Automated Records Management Information Systems: Simplify

and Streamline Records Management

Catherine TetiManaging Director, Knowledge Services

Government Accountability OfficeE-Discovery Readiness for the Government

ConferenceJune 8, 2010

June 8, 2010 2

Background

• Much of the Agency’s business was and now is conducted electronically

• Operations were and still are being migrated from paper-based records to electronic records

• Our working principles: • Records management begins at the time of document

creation.• Records management must be aligned with the business

operation • Records management must be transparent to the end-

users

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Records Management as a Strategic Investment

• When implementing a records management program, people often consider the solution to be a new system

• The RM tool is viewed as the panacea for records and information management chaos

• Renovating the whole program, not just plugging in an IT solution, makes sense

• The whole renovation is a strategic investment

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Components of the Records Management Solution

• Survey the Agency landscape• Interview the business stakeholders• Develop the business justification• Secure a senior executive sponsor and mandate• Develop partnerships with Information Technology,

Legal, Policy, Quality Management • Create a governance structure• Assess the viability of the existing records management

program infrastructure

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Components of the Records Management Solution (cont’d)

• Analyze the “As is” state of document and records management in the Agency

• Develop the “To Be” strategy (concept of operations)• Establish the project implementation team• Adopt and execute a change management strategy• Conduct User Tests; fold in end-user feedback and

enhancements • Develop a compliance and auditing process

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Enterprise Program Development Approach

BusinessProcess

Integration

Electronic System

Integration

GovernanceModel

Governance ModelCollaborative effort of Mission teams and Administrative Business Units (with the leadership and support of Senior Management) to develop suitable policies, training, and audit processes for the organizationElectronic Systems IntegrationInformation Technology supports the governance model in all electronic systems of the organization where information is created or accumulates.Business Process IntegrationManagement leaders of individual mission teams and administrative units are responsible for seeing that the governance model is implemented and in line with the business. Appropriate electronic system tools make this implementation practical and sustainable.

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Surveying the Landscape

• An integrated DM/RM implementation is predicated on understanding the business need

• Talk to the business; understand its needs and priorities• Represent the interest of the business—first and

foremost• Review the current business processes and understand

the records in the context of the business

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Understanding the Legal Requirements• Understanding the Federal requirements stipulated by

the Federal Records Act (44 USC, Chapter 31): • “…preserve records containing adequate and proper

documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency and designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency’s activities.” (§  3101 )

• Governs the practices of records managers and of employees who create or use records in the course of their business activities

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Selling the RMS Business Benefits

When creating the RMS business rationale, focus on the program benefits:

• Minimizes end-user responsibility for records management• Seamlessly integrates with Microsoft Office Suite and the

document management tool• Minimizes the administrative burden on the end-user• Minimizes records duplication• Provides secure access, version control, and audit trails• Facilitates good record-keeping by GAO employees, thereby

minimizing risk and exposure• Records management practices are handled centrally by

records staff• Enables GAO staff to comply with the Federal Records Act

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Securing the Sponsor and Mandate

• The RM program needs a champion• The champion must be a senior executive or group who

can address obstacles and roadblocks• The program was backed by an Agency-wide mandate

from the Executive Committee and Comptroller General

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Building Solid Partnerships

• Partnerships with IT, Legal and Quality are key• IT—for the system controls• Legal—for the Legal and regulatory authorities,

backup, and for e-discovery and document production support

• Policy and Quality—for policy interpretation and guidance, compliance and enforcement

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Creating the GAO Oversight Group

• The ERMS Steering Committee• Oversaw the DM/RMS implementation from a policy,

quality and functional perspective• Provided direction for the change management,

communication and outreach associated with the DM/RM system deployment

• The ERMS Community of Practice• Provided user feedback• Brought different business perspectives to the table

when examining records problems or challenges

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Building a Solid RMS Infrastructure

• Infrastructure components• Agency records management order

• Concise, understandable, enforceable• Provides the rationale for the enterprise-wide

program• High-level policy

• Records retention schedule and file plan• Architected for electronic record-keeping• Structured around the business and operational

needs

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Building a Solid RMS Infrastructure (cont’d)

• Records retention schedule and file plan• Built through collaboration with the end-users• Consists of three broad business-process oriented

buckets:• Administrative--7 years• Engagement--5 years, unless historically

significant• Policy--permanent

• File plan based on job codes for engagement work, then function and activity

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Analyzing the “As Is”/”To Be” States

• “As Is”:• Interviewed analysts (focus groups) throughout the Agency• Reviewed existing business processes• Assessed the way that the analysts worked (pilots) and policy

requirements• Shared findings/refined approach with stakeholders

• “To Be”:• Adapted RM tool to business workflow to simplify retention and

leverage the technology• Created a simple process for document profiling • Made records management functionality invisible to the end

user

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Key Rollout Initiatives

• Piloting began in 2005, multiple projects with HQ and field users• ERMS agency-wide roll-out began in June 2006

• phased implementation, team by team• mandatory for engagements starting in January 2007

• Users were trained heavily to use profiles • RM staff were available daily to provide desk-side assistance to

staff and provide help labs to teams and units• ERMS implementation did not impact staff’s capability to share

documents • Records Officer and RM staff gave briefings to each team and unit

to inform staff of the rollout and answer questions.

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Implementation Challenges

• Senior leadership endorsement & support is essential for implementation and adoption within Mission teams and administrative business units

• Electronic records management strategy and tools are necessary for the effective management of structured and unstructured electronic records

• Business processes must be standardized and consistent.• Change Management is necessary to support employee adoption

of new tools and procedures for managing information• Implement Change Management Strategy• Develop and deliver targeted training & employee

communications (DM/ERMS Help Labs & published guidance)

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Current Status

• Added over 2 million documents to the repository since implementation

• Almost 1.5 million completed, read-only records• About 100 engagement files opened and closed every

month• 150 legal case files opened monthly• Almost 150 administrative files managed by fiscal year

• 126,000 documents in FY 2009• Continue to educate users

• Monthly help labs• Ongoing telephone and deskside assistance• Policy and guidance interpretation

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Next Steps

• Enhance desired functionality emanating from our customer satisfaction survey– workflow, collaboration

• Expand capabilities to address new technologies and multiple record formats – podcasts, YouTube

• Acquire new tools to handle records in a federated architecture