The FEA Records Management Profile  & the SDLC Martha Morphy Chief Information Officer National Archives and Records Admin...
Overview <ul><li>What is the RM Profile and why is it important? </li></ul><ul><li>Embedding the RM Profile into agency IT...
Background <ul><li>Development of an RM Profile began as a response to a number of challenges Federal agencies face:  </li...
The RM Profile is . . .  <ul><ul><li>A cross-cutting framework in the five FEA Reference Models  </li></ul></ul><ul><ul><l...
RM Profile Objectives <ul><li>Establish a common Government-wide framework for identifying records management requirements...
RM Checklist in the SDLC <ul><li>4-6 key RM questions for each phase of the SDLC </li></ul>
RM Checklist Questions in the SDLC <ul><li>Concept Phase: </li></ul><ul><li>Is this system replacing a paper-based records...
RM Checklist Questions in the SDLC <ul><li>Requirements Definition Phase </li></ul><ul><li>Have you incorporated all recor...
Questions? <ul><li>Contact Information </li></ul><ul><li>Martha Morphy </li></ul><ul><li>National Archives and Records Adm...
DoI’s FDMS Experience <ul><ul><li>Sharon Whitt, Program Manager </li></ul></ul><ul><ul><li>Department of Interior </li></u...
eRulemaking and eDiscovery Regulations.Gov    Operational January 2003   Agency Functionality September 2005   September 1...
eRulemaking and eDiscovery <ul><li>Docket – Administrative Record for Rule </li></ul><ul><li>Advantages   Search Capabilit...
eRulemaking and eDiscovery <ul><li>DOI Preparation  </li></ul><ul><li>Internal    Set up Bureau Teams </li></ul><ul><li>De...
eRulemaking and eDiscovery <ul><li>DOI Preparation  </li></ul><ul><li>External  </li></ul><ul><li>DOI Participate in eRule...
eRulemaking and eDiscovery <ul><li>Progress to Date  DOI Senior Management Commitment  Established DOI’s Internal Workgrou...
eRulemaking and eDiscovery <ul><li>Questions </li></ul><ul><li>? </li></ul>
GAO on Building the Electronic Records Management System (ERMS) Explosion of Electronic Information – The Saga of Records ...
Overview <ul><li>Background </li></ul><ul><li>Business Requirements </li></ul><ul><li>Stakeholders </li></ul><ul><li>Syste...
Background <ul><li>Documentation is key to GAO’s work - -- about 1200 case files generated each year. </li></ul><ul><li>GA...
Business Requirements <ul><li>The ERMS had to: </li></ul><ul><li>Integrate with other e-business initiatives </li></ul><ul...
Stakeholders  <ul><li>Analysts/Auditors/Attorneys </li></ul><ul><li>DOCS Task Force </li></ul><ul><li>Work Paper Task Forc...
End Users: Key to Systems Development  <ul><li>Analysts/Auditors/Attorneys contributed to the: </li></ul><ul><li>Prototype...
Simplified Retention and the 3-Bucket Approach Summary of 3 Bucket Approach
Summary of 3 Bucket Approach, cont. Summary of 3 Bucket Approach, cont.
 
Metrics  <ul><li>Background:  American Council for Technology/Industry Advisory Council (IAC):  e-Government Shared Intere...
Lessons Learned <ul><li>Engage policy (quality control/continuous improvement) staff early on in the ERMS design process t...
E-Repository in the Enterprise Architecture <ul><li>ERMS had minimal impact on the enterprise architecture because electro...
Successful ERMS Implementation <ul><li>System has management support from the chief-level offices </li></ul><ul><li>System...
Summary:  ERMS Works <ul><li>Criteria for success: </li></ul><ul><li>The ERMS must be user-driven </li></ul><ul><li>E-busi...
Questions <ul><li>For more information, please contact: </li></ul><ul><li>Carol Brock, CRM </li></ul><ul><li>Manager, Info...
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Electronic Records

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Electronic Records

  1. 1. 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
  2. 2. Overview <ul><li>What is the RM Profile and why is it important? </li></ul><ul><li>Embedding the RM Profile into agency IT processes: EA, SDLC, CPIC, BPD </li></ul>
  3. 3. Background <ul><li>Development of an RM Profile began as a response to a number of challenges Federal agencies face: </li></ul><ul><ul><li>Agency records management procedures do not integrate people, policies, processes and technology well </li></ul></ul><ul><ul><li>Agency enterprise architectures (EA) do not systemically address records management requirements </li></ul></ul><ul><ul><li>Agency planning and execution of IT investments often overlooks the value of records management (RM) </li></ul></ul><ul><ul><li>Systems are often funded, designed and implemented without adequate thought about how those records will be managed over their entire lifecycle </li></ul></ul>
  4. 4. The RM Profile is . . . <ul><ul><li>A cross-cutting framework in the five FEA Reference Models </li></ul></ul><ul><ul><li>Designed to help decision-makers define RM requirements and systemically and consistently embed RM practices into existing agency IT and business processes </li></ul></ul><ul><ul><li>A tool to help agencies address NARA, OMB, ISO, and legislative RM requirements that will enhance agency productivity and effectiveness </li></ul></ul>
  5. 5. RM Profile Objectives <ul><li>Establish a common Government-wide framework for identifying records management requirements </li></ul><ul><li>Identify records management issues and requirements and link them to their implementing technologies and business processes. </li></ul><ul><li>Build records management requirements into agency IT governance processes for enterprise architecture </li></ul><ul><ul><li>capital planning and investment control (CPIC) </li></ul></ul><ul><ul><li>business process design (BPD) </li></ul></ul><ul><ul><li>systems development life cycle (SDLC) </li></ul></ul>
  6. 6. RM Checklist in the SDLC <ul><li>4-6 key RM questions for each phase of the SDLC </li></ul>
  7. 7. RM Checklist Questions in the SDLC <ul><li>Concept Phase: </li></ul><ul><li>Is this system replacing a paper-based records system? </li></ul><ul><ul><li>Are the paper records already scheduled? </li></ul></ul><ul><ul><li>Can the existing dispositions be used as the basis for new dispositions for this system? </li></ul></ul><ul><li>Is this new system replacing an existing electronic system? </li></ul><ul><ul><li>Is this existing system already scheduled? </li></ul></ul><ul><ul><li>Can the existing dispositions be used as the basis for new dispositions for this system? </li></ul></ul><ul><ul><li>Have you addressed the migration of the legacy data? </li></ul></ul><ul><li>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? </li></ul><ul><li>Have you discussed these records management questions with your agency’s records management officer? </li></ul>
  8. 8. RM Checklist Questions in the SDLC <ul><li>Requirements Definition Phase </li></ul><ul><li>Have you incorporated all records-related requirements into the system? </li></ul><ul><li>Have you identified additional records requirements based on your business needs? </li></ul><ul><li>Have you considered how the proposed records dispositions and retention times might impact the system’s records-related requirements? </li></ul><ul><ul><li>For records of long-term value, is there a well-documented migration strategy to ensure the integrity and continued access to these records? </li></ul></ul><ul><li>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? </li></ul><ul><li>Have you validated the requirements and developed clear measures for each? </li></ul><ul><li>Have you discussed these records management questions with your agency’s records management officer? </li></ul>
  9. 9. Questions? <ul><li>Contact Information </li></ul><ul><li>Martha Morphy </li></ul><ul><li>National Archives and Records Administration </li></ul><ul><li>Martha.Morphy @nara.gov </li></ul><ul><li>(301) 837-1992 </li></ul><ul><li>NARA RM website: http://www.archives.gov/records-mgmt/ </li></ul><ul><li>RM Profile: http://www.cio.gov/documents/RM_Profile_v1.pdf </li></ul><ul><li>FEA PMO: http://www.whitehouse.gov/omb/egov/a-1-fea.html </li></ul>
  10. 10. DoI’s FDMS Experience <ul><ul><li>Sharon Whitt, Program Manager </li></ul></ul><ul><ul><li>Department of Interior </li></ul></ul><ul><ul><li>GSA IT Summit 10/09/07 </li></ul></ul>
  11. 11. eRulemaking and eDiscovery Regulations.Gov Operational January 2003 Agency Functionality September 2005 September 125+ Federal Entities Deployed Objective Provide the Public with easy access to Federal rulemaking Ability to comments electronically
  12. 12. eRulemaking and eDiscovery <ul><li>Docket – Administrative Record for Rule </li></ul><ul><li>Advantages Search Capability Ability to deliver electronically Identification of Holds & Freezes </li></ul><ul><li>Disadvantages Business Function not System Coordination Records Officers, Business Staff, CIO’s Office, and Solicitors </li></ul>
  13. 13. eRulemaking and eDiscovery <ul><li>DOI Preparation </li></ul><ul><li>Internal Set up Bureau Teams </li></ul><ul><li>Determine Scope List of Records Holds & Freezes Status of Bureaus Records Schedules Education for the Teams </li></ul>
  14. 14. eRulemaking and eDiscovery <ul><li>DOI Preparation </li></ul><ul><li>External </li></ul><ul><li>DOI Participate in eRulemaking Workgroups Work with other Federal Agencies Coordination with NARA </li></ul><ul><li>Work with eRulemaking’s Contractor Understanding Rulemaking Workflow </li></ul>
  15. 15. eRulemaking and eDiscovery <ul><li>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 </li></ul><ul><li>BLM and MMS implemented 10-7-07 </li></ul>
  16. 16. eRulemaking and eDiscovery <ul><li>Questions </li></ul><ul><li>? </li></ul>
  17. 17. GAO on Building the Electronic Records Management System (ERMS) Explosion of Electronic Information – The Saga of Records Management GSA IT Summit 10/9/2007 Jean Nazzaro, Director of Customer Relations - OCIO
  18. 18. Overview <ul><li>Background </li></ul><ul><li>Business Requirements </li></ul><ul><li>Stakeholders </li></ul><ul><li>Systems Development & End Users </li></ul><ul><li>Metrics </li></ul><ul><li>Lessons Learned </li></ul><ul><li>E-Repository in the Enterprise Architecture </li></ul><ul><li>Successful ERMS Implementation </li></ul><ul><li>Summary </li></ul>
  19. 19. Background <ul><li>Documentation is key to GAO’s work - -- about 1200 case files generated each year. </li></ul><ul><li>GAO pioneered implementation of document management in the Federal government. </li></ul><ul><li>Automated business processes need an electronic records management system (ERMS) to capture e-records. </li></ul><ul><li>Knowledge Services, Information Services & Technology Systems, and Quality and Continuous Improvement (Policy) formed a strategic partnership to build ERMS. </li></ul>
  20. 20. Business Requirements <ul><li>The ERMS had to: </li></ul><ul><li>Integrate with other e-business initiatives </li></ul><ul><li>Embed records retention into the electronic processes </li></ul><ul><li>Store documentation or pointers to documentation (paper, data sets, copyrighted material, artifacts, URLs, etc.) </li></ul><ul><li>Capture the record at creation or receipt </li></ul><ul><li>Minimize the end user’s responsibility for RM </li></ul><ul><li>Facilitate the RM staff making the RM decisions </li></ul><ul><li>Be easy to use </li></ul>
  21. 21. Stakeholders <ul><li>Analysts/Auditors/Attorneys </li></ul><ul><li>DOCS Task Force </li></ul><ul><li>Work Paper Task Force </li></ul><ul><li>Automated Processes Task Force </li></ul><ul><li>KS, IT, & Policy Partnership </li></ul><ul><li>ERMS Steering Committee </li></ul><ul><li>ERMS Work Group </li></ul><ul><li>ERMS Task Forces (Processes/Metrics & Schedules) </li></ul><ul><li>Management </li></ul><ul><li>IT Investment Committee </li></ul><ul><li>Continuous Improvement Board </li></ul>
  22. 22. End Users: Key to Systems Development <ul><li>Analysts/Auditors/Attorneys contributed to the: </li></ul><ul><li>Prototyped System </li></ul><ul><li>Pilot System </li></ul><ul><li>Communication, Training, & Implementation Strategies </li></ul><ul><li>Phased Roll-Out </li></ul><ul><li>Community of Practice </li></ul>
  23. 23. Simplified Retention and the 3-Bucket Approach Summary of 3 Bucket Approach
  24. 24. Summary of 3 Bucket Approach, cont. Summary of 3 Bucket Approach, cont.
  25. 26. Metrics <ul><li>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 </li></ul><ul><li>http://www.actgov.org/actiac/documents/sigs/egov/08032004ERMMetricsFinal.pdf </li></ul><ul><li>Measurable Processes – No baseline available. </li></ul><ul><li>Perceptions – Pilot User Survey. </li></ul>
  26. 27. Lessons Learned <ul><li>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 </li></ul><ul><li>Assign reluctant users (as well as enthusiastic users) to the ERMS pilot groups </li></ul><ul><li>Train on the ERMS but also on basic Microsoft Applications software and Adobe. </li></ul>
  27. 28. E-Repository in the Enterprise Architecture <ul><li>ERMS had minimal impact on the enterprise architecture because electronic records management is fully integrated with the document management (DM) system already in place </li></ul><ul><li>ERMS required no additional hardware </li></ul><ul><li>ERMS did require additional assistance from the DM system administrator and help desk staff </li></ul><ul><li>ERMS e-repositories store records throughout their: </li></ul><ul><ul><li>creation process </li></ul></ul><ul><ul><li>active use </li></ul></ul><ul><ul><li>retention </li></ul></ul><ul><ul><li>value to knowledge management (reuse & reference). </li></ul></ul>
  28. 29. Successful ERMS Implementation <ul><li>System has management support from the chief-level offices </li></ul><ul><li>System use is mandated for GAO work </li></ul><ul><li>Simplified retention schedules make system use easy and almost transparent to the user. </li></ul><ul><li>Streamlined business processes incorporate electronic records management functionality </li></ul><ul><li>Policy refined to eliminate unnecessary tasks (e.g.. eliminated the need for forms by using the electronic profiles) </li></ul><ul><li>ERMS Community of Practice integral for voicing and working user issues. </li></ul>
  29. 30. Summary: ERMS Works <ul><li>Criteria for success: </li></ul><ul><li>The ERMS must be user-driven </li></ul><ul><li>E-business processes must be clearly defined </li></ul><ul><li>The ERM functions must be an inherent part of the business process </li></ul><ul><li>The ERM functions must be simple </li></ul><ul><li>The ERM functions must not place a burden on the users. </li></ul>
  30. 31. Questions <ul><li>For more information, please contact: </li></ul><ul><li>Carol Brock, CRM </li></ul><ul><li>Manager, Information Assets </li></ul><ul><li>Knowledge Services </li></ul><ul><li>U.S. Government Accountability Office </li></ul><ul><li>202/512-3435 </li></ul><ul><li>[email_address] </li></ul>

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