Electronic Records

The FEA Records Management Profile & the SDLC

The FEA Records Management Profile & the SDLC

Martha Morphy

Chief Information Officer

National Archives and Records Administration

GSA IT Summit

Washington D.C.

October 9, 2007

Martha Morphy

Chief Information Officer


GSA IT Summit

Washington D.C.

October 9, 2007

OverviewOverview

What is the RM Profile and why is it important?

Embedding the RM Profile into agency IT processes: EA, SDLC, CPIC, BPD

What is the RM Profile and why is it important?

Embedding the RM Profile into agency IT processes: EA, SDLC, CPIC, BPD

BackgroundBackground Development of an RM Profile began as a response

to a number of challenges Federal agencies face: • Agency records management procedures do not integrate

people, policies, processes and technology well

• Agency enterprise architectures (EA) do not systemically address records management requirements

• Agency planning and execution of IT investments often overlooks the value of records management (RM)

• Systems are often funded, designed and implemented without adequate thought about how those records will be managed over their entire lifecycle

Development of an RM Profile began as a response to a number of challenges Federal agencies face:

• Agency records management procedures do not integrate people, policies, processes and technology well

• Agency enterprise architectures (EA) do not systemically address records management requirements

• Agency planning and execution of IT investments often overlooks the value of records management (RM)

• Systems are often funded, designed and implemented without adequate thought about how those records will be managed over their entire lifecycle

The RM Profile is . . . The RM Profile is . . .

• A cross-cutting framework in the five FEA Reference Models

• Designed to help decision-makers define RM requirements and systemically and consistently embed RM practices into existing agency IT and business processes

• A tool to help agencies address NARA, OMB, ISO, and legislative RM requirements that will enhance agency productivity and effectiveness

• A cross-cutting framework in the five FEA Reference Models

• Designed to help decision-makers define RM requirements and systemically and consistently embed RM practices into existing agency IT and business processes

• A tool to help agencies address NARA, OMB, ISO, and legislative RM requirements that will enhance agency productivity and effectiveness

RM Profile ObjectivesRM Profile Objectives Establish a common Government-wide framework

for identifying records management requirements

Identify records management issues and requirements and link them to their implementing technologies and business processes.

Build records management requirements into agency IT governance processes for enterprise architecture

• capital planning and investment control (CPIC)• business process design (BPD)• systems development life cycle (SDLC)

Establish a common Government-wide framework for identifying records management requirements

Identify records management issues and requirements and link them to their implementing technologies and business processes.

Build records management requirements into agency IT governance processes for enterprise architecture

• capital planning and investment control (CPIC)• business process design (BPD)• systems development life cycle (SDLC)

RM Checklist in the SDLCRM Checklist in the SDLC

4-6 key RM questions for each phase of the SDLC 4-6 key RM questions for each phase of the SDLC

ConceptDevelopment

RequirementsDefinition

PreliminaryDesign

DetailedDesign

Development

Integration &System Test

Deployment& Acceptance

ProductionRetirement &

Rollover

Records Officer

brought intothe system

designprocess

Records Officer

Signature asStakeholder on

The IT InvestmentProposalsummary

Proposedrecords schedulecreated ordiscussion

initiated

Formal SystemsRequirements

Documentcontaining all

records-related

requirements

Records Officer

signature asstakeholder on

Preliminary Design

Document incorporatingrequirements

RecordsOfficer

included inproject status

meetingsas

needed

RecordsOfficer


meetingsas

needed

RecordsOfficer hasreviewed

draft recordsschedule

RecordsOfficer


meetingsas

needed

Annual IT review

citingrecords-related

concernsforwarded to

RecordsOfficer

foraction

Records Officer

signature asstakeholder onSystems Test

Report

Draft recordsscheduleprepared

Records Officer

signature onproject review

certificationdocument(s)

Records Officer

signature onthe shut-downdocumentation

certifying allrecords

,managementconcerns have

been addressed

IT CapitalPlanning process

Records Officerinvolvementas needed

System Testing& Acceptance

Phase

Records officerinvolvementas needed

Production/Operation Phase


ProjectRequirements

Phase

PreliminaryDesign Phase


RM INTEGRATION PLAN LINK

RM Checklist Questions in the SDLC


Concept Phase: Is this system replacing a paper-based records system?

• Are the paper records already scheduled? • Can the existing dispositions be used as the basis for new

dispositions for this system? Is this new system replacing an existing electronic system?

• Is this existing system already scheduled? • Can the existing dispositions be used as the basis for new

dispositions for this system? • Have you addressed the migration of the legacy data?

If the business process/workflow has or will be re-designed prior to system development, will the new business process account for all changes in the format, nature, and content of existing records?

Have you discussed these records management questions with your agency’s records management officer?

Concept Phase: Is this system replacing a paper-based records system?

• Are the paper records already scheduled? • Can the existing dispositions be used as the basis for new

dispositions for this system? Is this new system replacing an existing electronic system?

• Is this existing system already scheduled? • Can the existing dispositions be used as the basis for new

dispositions for this system? • Have you addressed the migration of the legacy data?

If the business process/workflow has or will be re-designed prior to system development, will the new business process account for all changes in the format, nature, and content of existing records?




Requirements Definition Phase Have you incorporated all records-related requirements into the

system? Have you identified additional records requirements based on your

business needs? Have you considered how the proposed records dispositions and

retention times might impact the system’s records-related requirements?

• For records of long-term value, is there a well-documented migration strategy to ensure the integrity and continued access to these records?

Have you incorporated all of the records-related requirements detailed in the system requirements document into the records requirements section of your draft IT Investment Proposal?

Have you validated the requirements and developed clear measures for each?


Requirements Definition Phase Have you incorporated all records-related requirements into the

system? Have you identified additional records requirements based on your

business needs? Have you considered how the proposed records dispositions and

retention times might impact the system’s records-related requirements?

• For records of long-term value, is there a well-documented migration strategy to ensure the integrity and continued access to these records?

Have you incorporated all of the records-related requirements detailed in the system requirements document into the records requirements section of your draft IT Investment Proposal?

Have you validated the requirements and developed clear measures for each?


Questions?Questions?

Contact InformationMartha Morphy


[email protected]

(301) 837-1992

NARA RM website: http://www.archives.gov/records-mgmt/

RM Profile: http://www.cio.gov/documents/RM_Profile_v1.pdf

FEA PMO: http://www.whitehouse.gov/omb/egov/a-1-fea.html

Contact InformationMartha Morphy


[email protected]

(301) 837-1992

NARA RM website: http://www.archives.gov/records-mgmt/

RM Profile: http://www.cio.gov/documents/RM_Profile_v1.pdf

FEA PMO: http://www.whitehouse.gov/omb/egov/a-1-fea.html

mailto:[email protected]

mailto:[email protected]

DoI’s FDMS ExperienceDoI’s FDMS Experience

Sharon Whitt, Program Manager

Department of Interior

GSA IT Summit 10/09/07

eRulemaking and eRulemaking and eDiscoveryeDiscovery

Regulations.Gov Regulations.Gov Operational January 2003 Operational January 2003 Agency Functionality September 2005 Agency Functionality September 2005 September 125+ Federal Entities September 125+ Federal Entities DeployedDeployed

ObjectiveObjective Provide the Public with easy access Provide the Public with easy access toto Federal rulemaking Federal rulemaking Ability to comments electronically Ability to comments electronically

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eRulemaking and eDiscoveryeRulemaking and eDiscovery

Docket – Administrative Record for Rule

Advantages Search Capability Ability to deliver electronically Identification of Holds & Freezes

Disadvantages Business Function not System Coordination Records Officers, Business Staff, CIO’s Office, and Solicitors

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DOI Preparation

Internal Set up Bureau Teams

Determine Scope List of Records Holds & Freezes Status of Bureaus Records Schedules Education for the Teams

1414


DOI Preparation

External

DOI Participate in eRulemaking Workgroups Work with other Federal Agencies Coordination with NARA

Work with eRulemaking’s Contractor Understanding Rulemaking Workflow

1515


Progress to Date DOI Senior Management Commitment Established DOI’s Internal Workgroups Participated in eRulemaking Requirements Set up Bureau, NARA, and DOI Teams Establish Implementation Schedule Work with Bureaus in Education, Acceptance

BLM and MMS implemented 10-7-07

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Questions

?

GAO on Building the Electronic Records Management System

(ERMS)

Explosion of Electronic Information – The Saga of Records Management

GSA IT Summit 10/9/2007Jean Nazzaro, Director of Customer Relations - OCIO

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Overview

• Background• Business Requirements• Stakeholders• Systems Development & End Users• Metrics• Lessons Learned• E-Repository in the Enterprise Architecture• Successful ERMS Implementation• Summary

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Background

• Documentation is key to GAO’s work - -- about 1200 case files generated each year.

• GAO pioneered implementation of document management in the Federal government.

• Automated business processes need an electronic records management system (ERMS) to capture e-records.

• Knowledge Services, Information Services & Technology Systems, and Quality and Continuous Improvement (Policy) formed a strategic partnership to build ERMS.

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Business Requirements

The ERMS had to:• Integrate with other e-business initiatives• Embed records retention into the electronic processes• Store documentation or pointers to documentation

(paper, data sets, copyrighted material, artifacts, URLs, etc.)

• Capture the record at creation or receipt • Minimize the end user’s responsibility for RM• Facilitate the RM staff making the RM decisions• Be easy to use

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Stakeholders

Analysts/Auditors/Attorneys• DOCS Task Force• Work Paper Task Force• Automated Processes Task ForceKS, IT, & Policy Partnership• ERMS Steering Committee• ERMS Work Group• ERMS Task Forces (Processes/Metrics & Schedules)Management• IT Investment Committee• Continuous Improvement Board

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End Users: Key to Systems Development

Analysts/Auditors/Attorneys contributed to the:• Prototyped System• Pilot System• Communication, Training, & Implementation Strategies • Phased Roll-Out• Community of Practice

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Simplified Retention and the 3-Bucket ApproachSummary of 3 Bucket Approach

6/14/05 GAO’s ERMS Initiative 6

Simplified Retention and the 3 Bucket Approach

Mission5 year retention

• Testimony, Engagement & Investigation Case Files

• Engagement Management Files

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Summary of 3 Bucket Approach, cont.



Policy & Special Collections

Permanent Or Long-term retention

• GAO Reports & Publications

• Legal Decisions• Legislative Histories• Historically Significant

Engagement Files• Agency Directives• Senior Executive Files




Policy & Special Collections

Permanent Or Long-term retention

• GAO Reports & Publications

• Legal Decisions• Legislative Histories• Agency Directives• Senior Executive Files



Administrative7 year

retention

• Budget• Building & Property Management• Congressional Relations• EEO• Finance• FOIA• Library Services• Human Capital• Information Systems & Technology• Procurement• Safety • Travel• Etc.

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Metrics

• Background: American Council for Technology/Industry Advisory Council (IAC): e-Government Shared Interest Group: White Paper on The Use of Metrics in Electronic Records Management (ERM) Systems, August 2004 at

http://www.actgov.org/actiac/documents/sigs/egov/08032004ERMMetricsFinal.pdf

• Measurable Processes – No baseline available.• Perceptions – Pilot User Survey.

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Lessons Learned

• Engage policy (quality control/continuous improvement) staff early on in the ERMS design process to examine the difference between electronic and traditional documentation/evidence production

• Assign reluctant users (as well as enthusiastic users) to the ERMS pilot groups

• Train on the ERMS but also on basic Microsoft Applications software and Adobe.

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E-Repository in the Enterprise Architecture

• ERMS had minimal impact on the enterprise architecture because electronic records management is fully integrated with the document management (DM) system already in place

• ERMS required no additional hardware• ERMS did require additional assistance from the DM system

administrator and help desk staff• ERMS e-repositories store records throughout their:

• creation process• active use• retention • value to knowledge management (reuse & reference).

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Successful ERMS Implementation

• System has management support from the chief-level offices• System use is mandated for GAO work• Simplified retention schedules make system use easy and

almost transparent to the user.• Streamlined business processes incorporate electronic

records management functionality• Policy refined to eliminate unnecessary tasks (e.g..

eliminated the need for forms by using the electronic profiles)• ERMS Community of Practice integral for voicing and

working user issues.

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Summary: ERMS Works

Criteria for success:• The ERMS must be user-driven• E-business processes must be clearly defined• The ERM functions must be an inherent part of the

business process• The ERM functions must be simple• The ERM functions must not place a burden on the

users.

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Questions

For more information, please contact:

Carol Brock, CRMManager, Information Assets

Knowledge ServicesU.S. Government Accountability Office

202/[email protected]

Electronic Records

Documents

Transcript of Electronic Records