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Transparency, Accountability, Privacy,and the Role of RIM - A view from the  people who live in the glass house           ...
What is GAO?•   Independent, non-partisan agency that works for Congress.•   Called the “Congressional watchdog.”•   Headq...
GAO’s Organization        Public Affairs     Strategic Planning         Congressional        Comptroller General          ...
Knowledge Services at GAO                                                                                                 ...
Living in the Glass House Means:• Following leading practices in information management.• Having a sound Records Managemen...
GAO’s Strategic Knowledge/Information Vision• Goal 3: Help Transform the Federal Government to  Address National Challenge...
Key Efforts• Protecting the privacy of individuals’ personal information in  the current technological climate.• Reviewing...
GAO’s Guiding IM Principles• “Cradle to grave” content management• Business requirements orientation   • IM embedded into ...
Domains of Influence & Collaborating Disciplines           Organizational Business           Related Transformations      ...
GAO’s Records Management Program• Built upon simplified retention schedules• Fully integrated DM and Electronic Records  M...
GAO’s Electronic Records Management System (ERMS)• Three retention policy profiles   • Tied to the records retention     s...
Privacy at GAO• GAO is not subject to the privacy and information  security laws applicable to Executive Branch agencies.•...
GAO’s Privacy Program• Predicated on Fair Information Practices.• Requires Privacy Impact Assessments (PIA) for systems  w...
Cross-Domain IM Initiatives          Public Affairs       Strategic Planning        Congressional       Comptroller Genera...
New Technology and Tools  • Collaboration     • Wikis and Blogs     • IM/Twitter  • Networking     • YouTube     • Faceboo...
Key Requirements for Effective IM  • Business Purpose     • Align management with GAO business processes to meet       mis...
For More Information Catherine Teti tetic@gao.gov (202) 512-9255September 15, 2010     17
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Teti Presentation Metro Md Meeting 9 15 2010

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Teti Presentation Metro Md Meeting 9 15 2010

  1. 1. Transparency, Accountability, Privacy,and the Role of RIM - A view from the people who live in the glass house Catherine Teti Managing Director, Knowledge Services & Chief Agency Privacy Officer, US GAO The viewpoints expressed in this presentation are those of the author and do not necessarily reflect those of the US GAO ARMA Metro Maryland September 15, 2010
  2. 2. What is GAO?• Independent, non-partisan agency that works for Congress.• Called the “Congressional watchdog.”• Headquartered in Washington, DC; 11 field offices.• Employs approximately 3,300 people/1,000 consultants.• Headed by the Comptroller General, a Presidential appointee.• Staff highly trained, degreed, and diverse.September 15, 2010 2
  3. 3. GAO’s Organization Public Affairs Strategic Planning Congressional Comptroller General Opportunity and Inspector General and External Liaison Relations Of the United States Inclusiveness (Acting) General Chief Operating Chief Administrative Counsel Officer Officer/CFO Quality and Continuous Field Operations Improvement Controller Human Capital (CIO) Information Systems & Knowledge Technology Services Services Professional Development Program Teams Acquisition and Financial Health Care Information National Strategic IssuesSourcing Management Defense Management and Technology Resources and Capabilities and Assurance Environment Management Forensic Audits and Special Investigative Unit Applied Research Education, Financial Markets Homeland International Physical and Methods Workforce, and and Community Security and Affairs and Trade Infrastructure Income Security Investment Justice September 15, 2010 3
  4. 4. Knowledge Services at GAO Knowledge Services Managing Director Chief Agency Privacy Officer Catherine Teti Executive Assistant Lisa Briscoe Budget & Operations Customer Relations Sue Schriner Steve May • KS Budget • Customer Service • KS Records o Customer education • KS Planning, Oversight, o Customer outreach Tracking • Analytical studies • KS Employee Enrichment Program (EEP) • Performance measures • Policy review • Special projects • Strategic planning Information Assets Library and Publications & Shared Services Web Content/Electronic Media Deputy Privacy Officer Information Services Dissemination Jaime Lleras Sharon Dooley Nancy Hunn Bonnie Mueller Leo Barbour • Asset (records) policy, • Virtual Library • Mail • Web content guidance, oversight, & training • Identification & evaluation Publishing Technical Product Assistance • Convenience copying • Photo services o Asset identification & of new data sources Support & Groups (PAG) • Scanning • Video services capture, retention, & • Team research support e-Dissemination • Property/inventory • Multimedia services disposition • Library facility O&M support • Organizational telephone • Production, planning, --paper • Source authentication/ • Hardware • Supplies directory coordination, & --photos documentation support • Software • Courier services tracking --e-media • Interlibrary loans • Process • Loaner equipment --physical exhibits, • Graphics & visual • Collection acquisition improvement • Video teleconference artifacts analysis services • Information Architecture • Print quality scheduling/support • Composition support o Electronic Records • Taxonomy/Thesaurus • Supplies • Communications Management System Development & Support analysis services • Forms Management QA & Print • Copyediting • Orders Procurement/ • File conversion Distribution • GAO Privacy Program (SRA)September 15, 2010 4
  5. 5. Living in the Glass House Means:• Following leading practices in information management.• Having a sound Records Management Program.• Having a Privacy Program that goes above and beyond federal policies and regulations.• Collaborating across the agency to solve complex information management and technology challenges.September 15, 2010 5
  6. 6. GAO’s Strategic Knowledge/Information Vision• Goal 3: Help Transform the Federal Government to Address National Challenges • Support Congressional Oversight of Major Management Challenges and Program Risks • Identify ways to improve the collection, dissemination, and quality of federal information• Goal 4: Maximize the Value of GAO by Enabling Quality, Timely Service to the Congress, and by Being a Leading Practices Federal Agency • Expand Networks, Collaborations, and Partnerships That Promote Professional Standards and Enhance GAO’s Knowledge, Agility, and Response Time • Be a Responsible Steward of GAO’s Human, Information, Fiscal, Technological, and Physical Resources September 15, 2010 6
  7. 7. Key Efforts• Protecting the privacy of individuals’ personal information in the current technological climate.• Reviewing the government’s progress in using electronic technology to store, preserve, and share public records.• Identifying and capturing orphaned records at GAO.• Creating a corporate taxonomy.• Implementing an enterprise content management tool.September 15, 2010 7
  8. 8. GAO’s Guiding IM Principles• “Cradle to grave” content management• Business requirements orientation • IM embedded into GAO business processes • Cross-organizational collaboration • Users as stakeholdersSeptember 15, 2010 8
  9. 9. Domains of Influence & Collaborating Disciplines Organizational Business Related Transformations • Program Oversight Knowledge Mgmt • Integration of Collaborative Functions • Performance Measurement Intellectual Capital • Tacit/Implicit Knowledge • Explicit Knowledge • Synthesis of Knowledge Information Mgmt Records/Asset Mgmt Human Capital • Succession Planning Information Security/Privacy • Business Processes • Personally Identifiable Information (PII) • Organizational Learning Technology Mgmt Social Capital Document Mgmt (Infrastructure) • Versions • Communities/Networks(Systems Development Lifecycle) • Workflow • Collaboration Content Mgmt • Culture Data Mgmt • Taxonomies • Search (repositories) Segment Architecture Information Services • Library • Research • Knowledge repositories September 15, 2010 9
  10. 10. GAO’s Records Management Program• Built upon simplified retention schedules• Fully integrated DM and Electronic Records Management System (ERMS)• Physical record dispositions quarterly• Records Liaison Officers in each business unit• Regular change management activities like records management and DM training for staffSeptember 15, 2010 10
  11. 11. GAO’s Electronic Records Management System (ERMS)• Three retention policy profiles • Tied to the records retention schedule. • No records declaration.• Profile metadata enhances searching for records.• System has a powerful search engine.• Paper Profiles allow users to keep track of physical records. September 15, 2010 11
  12. 12. Privacy at GAO• GAO is not subject to the privacy and information security laws applicable to Executive Branch agencies.• GAO follows the spirit of Executive Branch laws and best practices.• GAO’s Privacy Program strives to follow the Privacy Act and to meet and exceed the best practices of other agencies.• 4 CFR Part 83, GAO Privacy RuleSeptember 15, 2010 12
  13. 13. GAO’s Privacy Program• Predicated on Fair Information Practices.• Requires Privacy Impact Assessments (PIA) for systems with PII (personally identifiable information).• Requires management of PII consistent with the Privacy Act.• Ensures privacy protection in GAO’s system security.• Tied closely to GAO’s information management program.September 15, 2010 13
  14. 14. Cross-Domain IM Initiatives Public Affairs Strategic Planning Congressional Comptroller General Opportunity and Inspector General and External Liaison Relations Of the United States Inclusiveness (Acting) General Chief Operating Chief Administrative Counsel Officer Officer/CFO Quality and Field Operations Deputy CAO Continous Improvement Controller Human Capital (CIO) CLO Information Systems & Knowledge ServicesCollaboration, Knowledge Sharing Technology Services Professional Development Program • ERMS • WebTeams initiatives 2.0 Acquisition and Financial Information National Strategic Issues Defense Health Care Sourcing Management • Wiki (internal) Capabilities and Management Management and Assurance Technology Resources and Environment • YouTube, Twitter, mobile devices Forensic Audits and Special Investigative Unit (external)Applied Research Education, Financial Markets Homeland International Physical • Enterprise content management / and Methods Workforce, and Income Security and Community Investment Security and Justice Affairs and Trade Infrastructure corporate taxonomy Cross-Domain “IM” Initiatives • Agency knowledge collections • Expert locator system September 15, 2010 14
  15. 15. New Technology and Tools • Collaboration • Wikis and Blogs • IM/Twitter • Networking • YouTube • Facebook/Linked In September 15, 2010 15
  16. 16. Key Requirements for Effective IM • Business Purpose • Align management with GAO business processes to meet mission objectives • Governance • Clearly define policy and requirement • Recognize constraints and limitations • Strive for user engagement • Oversight • Performance measures and accountability September 15, 2010 16
  17. 17. For More Information Catherine Teti tetic@gao.gov (202) 512-9255September 15, 2010 17

Transparency, Accountability, Privacy, and the Role of RIM at GAO

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