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

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. Outcomes
2
 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. The IT and RM Worlds
3
Effective Records Managers must understand the
technical functions and processes within an agency.

4. Overcome Barriers
4
The realities of the current
relationships between the
IT and RM worlds…

5. Integrated Information
5
There must be a multidisciplinary approach
integrating RM, IT, and the users who create the
records.

6. Problems
6
Problems generally arise
from the fact that records
management has become a
distributed responsibility
across the agency.

7. More Problems
7
IT builds the system—but does not
manage the content.
RM manages content—but the system
may be lacking some necessary tools.

8. Solutions
8
 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. 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. Records Management Staff Skills
10
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. How Would You Define the Term?
11
 RM and IT professionals use many of same words,
but they mean different things
archive
archive

12. Additional Terms
12
 Record
 Document
 File
 Backup

13. IT and RM Connection Points
13
 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. IT and RM Points of Disconnection
14
 Different perspectives on the word “records”
 Different perspectives on lifecycle

15. Building Alliances
15
 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. New Skills for Working Together
16
 Electronic records management
 Communication
 Risk assessment and management
 Business process design
 Systems analysis
 Requirements development
 Project management

17. 17 Legal Requirements

18. Recordkeeping Requirements
18
 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. Legal Requirements
19
 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. 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. 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. 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. 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. Office of Management and Budget (OMB)
Circular A-130
24
 Requires agencies to plan for managing information
throughout its lifecycle, and to train personnel to do so.

25. Office of Management and Budget (OMB)
Circular A-11
25
 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. OMB Circular A-11 (Exhibit 53)
26

27. Other Information Requirements
27
 Freedom of Information Act (5 U.S.C.
552)
 Privacy Act (5 U.S.C. 552a)

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. Privacy Act
29
 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. Electronic Records Policy Working
30
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. ERPWG Identified 4 Barriers
31
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. Solutions to Identified Barriers
32
 To overcome the barriers, Federal agencies must
manage their records from the moment of creation

33. 33 Inserting RM Requirements

34. Recognize Where to
Insert RM Requirements
34
Records management
must start early—
at the concept or
planning stage.

35. Typical Tasks in the System
Development Process Lifecycle
35
 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. Systems Development Life Cycle Method
36

37. SDLC Phases
37
 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. Evaluating a Proposal
38
 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. Guidance for Your System
39
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. Help from Two Sources
40
 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. DoD 5015.2
41
 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. Beyond DoD 5015.2
42
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. 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. 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. 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. 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. 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. 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. Beyond DoD 5015.2 (cont’d.)
49
7. Involve stakeholders in review.

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 Piloting an ERM solution

52. Records Management Application Considerations
52
 Adequacy of existing agency record schedules
 Amount of IT support available
 Technical awareness (training) of agency staff

53. Piloting an RMA
53
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. Three Phases of Pilot Projects
54
 Preliminary
 Conducting the pilot
 Testing and evaluation

55. Defining the Purpose and Goals
Goals for overall Goals for ERM pilot
ERM initiative
55

56. Conducting the Pilot
56
 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. Testing and Evaluation
57
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 Emerging Technologies

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. Emerging Technology
60
 Web 2.0 is:
A second generation of web design
 Rise of social networks
 Facilitating communication and collaboration
 Commonly dubbed “social media”

61. RM/Appraisal Concerns
61
 What constitutes the “record”
 Method and frequency of capture
 Applicability of existing schedules

62. USA.GOV portal
62

63. AOTUS Blog
63

64. Records Express
64

65. DIPNOTE – State Dept
65

66. TSA Blog
66

67. NASA
67

68. Twitter: @whitehouse
68

69. Twitter: @NavyMedicine
69

70. Facebook: Veterans Affairs
70

71. Facebook: Department of Justice
71

72. Facebook: State Department
72

73. Wikipedia - Intellipedia
73

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. Toolkit
75

76. Contact Information
76
Arian D. Ravanbakhsh
Email: arian.ravanbakhsh@nara.gov
Personal: @adravan on Twitter