# Presentation: 134408

## Preserving EIA Trustworthy Datasets, Model Documentation and Contextual History

- ASA Committee on Energy Statistics,
- Fall 2005

## Today’s Presentation:

- Purpose of federal RM
- The “ideal” information organization
- The current EIA RM picture
- Five initiatives for improvement
- Dialogue on ways EIA can better preserve and access its records

## RM Mission:

- support the continuing mission of EIA
- lead life cycle management initiatives of official agency records
- assure compliance with FR statutes
- preserve and provide access to primary source material (in all formats)
- facilitate “adequate and proper documentation of the organization, functions, policies, decisions, procedures and essential transactions”* of the agency* (44 U.S.C., Chapter 31)

## Record Ubiquity

- Records can be found around EIA where they are:
- CREATED or COLLECTED
- LINKED or INTEGRATED
- REVIEWED or DISSEMINATED
- ACCESSED or MODIFIED
- MAINTAINED, MIGRATED or STORED
- ARCHIVED or PRESERVED
- AUDITED, REDACTED or CATALOGUED
- SEGREGATED, EDITED or REFINED

## Functionalities for EIA records:

- Capture a record (ingest)
- Assign a disposition (schedule)
- Categorize a record
- Search a record
- Retrieve a record
- Ensure authenticity
- Associate a record
- Execute disposition
- Make record available (output)

## The “ideal”
 information organization

** ****information organization**

## Ideally, Records Management:

- Is integrated transparently into agency information architecture
- Establishes a common language
- Assigns responsibility
- Protects value
- Creates new value
- Meets statutory requirements
- Provides context
- Supports history and statistical processes

## Ideally, Records should be:

- Authentic 		Reliable		Secure
- Complete		Timely	      Scheduled
- Able to be certified
- Accompanied by proper and adequate documentation.
- Able to be segregated / managed
- Stored in systems compliant with DOD 5015.2
- Part of a formal, written, integrated technology plan that makes provisions for future system migration.
- Controlled and accessed by metadata.

## Ideally, records should be in a “Trustworthy Digital Repository”

- Some characteristics include:
- 		procedural accountability
- 		financial sustainability
- 		uniform ingest / storage procedures
- 		consistent preservation / migration
- 		data and access management
- 		documentation / descriptive metadata
- 		verifiable security / authentication

## The current
 EIA RM picture

** ****EIA RM picture**

## Current examples of EIA program records:

- survey forms
- frames and sampling records
- analysis and forecasting tools
- design and modeling schema
- contract management tools
- published information products
- quality control documentation

## Current RM Program Snapshot:

- Schedules written before 1995 Introduction of EIA Internet / Intranet
- On-Line RM Handbook for all staff
- Current guidelines do not reflect business processes; EIA standards are not enforced
- RM not part of contractor deliverables
- Custodianship often unclear
- No central index for products, documentation or admin. materials

## Current system documentation:

- Records REQUIRED to plan, develop, operate, maintain, and use electronic data/records, including, but not limited to – system specifications, codebooks, record layouts, user guides and output specifications.

## Current RM Initiatives:

- Include e-record assets on retention and disposition schedules
- Standardize practices, policies and procedures by incorporating RM transparently into business processes
- Preserve documentary heritage
- Improve records access tools
- Propose methodology for preserving records of statistical modeling systems

## 
Five initiatives for improvement

**Five initiatives for improvement**

## 1. New program schedules to be based on “Life Cycle of Business Processes

**	****	****Survey Planning and Design**
**	****	****Data Collection (INPUTS)**
**	****	****Processing and Editing**
**	****	****Program Data Analysis**
**	****	****Program Quality Control**
**	****	****Program History Files **
**	****	****OMB Clearance Process Documentation**
- 		**Master set of Program Publications (OUTPUTS)**
**	****	****Backup tapes and COOP Disaster Recovery **
**	****	****Program modeling procedures and protocols **

## Some processing and editing records

- 	**edited data**
**	****detectable errors list**
**	****non-response analysis**
**	****formulas used for analysis and quality control**
**	****standardized coding and conversion records**
**	****data protection safeguards / data handling procedures**
**	****records for the production of estimates and projections**
**	****data evaluation criteria**
**	****records that allow for public access and interpretation of data**
**	****records used to manage electronic systems**
**	****model based estimates and projections**
**	****error estimates**
**	****response rate calculation**
**	****etc....**

## 2. Improve quality control records to provide:

- Mechanism for certification
- Procedures for validation
- Methodologies for authentication
- Quality guideline checklists tied to standards and policies
- Data collection, editing, processing audit trails and version controls
- Standards and documentation

## 3. History Committee:Providing Record Context

- Members
- Mission – EIA Documentary Heritage
- Current Projects Workgroup #1
- Current Projects Workgroup #2
- Context and Perspective
- Master Publications Index
- EIA 30th Anniversary Celebration 2007

## 4. Proposed Master Publication Index:

- EIA Product Number
- Product Series
- Product Date
- Product Title
- Product Origin/Subject
- Product Status
- Product History

## 5. Documenting National Energy Modeling System

- Consists of more than 14 separate modules.
- Reflects market economics, industry structure, and energy policies and regulations that influence market behavior.
- Has been updated, modified, changed over more than 12 years
- Plan to preserve documentation can serve as a prototype for other models

## Components of Models:

- System Architecture and Infrastructure Requirements
- Industry Modules
- Resource Specification
- Components and Links
- General Design Principles
- Component Level Metadata
- Attributes / Variables
- Component Interfaces
- General Component Properties
- Etc...

## Previous Energy Models:

- IFFS
- GAMS
- PIES
- Who / What / Where / When

## 

SUMMARY

**SUMMARY**

## Why EIA needs “Information Vision”

- Forces EIA to think about the connection between long-term data, long-term need and long-term success
- Facilitates development of effective business processes
- Provides basis for sound decision making
- Recognizes data as core asset of agency
- Avoids duplication / redundancy
- Promotes partnership / interoperability

## DIALOGUE

- Facilitating discussion
- Soliciting comments
- Obtaining advice

## Question for Discussion #1:

- What methodologies and best practices should be put into place to insure the “trustworthiness” (authenticity) of EIA recordkeeping systems?

## Question for Discussion #2:

- What characteristics should an EIA on-line publications finding aid (Master Index) possess to increase customer access to historical “permanent” products?

## Question for Discussion #3:

- How should modeling system documentation be preserved?  By whom and for how long?

## QUESTION SUMMARY:

- How can EIA best insure “trustworthiness” ERMS?
- EIA Master Publications Index?
- How should modeling system documentation be preserved?  By whom and for how long?

## THANK YOU!

johnpaul.deley@eia.doe.gov
Member: Committee on ASA Archives and Historical Materials 
Chair: Federal Information and Records Manager’s Council (FIRM)

- _[johnpaul.deley@eia.doe.gov](mailto:johnpaul.deley@eia.doe.gov)_
- Member: Committee on ASA Archives and Historical Materials
- Chair: Federal Information and Records Manager’s Council (FIRM)