# Presentation: 273860

**Warning!**
- You may hear and see things that will make you feel uncomfortable.  However, even good medicine frequently has some unsavory aspects.  You will get no sympathy here, only thoughts you need to consider as a Records Officer
-  Recording devices and cameras are permitted.
- Stay seated, if you dare!

## Presented at RACO 2004
Washington, DC
Tuesday, 11 May 2004
Christopher J. Olsen, CRM
Chief, Records and Classification Management Group
Office of the CIO, Central Intelligence Agency

- Washington, DC
- Tuesday, 11 May 2004
- Christopher J. Olsen, CRM
- Chief, Records and Classification Management Group
- Office of the CIO, Central Intelligence Agency

**This is a record.**
**CIO/IMS Presentations (PO-SPCHS-XXXXX-XXX)**

- Records and Risk

**...****Why You Need an Effective Electronic Records Management Program!**

## What to Talk About?

- How to get re-started

- Lessons Learned

## While in Montana

## Lesson No. 1

- Records Management is not interesting to most people

## While in My Car

## Lesson No. 2

- Technology is inevitable, if not ubiquitous

## But, Why Me as the Keynote

## Lesson No. 3

- Failure is good!

## Value of the Lessons

- Lessons Learned
- Lesson No. 1 – “RM is not interesting”
- Lesson No. 2 – “Technology is inevitable, if not ubiquitous”
- Lesson No. 3 – “Failure in good!”

- Actions
- Change the message; change the approach
- Records Managers must know technology; partner with IT professionals
- Learn from what didn’t work; think and act differently

## The Information Nightmare...its Here!

- Your current records environment is complex with:
-    Paper documents, paper forms, electronic documents, electronic forms, telephone conversations, maps, facsimiles, e-mail, chat board, white boards, instant messaging, workflow processes, video teleconferencing, intra- and internet materials, video and audio recordings, microforms, compound documents, WEB links, et.Al.

## And, the Nightmare Getting’ Worse

- According to A Study from the Berkeley*:
- The World Produced 6 Exabytes of Information in 2002
- The Library of Congress Has Nineteen Million Books
- So, the World Made Some 500,000 Libraries of Congress
- 40% of the Information Was Produced in the US
- 80% of Government Information is Unstructured

- *The study can be found at www.sims.berkeley.edu

## And Worser (Yeah, I know its bad English) 

- USA Today poll indicated that workers would sooner give up their phones than e-mail
- Close behind email use in Instant Messaging (IM)
- Worldwide Corporate IM use will increase by 140% per annum
- MSN Messenger reports 75 million new users each month
- As of December 2002, 17 billion were sent per month, an 81% increase over the previous year
- eMarketeer, February 2003, said “1.6 billion IMs sent daily worldwide through AOL

## 
“The U.S. Air Force had kicked off its fight against the Taliban with an ineffective bombing campaign, and Washington was anguishing over whether to send in a few Army divisions. Donald Rumsfeld told Gen. Tommy Franks to give the initiative to 250 Special Forces already on the ground. They used satellite phones, Predator surveillance drones, and GPS- and laser-based targeting systems to make the air strikes brutally effective.” 
“In effect, they ‘Napsterized’ the battlefield by cutting out the middlemen (much of the military’s command and control) and working directly with the real players. The data came in so fast that HQ revised operating procedures to allow intelligence analysts and attack planners to work directly together. Their favorite tool, incidentally, was instant messaging over a secure network.” — Ned Desmond, “Broadband’s New Killer App”, Business 2.0, October 2002 

- “The U.S. Air Force had kicked off its fight against the Taliban with an ineffective bombing campaign, and Washington was anguishing over whether to send in a few Army divisions. Donald Rumsfeld told Gen. Tommy Franks to give the initiative to 250 Special Forces already on the ground. They used satellite phones, Predator surveillance drones, and GPS- and laser-based targeting systems to make the air strikes brutally effective.”
*“*In effect, they ‘Napsterized’ the battlefield by cutting out the middlemen (much of the military’s command and control) and working directly with the real players. The data came in so fast that HQ revised operating procedures to allow intelligence analysts and attack planners to work directly together. Their favorite tool, incidentally, was _instant messaging_ over a secure network.” — Ned Desmond, “Broadband’s New Killer App”, Business 2.0*, *October 2002

- Non-Traditional Approaches to War

## Can It Get Worse

- The National Archives and Records Administration (NARA) believes the Federal government will generate 37 billion email per annum
- Currently, many home users have 17-22 million documents on 60-80 gigabyte drives
- Over two petabytes are exchanged across the Internet each day

## Some Perspective on Volume

- What is a petabyte:
- A.  A prehistoric winged centipede like creature found in ancient kitchens
- B.  A sandwich you eat on foot
- 250,000 times the lifetime reading of the average    adult
- Or, what Fairfax County residents could finish reading in reading in 18 1⁄2 years; Virginia in 2 1⁄2 years

-  (former Xerox CEO)

## My Prophesy

- Traditional approaches to Record Management (RM) programs will fail in most organizations
- Every organization will be negatively impacted by the absence of an effective records management program

**Think Differently**

## Read a Book!

- “The Tipping Point”, Malcolm Gladwell
- “Unleashing the Ideavirus”, Seth Godin
- “The Purple Cow”, Seth Godin
- “Re-imagine”, Tom Peters

## Now, a Real Story of Change*

- It’s About New York
- In 1984, 6000 subway cars all with graffitti
- 15-20k crimes took place in the subway
- Passenger were frequently harassed
- The Transit authority was been subsidizing for millions due to non paying fare customers
- Crime in New York was at an all-time high

- *from the “Tipping Point”

## Getting’ Re-started

- Develop, then present the RM program as a program with milestones and deliverables
- Focus your attention – focus on the problem
- Build partnerships with a business and the Information Technology offices
- Define measurable metrics to demonstrate success
- Status the program and herald the accomplishments
- Plan Globally, act locally...conquer the enterprise one office at a time

## What to Expect!

- You may not get management buy-in
- Fear of litigation or reprisal will get you attention but, will not sustain an enterprise RM program
- You will not be successful simply with the deployment of records management software
- Your records management plan must address more than just documents
- Your program, if properly constructed and effective, will take years to implement
- Without an organizing taxonomy...you will fail!
- You must examine ways to change management incentives

## What About “Records and Risk”

- Most agencies are producing more and better records than ever before
- Most agencies are saving records
- So, where’s the risk
- Users can’t find ‘em; or the find the same ones over and over again
- IT departments are desperately trying to manage retrieval against storage
- For every dollar spent on IT, there is less money for mission and the public
- Migration costs are inconceivable; archive medium is not archival
- Separating permanent records from temporary is vexing if not largely impossible
- Disaster recovery is made difficult and expensive
- Information sharing is frustrated and frustrating

## Fixin’ the MessThe Formula For Success

- MP3

## Meet the Mission With...

- People

- Programs

- Process

## Meet the Mission With...

- Programs

## The Analysis – Why We Are At Risk

## Program - First StepsDesigning a Program

## Program – Prong 1Why Taxonomies?

- Gartner Group said:
- In 2003, clients who had invested in content management did not achieve full benefit without good taxonomies
- Enterprises that investigate role of metadata and devote training and effort will realize ROI in 2003
- By 2005, enterprises will devote 15% of content management budgets to taxonomy creation and metatagging tools

- Good News and Bad News for Records Managers

## Program – Prong 1More Gartner on Taxonomy

- Knowledge maps -  taxonomies - are used to organize content and processes according to the enterprise’s business usage of knowledge
- The taxonomy acts as a guide to the conceptual and physical organization of information resources (experts, data, and processes)
- The object of classification management is to filter and classify enterprise information so delivered information is highly relevant to the user’s tasks

## Program – Prong 1My Theorem on KM

- If, RM is to classification
- And, classification is to taxonomy
- And, taxonomy is to KM
- Then, RM is to KM

**QED**

## Program- Prong 1Search Engine V. Taxonomy

## Program – Prong 1Building A Taxonomy

- Build a taxonomy from bottom up & validate top down with organization’s mission (major hierarchical naming schema)
- The idea is to build mission critical systems--parochial systems--with a corporate approach
- Link the taxonomy to the organizations records control schedule, “RCS”--a description of its file types & retention periods
- Embedded in the taxonomy is the value, ownership, & type of information
- The taxonomy supports the component organization of information (records) & enables a corporate search/use capability
- But, this is not the only taxonomy you will/can build

## Program – Prong 1The CIA Taxonomy

## Program – Prong 1The CIA Taxonomy at All Four Levels

## Program – Prong 2Proactive Electronic Records Management (PERM)

- Consider deploying a records management application, but investigate what the user sees before you buy.
- The RMA will do these things:
- All records electronically filed at the desktop
- Records sent to the repository with a couple of mouse clicks
- Electronic files are available to work group
- Sent to an electronic repository where records integrity/access assured
- All files are retrievable via full-text search
- Files can be viewed alphabetically or hierarchically
- Likely annoy your customer base
- Consider targeting certain (not all files) for you RMA
- Don’t confuse success with seat management or employee use

## Users Hate to “Classify”

- I wont’ do it...
- 	You can’t make me...
- 		I am too busy...
- 			This is just Donkey doo!

- Pick your RMA from the users’ perspective

## Metadata is the enabling technology for:
Improved coordination and decision making 
Better support to users and customers
Data and application interoperability
Collaboration
Electronic information storage and management
Integrating open source 
Multiple security level interconnection 
Enabling knowledge/content management
Basis for XML and DTDs
Improved search and access 

- Improved coordination and decision making
- Better support to users and customers
- Data and application interoperability
- Collaboration
- Electronic information storage and management
- Integrating open source
- Multiple security level interconnection
- Enabling knowledge/content management
- Basis for XML and DTDs
- Improved search and access

- Program – Prong 3The Metadata Benefits

## Program – Prong 3The CIA Document Object Metadata

## Program – Prong 3Searching Using the Metadata Repository

**End User via Portal**

## Program – Prong 4 Electronic Recordkeeping Systems (ERKS) Certification

- Record Integrity
- Metadata
- Organizing Information
- Search and Retrieval
- Records Disposition

- Information Assurance, Preservation & Migration and Vital Records
- Classification of Objects
**File Plan (Taxonomy)**
- Search Capabilities and Access Control
- Destruction or Transfer of Records

- Enterprise activity to certify automated information systems as “electronic recordkeeping,” ensuring that knowledge assets are protected/preserved

## Program – Prong 4 Electronic Recordkeeping System (ERKS)Certification

**procedures**

**rules**

**discipline**

**documentation**

**file tag**

**taxonomy**

**archive**

**disposition**

**retrieval**

**records custodian**

**ERKS**

**IMO**

**access**** ****controls**

**need to know**

**audit trail**

**policy**

**metadata**

**records control schedule**

## URL for CIA ERKS and Metadata

## Prong 5I thought you said they were only 4!*

- Consider building RM into the infrastructure
- No one gets a vote; no one has to (oops)
- It operates behind the scenes
- Its better than relying on users
- Get serious about working with one of the categorization software products

- *I lied—there really are 5 Prongs!

## New RM Architecture

- Data Storage Level

- User Interface/Presentation Level

- Application Level

- Services Level

## Meet the Mission with...

- Process

## The Process -Second StepEstablish, Influence, Infiltrate Processes

- Conduct a enterprise-wide audit and present the findings to CIO, CFO or other senior management
- Tell them and the employees what you are doing first and why
- Make the connection to the current business imperative
- Write and/or Propose system development standards that address common “records management” concerns, like:
- Organization of content
- Disaster recovery
- Migration and disposition
- Data standardization
- Integrate RM requirements into system lifecycle and programmatics
- Attend the control gates of major systems

## Process - Second Step Market Successes, Let Someone Else “Toot” Your Horn!

- Benchmark you program against that of a competitor and let management know the results
- See Your Program As the “Answer” in Every Forum
- Look for marketing opportunities all year long
- Get the Word Out Through Agency Communication Devices
- Invite “Big Shots” From Outside the Agency to See Your Stuff
- Invite “Big Shots” From Outside the Agency to embarrass your big shots
- Ask Business Owner, CTO, IT Infrastructure Chief to Speak About the Benefits

## Meet the Mission With...

- People

## Treat RM As a Virus in Your Agency

## People - The  RM Manager As the Puppet Master

- The Effective RM Manager:
- Writes the policy and standards for system development
- Owns or participates in data/system standards in the organization
- Provides requirements to IT developers
- Define and participates in all Configuration Management processes
- Is a stakeholder on all system development

## People – The RM ManagerAs the Puppet Master

- People – The RM ManagerAs the Puppet Master

## People – Forming AllegiancesBusiness Case Benefits

- Make the “Business Case” – Do Not Make Records Management Your Mantra
- Use Whatever gets you in the door and people listening, e.g. Sarbanes-Oxley, HIPAA,  SEC 17a
- Target a Mission Office(s) With Specific, High Profile Problems for Pilot and demonstrate:
- Competitive Advantage
- Reduced Time to Market
- Exploitation of Information for Decision Support, Trends Analysis
- Protection of corporate assets
- Survival or Dominance

## People – Forming AllegiancesBusiness Case Benefits

- Show the IT Department the Saving
- Reduced or Optimized Production and Operation Costs
- Demonstrate Security Features to Security Office
- Give examples of the lessened potential for litigation or adverse action to the Legal Staff
- Address the compliance issues associated with state and Federal regulations
- Trade on Your Success to Convince Other Senior Managers to Experiment

## Do we have the right people to  implement of an IM program?
How should we use and train our IM professionals to meet the customer challenges?
How do we reward, advance and develop the finest cadre of IM professionals in private and public sector?

- How should we use and train our IM professionals to meet the customer challenges?
- How do we reward, advance and develop the finest cadre of IM professionals in private and public sector?

- People – Examining Your RM Talent*

*** **What People Do You Need for Success?

## People in The Federal RM Community

- Quit re-inventing the Wheel
- Find out what your colleagues are doing
- Steal their ideas; give away yours
- Help NARA develop standards, e.g., DoD 5015.2
- Present at FIRM and Bridge meetings
- Include IT Officers in your discussions; discover their problems
- Designate executive agents within the Federal community for:
- Developing standards
- R&D on taxonomies and categorization
- Document object tagging

## Re-look Your RM Organization

## A Segment of the New RM Organization

## More on a New RM Organization

## The Future Records Management Officer

- Enterprise information engineer
- tunes taxonomy
- builds ad hoc taxonomies that use extant records against new questions
- runs tools to import or destroy legacy records
- Organizational Specialist
- audits for  conformance  and discrepancies
- monitors access groups
- knows how component is organized and where information is located
- brings up new “collaborations of interest”

## Future RM Duties

- Systems Certification Officer
- certifies all automated information systems as electronic record keeping systems
- certifies each system after a major upgrade or migration
- disposes of system when no longer needed
- Information Authenticator
- assures data integrity
- identifies disaster recovery and vital records
- ensures PERMANENT records are preserved
- authorizes the destruction of useless records

## Trends

- Smart application of Technology
- Increased use of XML for providing value to content
- For exporting content
- For re-purposing and exploring content
- Increased use of taxonomies to organize and visualize content
- Use of categorization tools to make sense of legacy data and inbound information
- IT Departments increasingly pressed to reduce costs; deliver better retrieval and storage functionality

## Trends (Continued)

- Successful organizations will embed RM requirements into the infrastructure to achieve the content management and operating cost savings desired
- Corporation and collaboration
- Between Library Scientists and Technologists
- Between heretofore separate business components
- Between Intelligence and non-Intelligence agencies
- Skill Mix Change for Records Managers
- Emphasis on technical presentation
- Understanding of metadata, classification tools
- Competition for Library Scientists with good IT skills will mean:
- Salaries will increase
- Training incentives will be hiring/retention considerations

## The Summary

- Fix one problem –focus your attention
- Develop, then present the RM program as a program with milestones and deliverables
- Build partnerships with a business and the Information Technology offices
- Define measurable metrics to demonstrate success
- Status the Program and herald the accomplishments
- Conquer the Enterprise one office at a time

## The Forecast(What Gartner Group, Again?!)

- By 2005
- ontologies will become standard technology for e-product catalogs
- 70 percent of Global 5000 will
- deploy taxonomies for improved organization
- deploy automated text categorization for analysis
- By 2006
- knowledge mapping will become critical for world-class information management*
- number of professionals working on knowledge maps will double or triple by 2006

- *Automated taxonomy creation tools will work well only with extensive human involvement

## The Warning

- Companies Think That by Purchasing Technology, They Are Purchasing a Classification System (Plumtree Software)
- To Rely on Technology to Keep a Classification System Buzzing Is an Unattainable Goal (YAHOO!)
- Automation Does Not Play As Prominent a Role in Classification...classification Is Done by People (Ernst & Young)

## Its All About Organization

- Chief Technology Officer (CTO) for American On-line (AOL) Postulates That Its About “Time” and to Give People Options You Must Give Them Organization                           (WTOP, 28 April 2000)

## The Triad for Success

**Notes:**
The disorder of formless matter and infinite space, supposed to have existed before the ordered  universe.  

## Rules to Live By*

- Don’t’ be Boring
- Safe is Risky
- Design Rules Now
- Very Good is Very Bad

- *from the “Purple Cow”

## RM=MR Records Management equals  Managing Realistically

- Still lake
- Frog jumps in
- Splash
- Still lake

- You can change the entire organization, but not all at once!

- A Haiku according to Chris

## Thanks, RACO Attendees

- Questions, anyone?