building records management into business processes...

Building Records Management into Business Processes to Improve Information Quality ABSTRACT Abstract Not Available BIOGRAPHY Laurence Brewer Director, Life Cycle Management Division National Archives and Records Administration (NARA)

The Fourth MIT Information Quality Industry Symposium, July 14-16, 2010

495

July 14, 2010

Laurence Brewer, CRMDirector, Lifecycle Management DivisionNational Archives and Records Administration

Why are we talking about records management?Challenges and objectives

How do we embed records management into process to ensure information quality?Resources and standards

How is this approach playing in the real world?Checklists and projects

2


496

It’s all about mission….or is it?protecting citizens (or customers) rightsensuring Government (or organizational) accountabilitypreserving our National (or organizational) history

How can we make our agencies (or organization) more responsive, effective, and add value to agency business processes?

How can we integrate records and information management (RIM) with business and other technology and IT processes to meet the business and legal challenges of today?

How can we leverage existing processes to accomplish this?

3

Factors affecting information qualityLack of agency processes supporting distributed RIMRapid technological obsolescenceOverwhelming volumeDifficulty assuring the authenticity, reliability, and integrityof recordsIneffective implementation of RIM processes and procedures

4


497

Factors affecting information qualityMost Federal records (i.e., information, data) are “born”digital and new IT systems are developed quicklyManaging records has not kept pace with workplace and technology changesRetention period of Federal records may last longer than the IT systems and technologies that created themIT and RM professionals seldom work together at the front end of the IT system and records lifecycles to address recordkeeping challengesSystems are often funded, designed and implemented without adequate thought about how those records will be managed over their entire lifecycle

5

Succeeding in the current business environment requires:A systematic approach to managing information and recordsCoordinated records, information, and knowledge management strategiesEmphasis on existing standardsPromotion of lessons learned and best practicesAn efficient and nimble RIM program facilitates business and is responsive to internal and external customers

6


498

Improving information quality requires:Standardized approaches to managing information and recordsBuilding RIM requirements into business processes and system designAddressing these RIM requirements as early in the life cycle as possible

7

People coordination, communication

Process efficiency, agility, interdisciplinary

Standards recognized benchmarks supporting quality

Technology facilitative, reflects business needs

How do we tie all this together to improve the quality of our information and the overall performance of our organizations?

8


499

A cross‐cutting framework of the five FEA Reference Models Designed to help decision‐makers define RIM requirements and systemically and consistently embed them into IT and business processesA tool to help agencies address NARA, OMB, ISO, and other RIM requirements Enhance agency productivity and effectiveness, protect rights, and assure accountability

NARA Records Management Profile and Checklistshttp://www.archives.gov/records‐mgmt/initiatives/erm‐

guidance.html

9

Leveraging the Federal Enterprise Architecture to connect RM to Business

Architecture OverviewArchitecture Overview Principles, Constraints Principles, Constraints and Assumptionsand Assumptions

Federal Oversight Federal Oversight AlignmentAlignment

IT Security Profile & ArchitectureIT Security Profile & Architecture

Records Management Profile & ArchitectureRecords Management Profile & Architecture

Technical Reference Model and Standards ProfileTechnical Reference Model and Standards Profile

Business Business ArchitectureArchitecture

Data Data ArchitectureArchitecture

Application Application ArchitectureArchitecture

Systems Systems ArchitectureArchitecture

Operations Operations ArchitectureArchitecture Sequencing Sequencing

PlanPlan

10


500

The FEA

Business Reference Model (BRM)

Agencies analyze their business processes to help identify the records they create, receive, maintain, and use.

Service Component Reference Model (SRM)

Agency use of records management service components will help automate the records management life cycle.

Data Reference Model (DRM)

Facilitate the transfer of records between RMSC and applications. Enable discovery and access by agencies and the public.

Technical Reference Model (TRM)

Agency use of the TRM will help identify the standards, specifications and technologies needed to support RMSC.

IAC White Paper

OMB, ISO, NARA Guidance

RM Service Components (RMSC)

DoD 5015.2-STDNARA GPEA GuidanceNARA Transfer Instructions

DoD 5015.2 Metadata Profile

RM Resources

Performance Reference Model (PRM)

Agencies identify metrics and goals for records management performance and outcomes.

11

Establish a common Government‐wide framework to identify and comply with records and information management requirements and standardsIdentify information management issues and business requirements and link them to their implementing technologies and business processes before IT systems are operationalProvide a methodology (e.g., process‐specific checklists) to build RIM requirements and standards into agency IT governance processes for enterprise architecture

Systems Development Life Cycle (SDLC)Capital Planning and Investment Control (CPIC)Business Process Design (BPD)

Provide concise and coherent RIM resources and tools to help organizations implement the RM Profile

12


501

RIM standards referenced in RM Profile include:

NARA Regulations, 36 CFR Chapter XII, Subchapter B http://www.archives.gov/about/regulations/subchapter/b.html

NARA Guidance for the creation, maintenance, and disposition of electronic recordshttp://www.archives.gov/records‐mgmt/initiatives/erm‐guidance.html

OMB Circular A‐130, Management of Federal Information Resources http://www.whitehouse.gov/omb/circulars/a130/

DoD Electronic Records Management Application (RMA) Design Criteria Standard, version 2http://www.archives.gov/records‐mgmt/bulletins/2003/2003‐03.html

ISO Standard 15489: Information and documentation ‐ Records management

ISO 23081: Information and documentation – Records management processes –Metadata for records

13

From resources and standards to practiceRM Profile pilots and checklistsPreserving scientific data working group

14


502

4‐6 key RM questions for each phase of the SDLC

C oncep tD evelopm e nt

R equ irem entsD efin ition

P re lim inaryD esig n

D eta iledD es ig n

D evelopm en tIn te gra tion &S ystem T es t

D ep lo ym ent& Ac cep tance

P roductionR etirem ent &

R o llo ver

R ecord s O ffice r

b rough t in tothe s ys tem

des ignpro cess

R ecord s O ffice r

S igna tu re asS tak eholde r o n

T he IT Inve stm e nt

P ropos alsum m ary

P ropos edrec ords schedu le

crea ted o rd iscussion

in itia ted

Form a l S ys tem sR equ irem e nts

D ocum entconta in ing a ll

reco rds -re la ted

req uirem en ts

R ecord s O ffice r

s igna tu re asstak eholde r on

P re lim ina ry D es ign

D ocum en t inco rp o ratingrequ irem e nts

R ecordsO ffice r

inc luded inp ro jec t s ta tus

m eetingsas

neede d

R ecord sO ffice r


m ee tingsas

needed

R ecordsO ffice r hasrev ie w ed

dra ft reco rdsschedu le

R ecordsO ffice r


m eetingsas

needed

A nnual IT rev iew

citingrecords -re la ted

conce rnsfo rw arded to

R ecord sO ffice r

fo raction

R ecord s O ffice r

s igna tu re asstak eholde r onS ys tem s Test

R eport

D raft reco rdsschedu lep repared

R ecord s O ffice r

s ignatu re onpro jec t rev iew

certifica tiondocum e nt(s )

R ecord s O ffice r

s ignatu re onthe shu t-dow ndocum entation

certify ing a llrec ords

,m ana gem e ntconce rns h ave

been ad dresse d

IT C ap ita lP lann in g pro cess

R ecords O fficerin vo lvem e n t

as needed

S ystem T es ting& A c cep tance

P hase

R ecords o fficerinvolvem en t

as nee ded

P roduc tion /O p era tion P has e

R ecords O fficerin vo lvem e nt

as needed

P ro jec tR equ irem en ts

P hase

P re lim inaryD esig n P h ase

R ecords O fficerin vo lvem e nt

as needed

RM IN TE G R ATIO N P L AN L IN K

16


503

Records management staff develop a set of specific questions about how and why each task or transaction is documented:Is the process governed by any laws, regulations, or professional practices?Is a record created or changed?If so, who needs access to the record?What restrictions should apply?What should the record contain?How long should it be kept?

17

Beginning in 2006, NARA began collaborating with scientific data creating agencies to develop strategies for ensuring the long term preservation of scientific research and data collectionsFocus was on building awareness of the need to manage, preserve, and make available the Nation’s scientific research


504

Data is voluminous, exists in a multitude of complex formats, and needs to be accessible for very long periods of timeNeed to get beyond advocacy and develop practical guidance and models for agencies Traditional approaches for capturing and preserving this information are increasingly ineffective

Establish unique partnerships with agencies and other organizations (e.g., CENDI, FEA) to identify the challenges and opportunities for preserving scientific dataLeverage NARA expertise in digital preservation as a basis for approaching Federal agencies


505

Formalize a community of practice to develop practical tools (e.g., checklists) to facilitate the management of scientific data over timeExploring architecture‐centric approaches to scientific data management and preservationUse RM Profile and related checklists (e.g., NARA 1441) to build records management into data management plans

NARA’s RM Profile improves information quality by allowing agencies to:Be proactive in identifying records and information management requirementsEmbed RIM requirements in well‐defined processesIncorporate RIM requirements at the right time and in the right place in work processesIdentify and preserve the right information to ensure agency programs are accountable to the public and other customersBuild systematic, consistent approaches for implementing current and future RIM requirements enterprise‐wide

22


506

Contact Information

Laurence Brewer, CRMDirector, Lifecycle Management DivisionNational Archives and Records Administration

[email protected]

(301) 837‐1539

23


507

building records management into business processes...

Documents