AERM Workshop

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Slides for the Advanced Electronic Records Management Workshop at the NAGARA Conference, July, 2011.

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AERM Workshop

  1. 1. ADVANCED ELECTRONIC RECORDS MANAGEMENT July 13, 2011: Nashville, TN Arian D. Ravanbakhsh Office of the Chief Records Officer National Archives and Records Administration
  2. 2. Outcomes2  Describe the positive factors that promote collaboration between RM and IT staff  Identify legal requirements and policies that impact Federal information requirements for electronic records  Recognize where to insert RM requirements into the planning, development, and implementation of information systems  Develop and implement an enterprise-wide electronic records management pilot  Demonstrate awareness of current issues in electronic recordkeeping as well as emerging technologies and their implications for web- based records management  Describe best practices in ERM
  3. 3. The IT and RM Worlds3 Effective Records Managers must understand the technical functions and processes within an agency.
  4. 4. Overcome Barriers4 The realities of the current relationships between the IT and RM worlds…
  5. 5. Integrated Information5 There must be a multidisciplinary approach integrating RM, IT, and the users who create the records.
  6. 6. Problems6 Problems generally arise from the fact that records management has become a distributed responsibility across the agency.
  7. 7. More Problems7 IT builds the system—but does not manage the content. RM manages content—but the system may be lacking some necessary tools.
  8. 8. Solutions8  Integrate RM and IT  Ensure that electronic records can be located, shared, and accessed agency-wide  Records and information, as well as tools, must be managed by RM and IT working together
  9. 9. RM Staff Must…9  Understand how technologies affect electronic records  Know that they are key players  Realize that records management requires technological skills and understanding far beyond document tracking
  10. 10. Records Management Staff Skills10 Records management staff should posses the same set of skills:  Process mapping  Analytical thinking  Speaking IT’s language  Managing projects  Familiarity with the Systems Development Life Cycle
  11. 11. How Would You Define the Term?11  RM and IT professionals use many of same words, but they mean different things archive archive
  12. 12. Additional Terms12  Record  Document  File  Backup
  13. 13. IT and RM Connection Points13  IT systems development  Capital planning, IT architecture, and strategic plans (Clinger-Cohen/ITMRA)  Electronic signatures (GPEA)  Transfer of permanent electronic records to NARA (E-Gov)  E-mail  Electronic recordkeeping
  14. 14. IT and RM Points of Disconnection14  Different perspectives on the word “records”  Different perspectives on lifecycle
  15. 15. Building Alliances15  No one can develop and promote a records management program in isolation; it requires allies  Top management must be convinced that records are essential agency assets and managing them is vital  Good communication is key to working collaboratively across the organization  IT and RM must both meet the needs of internal and external stakeholders
  16. 16. New Skills for Working Together16  Electronic records management  Communication  Risk assessment and management  Business process design  Systems analysis  Requirements development  Project management
  17. 17. 17 Legal Requirements
  18. 18. Recordkeeping Requirements18  Poor documentation may result in an unresponsive Government that cannot account for its actions  Even in the short term, lack of documentation causes problems  The solution is to develop, implement, and enforce recordkeeping requirements  NARA uses the term “recordkeeping requirements” to refer to the statements in statutes, regulations, and agency directives that specify which records are to be created and maintained.
  19. 19. Legal Requirements19  Federal Records Act  Clinger-Cohen Act  Government Paperwork Elimination Act (GPEA)  E-Gov Act of 2002  Office of Management and Budget (OMB) Circular A-130  OMB Circular A-11
  20. 20. Federal Records Act (44 U.S.C. 3301)20  Gives the Archivist of the United States the authority to provide guidance and assistance on the management of records.
  21. 21. Clinger-Cohen Act (40 U.S.C. 1401)21  Requires that investments in systems include a cost-benefit study on the use of electronic recordkeeping functions to manage the electronic records.
  22. 22. Government Paperwork Elimination Act (P.L. 105-277)22  Makes Government information more available electronically and relieves the public reporting burden.  Generally, GPEA states that electronic records will be and are being created under this Act and that, in addition to the e- records themselves, e-records required for verification are also being created.
  23. 23. E-government Act of 2002 (44 U.S.C. 3601)23  Identifies initiatives to integrate agency operations and IT investments. Eliminates redundant systems and improves customer service.  Example: Travel systems. From independent in every Federal agency to GovTrip
  24. 24. Office of Management and Budget (OMB) Circular A-13024  Requires agencies to plan for managing information throughout its lifecycle, and to train personnel to do so.
  25. 25. Office of Management and Budget (OMB) Circular A-1125  Requires establishment of performance goals for IT; provides guidance on preparing budget submissions.  Exhibit 53: Agency IT Investment Portfolio  Exhibit 300: CPIC and Business Case for Each Systems
  26. 26. OMB Circular A-11 (Exhibit 53)26
  27. 27. Other Information Requirements27  Freedom of Information Act (5 U.S.C. 552)  Privacy Act (5 U.S.C. 552a)
  28. 28. Freedom of Information Act (FOIA)28  Any person has a right to gain access to Executive Branch agency records  Some records or portions of them are protected from public disclosure either by one of nine exemptions, or by one of three special law enforcement exclusions  If a FOIA request is received, you cannot destroy any information related to the request
  29. 29. Privacy Act29  For the purposes of the Privacy Act, a record is defined as any item, collection, or grouping of information about an individual that is maintained by an agency, including: Education Medical Criminal Employment if that information contains any identifying information  These records need to be maintained in a secure environment
  30. 30. Electronic Records Policy Working30 Section 207 of the E-Government Act of 2002  Tasked NARA to lead ERPWG in writing: Barriers to the Effective Management of Government Information on the Internet and Other Electronic Records
  31. 31. ERPWG Identified 4 Barriers31 1. Records are not managed as business assets. 2. RM is not viewed as critical. 3. There is a lack of training, tools, and guidance for Federal staff. 4. RM and IT disciplines are poorly integrated in Federal agencies.
  32. 32. Solutions to Identified Barriers32  To overcome the barriers, Federal agencies must manage their records from the moment of creation
  33. 33. 33 Inserting RM Requirements
  34. 34. Recognize Where to Insert RM Requirements34 Records management must start early— at the concept or planning stage.
  35. 35. Typical Tasks in the System Development Process Lifecycle35  System conceptualization  Unit development  System requirements and  Software integration and benefits analysis testing  Project adoption and project  System integration and testing scoping  Installation at site  System design  Site testing and acceptance  Specification of software  Training and documentation requirements  Implementation  Architectural design  Maintenance  Detailed design
  36. 36. Systems Development Life Cycle Method36
  37. 37. SDLC Phases37  Product Plan and Initiation Phase  Concept Phase  Requirements Definition  Preliminary and Detailed Design, Development  Integration and System Test, Development, and Acceptance  Production and Upgrades, or Retirement and Rollover
  38. 38. Evaluating a Proposal38  Declare documentary materials as records  Capture records in a secure repository  Organize records for efficient retrieval  Limit access to records to authorized users  Preserve records for their entire lifecycle  Allow for disposition of records based on approved agency schedules
  39. 39. Guidance for Your System39 Your agency is planning a new IT system to handle its records, and needs to include RM:  Where do you go to find out the requirements?  Who will build them into the system?  Are there existing COTS packages that fit your requirements?
  40. 40. Help from Two Sources40  DoD 5015.2  Endorsed by NARA  Extremely technical  Provides baseline for RMA  ISO 15489  Recognized around the world  Provides information on trustworthiness of an electronic record
  41. 41. DoD 5015.241  Design criteria standard for electronic records management software applications (RMA)  Includes mandatory and non-mandatory requirements  Provides minimum RM requirements based on NARA regulations and 44 U.S.C. 2902  Fluid document Always being updated
  42. 42. Beyond DoD 5015.242 1. Determine ERM scope. 2. Review infrastructure/IT architecture. 3. Review agency records and information resources, management guidance, and directives. 4. Review additional standards. 5. Review requirements. 6. Classify requirements. 7. Involve stakeholders in review.
  43. 43. Beyond DoD 5015.2 (cont’d.)43 1. Determine ERM scope.  Ask what the system will and will not manage:  E-mail  Paper  Office automation software  Web content  Electronic forms  Identify and consult with stakeholders  Review existing systems to determine:  What system creates or contains records? What types of records? What legacy systems will be integrated or migrated?
  44. 44. Beyond DoD 5015.2 (cont’d.)44 2. Review infrastructure/IT architecture. Find out about:  Network servers and system software  Security  Desktop applications  Standard desktop configuration At what level will the system be administered?
  45. 45. Beyond DoD 5015.2 (cont’d.)45 3. Review agency records and information resources, management guidance, and directives.  RM policies  IRM policies  Security policies  Disposition and retention schedules
  46. 46. Beyond DoD 5015.2 (cont’d.)46 4. Review additional standards.  Reach beyond your agency for best practices within the industry  Model Requirements for the Management of Electronic Records (MoReq)  AIIM Standards Committee on Integrating Records Management and Document Management Requirements  Reports by Doculabs on ERM, EDM, and ECM systems  ISO 15489-1: Information and Documentation—Records Management
  47. 47. Beyond DoD 5015.2 (cont’d.)47 5. Review requirements (created after steps 1–4).  Does it:  Describe a system functionality?  Express a single idea?  Map clearly to specific organizational goals?  Map directly to business processes or policies?  Describe user’s needs?  Is it:  Testable? "Keep,  Too vague? eliminate,  Too implementation-dependent? or revise" requirement
  48. 48. Beyond DoD 5015.2 (cont’d.)48 6. Classify requirements.  Assess the functionality of each additional requirement as to whether:  The system cannot function without it  It provides significant savings in time or resources  It smoothes the path for the end user  It provides the Records Manager with useful tools  It reduces risks to future access to the information
  49. 49. Beyond DoD 5015.2 (cont’d.)49 7. Involve stakeholders in review.
  50. 50. Beyond DoD 5015.2 (cont’d.)50 This step-by-step approach will allow you to develop requirements that:  Support business process  Make best use of resources  Harmonize with current system  Produce system with tangible benefits
  51. 51. 51 Piloting an ERM solution
  52. 52. Records Management Application Considerations52  Adequacy of existing agency record schedules  Amount of IT support available  Technical awareness (training) of agency staff
  53. 53. Piloting an RMA53 Piloting it rather than installing it  Will allow the agency to ensure that its RM requirements are sufficient  Is useful for complex projects where  Implementationrepresents significant change  User acceptance may be difficult to obtain  Allows for real-world testing in a controlled environment
  54. 54. Three Phases of Pilot Projects54  Preliminary  Conducting the pilot  Testing and evaluation
  55. 55. Defining the Purpose and Goals Goals for overall Goals for ERM pilot ERM initiative 55
  56. 56. Conducting the Pilot56  Check assumptions:  Findout if your preliminary assumptions regarding hardware, software, and service level were accurate  Develop tools to facilitate:  Documentation  Communication/knowledge transfer  Metadata processes  Select an office to serve as testers  Install the application  Document user experiences
  57. 57. Testing and Evaluation57 Some problem areas to avoid:  Holding out for perfection—causes delays; increases costs and the impatience of users  Too many changes based upon individual user requests with little or no analysis of the impact of those changes  Lack of user involvement—or, on the other hand, too much user involvement  Unrealistic schedule for product  Erroneous cost/benefit assumptions  Lack of management support
  58. 58. 58 Emerging Technologies
  59. 59. Where Next?59 Component-based Architecture A component is a self-contained business process or service with predetermined functionality that may be exposed through a business or technology interface.
  60. 60. Emerging Technology60  Web 2.0 is: A second generation of web design  Rise of social networks  Facilitating communication and collaboration  Commonly dubbed “social media”
  61. 61. RM/Appraisal Concerns61  What constitutes the “record”  Method and frequency of capture  Applicability of existing schedules
  62. 62. USA.GOV portal62
  63. 63. AOTUS Blog63
  64. 64. Records Express64
  65. 65. DIPNOTE – State Dept65
  66. 66. TSA Blog66
  67. 67. NASA67
  68. 68. Twitter: @whitehouse68
  69. 69. Twitter: @NavyMedicine69
  70. 70. Facebook: Veterans Affairs70
  71. 71. Facebook: Department of Justice71
  72. 72. Facebook: State Department72
  73. 73. Wikipedia - Intellipedia73
  74. 74. What Does NARA Say?74  Managing Records in Web 2.0/Social Media Platforms http://archives.gov/records-mgmt/bulletins/2011/2011-02.html  Managing Records in Cloud Computing Environments http://archives.gov/records-mgmt/bulletins/2010/2010-05.html  Report on Federal Web 2.0 Use and Value http://archives.gov/records-mgmt/resources/web2.0-use.pdf
  75. 75. Toolkit75
  76. 76. Contact Information76 Arian D. Ravanbakhsh Email: arian.ravanbakhsh@nara.gov Personal: @adravan on Twitter

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