Teti Presentation Metro Md Meeting 9 15 2010
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Transparency, Accountability, Privacy, and the Role of RIM at GAO
Transcript of Teti Presentation Metro Md Meeting 9 15 2010
Transparency, Accountability, Privacy, and the Role of RIM - A view from the
people who live in the glass house
Catherine TetiManaging 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 MarylandSeptember 15, 2010
September 15, 2010 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 3
GAO’s Organization
(CIO)
Acquisition andSourcing Management
Quality and ContinuousImprovement
Opportunity andInclusiveness
Inspector GeneralPublic Affairs CongressionalRelations
Field Operations
Human Capital
KnowledgeServices
Professional DevelopmentProgram
Applied Researchand Methods
DefenseCapabilities and
Management
Education,Workforce, and Income Security
FinancialManagement and
Assurance
Forensic Auditsand Special
Investigative Unit
Financial Marketsand Community
Investment
Health Care
HomelandSecurity and
Justice
InformationTechnology
InternationalAffairs and Trade
NationalResources and
Environment
PhysicalInfrastructure
Strategic Issues
Teams
Comptroller GeneralOf the United States
(Acting)
Chief OperatingOfficer
Chief AdministrativeOfficer/CFO
General Counsel
Strategic Planningand External Liaison
Information Systems & Technology Services
Controller
September 15, 2010 4
Knowledge Services at GAOKnowledge Services
Managing DirectorChief Agency Privacy Officer
Catherine Teti
Executive AssistantLisa Briscoe
Publishing TechnicalSupport &
e-Dissemination
Product AssistanceGroups (PAG)
Customer RelationsSteve May
• Customer Serviceo Customer educationo Customer outreach
• Analytical studies• KS Employee Enrichment
Program (EEP)• Performance measures• Policy review• Special projects• Strategic planning
Budget & OperationsSue Schriner
• KS Budget• KS Records• KS Planning, Oversight,
Tracking
Publications &Dissemination
Leo Barbour
Information AssetsDeputy Privacy Officer
Nancy Hunn
• Asset (records) policy, guidance, oversight, & training
Asset identification & capture, retention, & disposition
--paper--photos--e-media--physical exhibits, artifacts
•
Forms Management•
Orders•
GAO Privacy Program (SRA)
Library andInformation Services
Bonnie Mueller
• Virtual Library• Identification & evaluation
of new data sources• Team research support• Library facility O&M• Source authentication/
documentation support• Interlibrary loans• Collection acquisition• Information Architecture• Taxonomy/Thesaurus
Development & Support
Shared ServicesJaime Lleras
• Mail• Convenience copying• Scanning• Property/inventory
support• Supplies• Courier services• Loaner equipment• Video teleconference
scheduling/support• Supplies
QA & Print Procurement/ Distribution
Web Content/Electronic MediaSharon Dooley
• Web content• Photo services• Video services• Multimedia services• Organizational telephone
directory• Hardware• Software• Process
improvement• Print quality
• Production, planning,coordination, &tracking
• Graphics & visualanalysis services
• Composition support• Communications
analysis services• Copyediting• File conversion
o
Electronic Records Management System
o
September 15, 2010 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 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 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 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 stakeholders
September 15, 2010 9
Knowledge Mgmt
Intellectual Capital• Tacit/Implicit Knowledge• Explicit Knowledge• Synthesis of Knowledge
Social Capital• Communities/Networks• Collaboration• Culture
Human Capital• Succession Planning• Business Processes• Organizational Learning
Information Mgmt
Content Mgmt• Taxonomies• Search
Data Mgmt(repositories)
Technology Mgmt(Infrastructure)
(Systems Development Lifecycle)
Document Mgmt• Versions• Workflow
Records/Asset Mgmt
Information Services• Library• Research• Knowledge repositories
Domains of Influence & Collaborating Disciplines
Segment Architecture
Organizational BusinessRelated Transformations• Program Oversight• Integration of Collaborative Functions • Performance Measurement
Information Security/Privacy• Personally Identifiable Information (PII)
September 15, 2010 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 staff
September 15, 2010 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 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 Rule
September 15, 2010 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 14
Cross-Domain IM Initiatives
CLO(CIO)
Cross-Domain “IM” Initiatives
Acquisition andSourcing Management
Quality and Continous
Improvement
Opportunity andInclusiveness
Inspector GeneralPublic Affairs CongressionalRelations
Field Operations
Human Capital
Knowledge Services
Professional DevelopmentProgram
Applied Researchand Methods
DefenseCapabilities and
Management
Education,Workforce, and Income Security
FinancialManagement and
Assurance
Forensic Auditsand Special
Investigative Unit
Financial Marketsand Community
Investment
Health Care
HomelandSecurity and
Justice
InformationTechnology
InternationalAffairs and Trade
NationalResources and
Environment
PhysicalInfrastructure
Strategic Issues
Teams
Comptroller GeneralOf the United States
(Acting)
Chief OperatingOfficer
Chief AdministrativeOfficer/CFO
General Counsel
Strategic Planningand External Liaison
Information Systems & Technology Services
Controller
Deputy CAO
Collaboration, Knowledge Sharing• ERMS• Web 2.0 initiatives
• Wiki (internal)• YouTube, Twitter, mobile devices (external)
• Enterprise content management / corporate taxonomy• Agency knowledge collections
• Expert locator system
September 15, 2010 15
New Technology and Tools
• Collaboration• Wikis and Blogs• IM/Twitter
• Networking• YouTube• Facebook/Linked In
September 15, 2010 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
