Warning!

2. 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!

3. Records and Risk 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 …Why You Need an Effective Electronic Records Management Program! This is a record. CIO/IMS Presentations (PO-SPCHS-XXXXX-XXX)

4. What to Talk About? How to get re-started

5. Lessons Learned

6. While in Montana

7. Lesson No. 1 Records Management is not interesting to most people

8. While in My Car

9. Lesson No. 2 Technology is inevitable, if not ubiquitous

10. But, Why Me as the Keynote

11. Lesson No. 3 Failure is good!

12. 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 Value of the Lessons

13. 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.

14. 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

15. 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

16. Non-Traditional Approaches to War • “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

17. 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

18. 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 ½ years; Virginia in 2 ½ years

19. “We are in abrawl with no rules.”Paul Allaire (former Xerox CEO)

20. 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

21. Read a Book! • “The Tipping Point”, Malcolm Gladwell • “Unleashing the Ideavirus”, Seth Godin • “The Purple Cow”, Seth Godin • “Re-imagine”, Tom Peters

22. 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”

23. 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

24. 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

25. 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

26. Fixin’ the MessThe Formula For Success MP3

27. Meet the Mission With… Programs Process People

28. Meet the Mission With… Programs

29. The Analysis – Why We Are At Risk

30. Taxonomy (File Plan) Metadata Agency Knowledge augments ERKS RMA Program - First StepsDesigning a Program

31. Program – Prong 1Why 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

32. Program – Prong 1More 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

33. Program – Prong 1My Theorem on KM If, RM is to classification And, classification is to taxonomy And, taxonomy is to KM Then, RM is to KM QED

34. Program- Prong 1Search Engine V. Taxonomy

35. Program – Prong 1Building 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 controlschedule, “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

36. Administration Policy Intelligence Activities Operations Projects and Programs Program – Prong 1The CIA Taxonomy

37. Administration Activity Reports Below Office Level Your File Title 001 Your File Title 002 Program – Prong 1The CIA Taxonomy at All Four Levels

38. Program – Prong 2Proactive 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

39. 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

40. Program – Prong 3The Metadata Benefits • 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

41. Record Metadata Date: 08/18/98 Time: 1530 Author: J. Doe Creation Date: 7/1/98 Subject: Russia Energy Reserves Classification: SECRET Handling Caveat: XXX Recipient: you File Tag: Economics - Energy Disposition Item: 123a; permanent Declassification date: X1 Metadata Program – Prong 3The CIA Document Object Metadata

42. Metadata Repository • Subject • Keyword • Abstract • Originator • Classification • Compartment • File Tag • Source System • ... Program – Prong 3Searching Using the Metadata Repository End User via Portal

43. 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 Program – Prong 4Electronic Recordkeeping Systems (ERKS) Certification Enterprise activity to certify automated information systems as “electronic recordkeeping,” ensuring that knowledge assets are protected/preserved

44. Program – Prong 4 Electronic Recordkeeping System (ERKS)Certification policy procedures retrieval rules need to know records custodian file tag discipline taxonomy archive IMO metadata records control schedule disposition documentation accesscontrols audit trail ERKS

45. www.foia.cia.gov URL for CIA ERKS and Metadata

46. Prong 5I 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!

47. Taxonomy Records Management New RM Architecture User Interface/Presentation Level Application Level Services Level Data Storage Level

48. Meet the Mission with… Process

49. The Process -Second StepEstablish, 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

50. 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