evidence of Disposition when the Disposition Complete attribute is populated.
Global Requirement:
The Records Management Service Components shall make available all data resident in their attributes for output. (This requirement will support printing, viewing, saving, report writing, audit, etc.).
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