ADVANCED ELECTRONIC RECORDS MANAGEMENT

July 13, 2011: Nashville, TN

Arian D. RavanbakhshOffice of the Chief Records Officer

National Archives and Records Administration

Outcomes

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

2

The IT and RM Worlds

Effective Records Managers must understand the technical functions and processes within an agency.

3

Overcome Barriers

The realities of the current relationships between the IT and RM worlds…

4

Integrated Information

There must be a multidisciplinary approach integrating RM, IT, and the users who create the records.

5

Problems

Problems generally arise from the fact that records management has become a distributed responsibility across the agency.

6

More Problems

IT builds the system—but does not manage the content.

RM manages content—but the system may be lacking some necessary tools.

7

Solutions

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 andIT working together

8

RM Staff Must…

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

9

Records Management Staff Skills

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

10

How Would You Define the Term?

RM and IT professionals use many of same words, but they mean different things

archive

archive

11

Additional Terms

Record Document File Backup

12

IT and RM Connection Points

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

13

IT and RM Points of Disconnection

Different perspectives on the word “records” Different perspectives on lifecycle

14

Building Alliances

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

15

New Skills for Working Together

Electronic records management Communication Risk assessment and management Business process design Systems analysis Requirements development Project management

16

Legal Requirements17

Recordkeeping Requirements

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.

18

Legal Requirements

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

19

Federal Records Act (44 U.S.C. 3301)

Gives the Archivist of the United States the authority to provide guidance and assistance on the management of records.

20

Clinger-Cohen Act (40 U.S.C. 1401)

Requires that investments in systems include a cost-benefit study on the use of electronic recordkeeping functions to manage the electronic records.

21

Government Paperwork Elimination Act (P.L. 105-277)

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.

22

E-government Act of 2002 (44 U.S.C. 3601)

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

23

Office of Management and Budget (OMB) Circular A-130

Requires agencies to plan for managing information throughout its lifecycle, and to train personnel to do so.

24

Office of Management and Budget (OMB) Circular A-11

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

25

OMB Circular A-11 (Exhibit 53)26

Other Information Requirements

Freedom of Information Act (5 U.S.C. 552)

Privacy Act (5 U.S.C. 552a)

27

Freedom of Information Act (FOIA)

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

28

Privacy Act

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

29

Electronic Records Policy Working

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

30

ERPWG Identified 4 Barriers

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.

31

Solutions to Identified Barriers

To overcome the barriers, Federal agencies must manage their records from the moment of creation

32

Inserting RM Requirements33

Recognize Where to Insert RM Requirements

Records management must start early—

at the concept or planning stage.

34

Typical Tasks in the SystemDevelopment Process Lifecycle

System conceptualization System requirements and

benefits analysis Project adoption and project

scoping System design Specification of software

requirements Architectural design Detailed design

Unit development Software integration and

testing System integration and testing Installation at site Site testing and acceptance Training and documentation Implementation Maintenance

35

Systems Development Life Cycle Method36

SDLC Phases

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

37

Evaluating a Proposal

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

38

Guidance for Your System

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?

39

Help from Two Sources

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

40

DoD 5015.2

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 documentAlways being updated

41

Beyond DoD 5015.2

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.

42

Beyond DoD 5015.2 (cont’d.)

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?

43

Beyond DoD 5015.2 (cont’d.)

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?

44

Beyond DoD 5015.2 (cont’d.)

3. Review agency records and information resources, management guidance, and directives.

RM policies IRM policies Security policies Disposition and

retention schedules

45

Beyond DoD 5015.2 (cont’d.)

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

46

Beyond DoD 5015.2 (cont’d.)

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? Too vague? Too implementation-dependent?

"Keep, eliminate, or revise"

requirement

47

Beyond DoD 5015.2 (cont’d.)

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

48

Beyond DoD 5015.2 (cont’d.)

7. Involve stakeholders in review.49

Beyond DoD 5015.2 (cont’d.)

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

50

Piloting an ERM solution51

Records Management Application Considerations

Adequacy of existing agency record schedules Amount of IT support available Technical awareness (training) of agency staff

52

Piloting an RMA

Piloting it rather than installing it Will allow the agency to ensure that its RM

requirements are sufficient Is useful for complex projects where

Implementation represents significant change User acceptance may be difficult to obtain

Allows for real-world testing in a controlled environment

53

Three Phases of Pilot Projects

Preliminary

Conducting the pilot

Testing and evaluation

54

Defining the Purpose and Goals

Goals for overall ERM initiative Goals for ERM pilot

55

Conducting the Pilot

Check assumptions: Find out 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

56

Testing and Evaluation

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

57

Emerging Technologies58

Where Next?

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.

59

Emerging Technology

Web 2.0 is: A second generation of web design Rise of social networks Facilitating communication and collaboration

Commonly dubbed “social media”

60

RM/Appraisal Concerns

What constitutes the “record” Method and frequency of capture Applicability of existing schedules

61

USA.GOV portal62

AOTUS Blog63

Records Express64

DIPNOTE – State Dept65

TSA Blog66

NASA67

Twitter: @whitehouse68

Twitter: @NavyMedicine69

Facebook: Veterans Affairs70

Facebook: Department of Justice71

Facebook: State Department72

Wikipedia - Intellipedia73

What Does NARA Say?

Managing Records in Web 2.0/Social Media Platformshttp://archives.gov/records-mgmt/bulletins/2011/2011-02.html

Managing Records in Cloud Computing Environmentshttp://archives.gov/records-mgmt/bulletins/2010/2010-05.html

Report on Federal Web 2.0 Use and Valuehttp://archives.gov/records-mgmt/resources/web2.0-use.pdf

74

Toolkit75

Contact Information

Arian D. RavanbakhshEmail: arian.ravanbakhsh@nara.govPersonal: @adravan on Twitter

76