electronic records
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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
National Archives and Records Administration
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
included inproject status
meetingsas
needed
RecordsOfficer hasreviewed
draft recordsschedule
RecordsOfficer
included inproject status
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
Records Officerinvolvementas needed
ProjectRequirements
Phase
PreliminaryDesign Phase
Records Officerinvolvementas needed
RM INTEGRATION PLAN LINK
RM Checklist Questions in the SDLC
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?
Have you discussed these records management questions with your agency’s records management officer?
RM Checklist Questions in the SDLC
RM Checklist Questions in the SDLC
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?
Have you discussed these records management questions with your agency’s records management officer?
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?
Have you discussed these records management questions with your agency’s records management officer?
Questions?Questions?
Contact InformationMartha Morphy
National Archives and Records Administration
(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
National Archives and Records Administration
(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
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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eRulemaking and eDiscoveryeRulemaking and eDiscovery
DOI Preparation
Internal Set up Bureau Teams
Determine Scope List of Records Holds & Freezes Status of Bureaus Records Schedules Education for the Teams
1414
eRulemaking and eDiscoveryeRulemaking and eDiscovery
DOI Preparation
External
DOI Participate in eRulemaking Workgroups Work with other Federal Agencies Coordination with NARA
Work with eRulemaking’s Contractor Understanding Rulemaking Workflow
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eRulemaking and eDiscoveryeRulemaking and eDiscovery
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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eRulemaking and eDiscoveryeRulemaking and eDiscovery
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
22
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.
6/14/05 GAO’s ERMS Initiative 7
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
Summary of 3 Bucket Approach, cont.
6/14/05 GAO’s ERMS Initiative 7
Summary of 3 Bucket Approach, cont.
Policy & Special Collections
Permanent Or Long-term retention
• GAO Reports & Publications
• Legal Decisions• Legislative Histories• Agency Directives• Senior Executive Files
256/14/05 GAO’s ERMS Initiative 8
Summary of 3 Bucket Approach, cont.
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