# Presentation: 922503

## Architecture Centric Records Management:A People FocusE-Records ForumAustin, Texas April 14, 2009 Copyright 2009 Lockheed Martin Corporation.All Rights Reserved. 

## How Did We Get Here?Will The Thinking ThatGot Us Here, Get Us Out?

- Copyright 2008-2009 Lockheed Martin Corporation.
- All Rights Reserved.

## Unforeseen Consequences

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**Unforeseen Consequences**

## Business processesembraced new technologyfaster than ourrecord keeping systems
Roles changed or eliminated
IT Systems are often funded, designed and implemented without adequate thought for the records they create and how those records will be managed over time

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- Business processesembraced new technologyfaster than ourrecord keeping systems
- Roles changed or eliminated
- IT Systems are often funded, designed and implemented without adequate thought for the records they create and how those records will be managed over time

**What’s Happened?**

## As we transition to electronic recordkeeping, the business processes and records they create change
RIM theory is still relevant – but many of our applications of that theory are still paper-based:
File cut offs
Schedule/file plan granularity 
Retrieval strategies
We must re-balance our view of records as evidence and information containers
Need to rethink policies and guidance to allow flexibility in application.

- All Rights Reserved.

- As we transition to electronic recordkeeping, the business processes and records they create change
- RIM theory is still relevant – but many of our applications of that theory are still paper-based:
- File cut offs
- Schedule/file plan granularity
- Retrieval strategies
- We must re-balance our view of records as evidence and information containers
- Need to rethink policies and guidance to allow flexibility in application.

**Has Our Thinking Kept Up?**

## Focusing first on record/non record:
Is the wrong mental model
Is confusing to staff
Misses the point that information assets (both record and non record) serve business needs
We recommend managing all information assets using records management principles
We should focus on the value(s) to the business
Ensure that records and other information assets support compliance and add directly to the bottom line

- All Rights Reserved.

- Focusing first on record/non record:
- Is the wrong mental model
- Is confusing to staff
- Misses the point that information assets (both record and non record) serve business needs
- We recommend managing all information assets using records management principles
- We should focus on the value(s) to the business
- Ensure that records and other information assets support compliance and add directly to the bottom line

**Record / Non Record Today**

## Holistic Perspective:The Enterprise Ecosystem

- Copyright 2007-2009 Lockheed Martin Corporation.
- All Rights Reserved.

## A View of the Organization Ecosystem

**A View of the Organization Ecosystem**

**The RIM Process ModelTM**

**Enterprise Architecture**

**RIM Capability Model**

- Copyright 2007-2009 Lockheed Martin Corporation.
- All Rights Reserved.

## Capability Model

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- Non-Compliant

- Disposition

- Compliant

-      Process

- Knowledge

- Baseline

- Immediate Target

- Ultimate Goal

**Capability Model**

## 
Provides:
Structure to implement a sustainable program for managing all information assets
Governance process for technology investmentplanning and control
Allows records management principles to be “baked”into the enterprise architecture
Capital planning and investment process
Part of all elements of enterprise architecture
Business processes design methods
Solution Development Life Cycle methods

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- Provides:
- Structure to implement a sustainable program for managing all information assets
- Governance process for technology investmentplanning and control
- Allows records management principles to be “baked”into the enterprise architecture
- Capital planning and investment process
- Part of all elements of enterprise architecture
- Business processes design methods
- Solution Development Life Cycle methods

**Architecture-Centric Framework**

## Records Management Services in EA

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**Records Management Services in EA**

**Strategic Plan**

**Principles, Constraints **
**and Assumptions**

**Oversight Alignment**

**Security Architecture**

**Records Management Services**

**Technical Reference Model and Standards Profile**

**Business Architecture**

**Data Architecture**

**Application Architecture**

**Systems Architecture**

**Operations Architecture**

**Sequencing Plan**

- Shared records management applicationbusiness service

- Shared digital assetpreservation business service

- Granular records management component services

- Records Management Services

- Authenticity services

- Meta data  business rules

- Records retention business rules

- Digital objectassessment services

## Systems Thinking:A Different WayofUnderstandingYour Enterprise Ecosystem 

- Copyright 2007-2009 Lockheed Martin Corporation.
- All Rights Reserved.

## Drivers of Whack-A-Mole Thinking

- Enterprise appears as disconnected parts
- Unaligned mental models
- Resistant organizational dynamics
- A knowing and doing gap
- Misunderstood cost structures

- Copyright 2009 Lockheed Martin Corporation.
- All Rights Reserved.

## Events

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**Events**

**Patterns**

**Structure**

**Levels Of Understanding**

**Mental Models**

## Look For The Underlying Thinking

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**Look For The Underlying Thinking**

- Move from thinking aboutevents to observing historyand on to uncovering structures.
- If we see the world as eventscausing further events,we can react.
- If we see trends and patterns,we can anticipate.
- But if we can understand theunderlying structure and the thinking,that causes it, we can change it.
- This is the opportunity to influence the events andpatterns in our favor.

**Events**

**Structure**

**Patterns**

**Mental Models**

## Copyright 2007-2009 Lockheed Martin Corporation

- All Rights Reserved

## Seeing the Whole Picture

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**Seeing the Whole Picture**

## E-Mail Box Size Policy Backfires

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**E-Mail Box Size Policy Backfires**

**Infrastructure**
**Email Storage Costs**

**E-Mail Box    Size Policy**

**RIM Infrastructure Effectiveness**

**Financial Pressure**

**O**

**S**

**O**

**1- ****Way we work has changed**
**2- Mergers, Acquisitions**
**3- Email, IM, Blog, Wiki**

- Delay

**O**

**S**

## E-Mail Box Size Policy Backfires

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**E-Mail Box Size Policy Backfires**

**Infrastructure**
**Email Storage Costs**

**E-Mail Box    Size Policy**

**RIM Infrastructure Effectiveness**

**Success of Initiatives to Improve and Redesign RIM**** **

**Cost to Respond**
**to Discovery **

**Expensive**
**Off-Infrastructure**
**Storage Work Arounds**

**Financial Pressure**

**Organization**
**Complexity**

**S**

**O**

**O**

**S**

**S**

**S**

**O**

**S**

**O**

- Delay

**1- ****Way we work has changed**
**2- Mergers, Acquisitions**
**3- Email, IM, Blog, Wiki**

- Delay

**O**

**O**

**S**

**S**

## Can’t Respond--Settle

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**Can’t Respond--Settle**

- Lawsuits Filed

- Suits Settled Unfavorably

- Ability To Respond to Discovery Requests

- Cost Per Caseto Settle

- Records Management Effectiveness

- Favorable Reputation In Legal Community

- Pressure To Fix The Problem

- Process Improvement Initiatives

**S**

**S**

- Pressure to Settle Out of Court

**O**

**O**

**O**

**S**

**S**

**S**

- Legal Costs Growth Rate

**S**

- Delay

**1- Way we work has changed**
**2- Roles and functions eliminated**
**3- Reorganizations**
**2- Mergers, Acquisitions**
**3- Email, IM, Blog, Wiki, Twitter**
**4- Highly Distributed  IT**

**O**

**S**

**O**

**O**

**O**

**S**

## A Road Map

- Copyright 2009 Lockheed Martin Corporation.
- All Rights Reserved.

## Recognize theRIMHierarchyofNeeds

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**Recognize the****RIM****Hierarchy****of****Needs**

-  **Share****Re-use**
**Re-purpose**
**Exploit**

**Drowning in the Digital Swamp**

**Get Physical Control**

**Get Intellectual Control**

**Get Disposition Control**

**Preservation Capability**

## Information Asset

- Analysis
- Framework

**Leverage/Share/Repurpose**

**Create**
**& **
**Capture**

**Search & Access**

**Use**

**Preserve**

**Assess**

**Manage**

**Email with attachments, IM, Twitter**

**Web Content, Blogs, Wiki, Facebook **

**Databases, ERP,  Applications**

**Others: GIS, Virtual Reality Models, CAD**

**Operations/Execution**

**Theory/Principles**

**Policy**

**Standards**

**Business Processes**

**System Requirements**

**Implementation**

**Analog : Paper, Microfilm, Microfiche, Audio, Video, Film**

**Electronic Office Docs, Text, Spreadsheets, Presentations**

**Digital Images, Digital Audio, Digital Video, Digital Photos**

- Copyright 2007-2009 Lockheed Martin Corporation.
- All Rights Reserved.

## Copyright 2009 Lockheed Martin Corporation.

- Copyright 2009 Lockheed Martin Corporation.
- All Rights Reserved.

## Governance

**Key**
**Process**
**Framework**

** **

**Leading, Holding Accountable, Changing**

**Thinking**

**Learning**

**Creating**

**Relating, Influencing**

**Communicating, Collaborating**

**Architecting**

**Planning**

**Controlling**

**Developing**

**Implementing**

**Sustaining**

**Refreshing**

- Copyright 2009 Lockheed Martin Corporation.
- All Rights Reserved.

**Governance**
**Processes**

**Technology****Processes**

**Social**
**Processes**

**Deciding, Direction and Policy Setting**

**Priority Setting and Allocating**

**Measuring and Feedback**

**Process Management**

**Project Management**

**Program Management **

**Product Management**

## Use the Coalition to help:
Develop a general, high-level assessment of the ecosystem
Establish a capability model that is right for the organization
Assess risk, apply capability model to high risk/high return business processes
Develop a “Good Enough” “To-Be” target capability basedon organization strategic plan and IT tactical plan
Develop a “roadmap” of the path to the target
Build measures and feedback into your system
Ensure program sustainability and improvement over time

- All Rights Reserved.

**Use the Coalition to help:**
- Develop a general, high-level assessment of the ecosystem
- Establish a capability model that is right for the organization
- Assess risk, apply capability model to high risk/high return business processes
- Develop a “Good Enough” “To-Be” target capability basedon organization strategic plan and IT tactical plan
- Develop a “roadmap” of the path to the target
- Build measures and feedback into your system
- Ensure program sustainability and improvement over time

**Develop The Plan**

##                            Educate Stakeholders

-                            Educate Stakeholders

-                                    Build Business Process and
-                                           Data Owner Awareness

- Copyright 2008-2009 Lockheed Martin Corporation.
- All Rights Reserved.

## Back Home Plan Starter Kit

- See enterprise as a system
- Resolve not to go it alone – play your part
- Create your own RIM vision
- Find a champion
- Gather the beginnings of a coalition: 2-3 cohorts
- Use coalition to help assess where you are
- Use coalition to help decide where you want to be - align
- Be realistic about your organization’s appetite for managing information and records and the change it brings
- Define conditions for success in the three key processes

- Copyright 2007-20099 Lockheed Martin  Corporation.
- All Rights Reserved.

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**Holistic Approach Summarized**

**Structure**

**Mental Models**

**Patterns**

**Events**

## Holistic Approach Summarized

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**Holistic Approach Summarized**

## Program supports vision and goals
A long-term solution - not just a quick fix
Root causes addressed, not just symptoms
Solutions embedded in Enterprise Architecture
Program aligned with enterprise ecosystem
Quality assurance process implemented and solutions refined using systems approach

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- Program supports vision and goals
- A long-term solution - not just a quick fix
- Root causes addressed, not just symptoms
- Solutions embedded in Enterprise Architecture
- Program aligned with enterprise ecosystem
- Quality assurance process implemented and solutions refined using systems approach

**Result:  A Sustainable Program**

## Contact Us:

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- L. Reynolds Cahoon
- _[Reynolds.Cahoon@lmco.com](mailto:Reynolds.Cahoon@lmco.com)_
- 301-640-2844

- Michael L. Miller
- _[Michael.2.Miller@lmco.com](mailto:Michael.2.Miller@lmco.com)_
- 301-640-3678